Dispute Claim Against Independent Contractor

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Dispute Claim Against Independent Contractor Powered By Docstoc
					drpVer    indvlPK    dsclrPK      qstns
10/2005      5481389 1363216      14J(1)
10/2005      5530962 1354089      14J(2)
10/2005      5605186 1380071      14J(1)
10/2005      5258085 1286533      14J(2)
10/2005      5246641 1287806      14J(2)
10/2005      5298461 1295389      14J(2)
05/2009      5341789 1404476      14J(1)
10/2005      5424877 1322171      14J(2)
10/2005      5133793 1282533      14J(2)
10/2005      5178230 1285346      14J(2)
10/2005      5156717 1355036      14J(2)
10/2005      5210930 1274367      14J(2)
10/2005      5194129 1269644      14J(1)
10/2005      4733759 1323330      14J(1)
10/2005      4748857 1227501      14J(1)
10/2005      4844788 1207720      14J(2)
10/2005      4868306 1209443      14J(2)
10/2005      4929142 1280004      14J(1)
10/2005      4637521 1294709      14J(2)
10/2005      4654351 1093954      14J(2)
10/2005      4684446 1289998      14J(1)
10/2005      4673505 1352096      14J(1)
10/2005      4491248 1280230      14J(1)
10/2005      4541263 1381424      14J(1),14J(2)
10/2005      4509052 1343900      14J(1)
10/2005      4538369 1135012      14J(1)
10/2005      4518363 1160831      14J(2)
10/2005      4541543 1350532      14J(1)
10/2005      4276117 1142455      14J(1)
10/2005      4307780 1239360      14J(3)
10/2005      4266877     925293   14J(2)
10/2005      4278127 1185801      14J(1)
10/2005      4333509 1094630      14J(1)
10/2005      4344301 1202853      14J(1)
10/2005      4357269 1018164      14J(1)
10/2005      4335856 1330827      14J(1)
05/2009      4396022 1404294      14J(1)
10/2005      4086330 1366491      14J(1)
10/2005      4142718 1111908      14J(1)
10/2005      4201644 1256263      14J(1)
10/2005      4175134     889814   23J(2)
10/2005      4208108 1397107      14J(1)
10/2005      4248296 1240529      14J(1)
10/2005      4039372 1036219      14J(1)
10/2005      4042502     663601   23J(2)
10/2005      4052421 1212462      14J(1)
10/2005   4092565   1167601   14J(1)
10/2005   4124753   1027105   14J(1),14J(2)
10/2005   3242965   1190596   14J(1)
10/2005   3255250   1339870   14J(1)
10/2005   3238402   1349161   14J(1)
10/2005   4015291   1351679   14J(2)
10/2005   4001727    556595   23J(2)
10/2005   3199358    987192   23J(1)
10/2005   3195580   1050950   14J(1)
10/2005   3226861   1357588   14J(1)
10/2005   3219929   1091406   14J(2)
10/2005   3267556   1386892   14J(1)
10/2005   3127417   1190086   14J(1)
10/2005   3136753   1352882   14J(1),14J(2)
10/2005   3195727    965429   23J(1)
05/2009   3182616   1402364   14J(1)
05/2009   3182616   1402365   14J(1)




10/2005   3072211    316951
10/2005   3074656    869531 23J(2)


10/2005   3144188    302213
10/2005   3154338   1079938   14J(1)
10/2005   3139587   1062521   14J(1)
10/2005   2999230   1168876   14J(1)
10/2005   2966580   1020424   23J(1)
10/2005   3013295   1318491   14J(1)
10/2005   2951931    995138   14J(1)
10/2005   3020754   1008534   14J(1)
10/2005   2999025   1046788   14J(1)

10/2005   3018957    271190
10/2005   3027827   1200407   14J(2)
10/2005   3097349   1346857   14J(1)
10/2005   3110546    728587   23J(1)
10/2005   2903850   1140025   14J(1)
10/2005   2907561    802433   23J(1)
10/2005   2922629    703097   23J(2)
10/2005   2922629    703098   23J(2)


10/2005   2933546   1228611 14J(1)
10/2005   2828360    590354 23J(1)
10/2005   2842459   1246593 14J(1)
10/2005   2857707   1118113 14J(1)




10/2005   2883067    246753
10/2005   2900751   1309958   14J(2)
10/2005   2753847   1288057   14J(1)
10/2005   2757330   1137202   14J(1)
10/2005   2780435   1101283   14J(1)
10/2005   2813406   1062862   14J(1)
10/2005   2798761    572302   14J(1)
10/2005   2796421   1330236   14J(1)




10/2005   2756366    275383 23J(1)
10/2005   2731928   1174513 14J(1),14J(2)




10/2005   2715730    159597
10/2005   2761957    193994   23J(2)
10/2005   2764264    711868   23J(2)
10/2005   2766301    708587   23J(1)
10/2005   2771850    953005   23J(1)
10/2005   2699615   1095229   14J(1)
10/2005   2701992   1397237   14J(1)
10/2005   2718193   1225669   14J(1)
10/2005   2701335   1108987   14J(1)
10/2005   2734867   1337602   14J(1)

10/2005   2707970    351370 14J(1)
10/2005   2707354   1244666 14J(1),14J(2)


10/2005   2673165    163265
10/2005   2702263   1327775 14J(1)

10/2005   2720722    972267   23J(1)
10/2005   2652729   1337500   14J(1),14J(2)
10/2005   2631554   1113184   14J(1)
10/2005   2633782   1211535   14J(1)
10/2005   2676116    995082   14J(2)

10/2005   2685676    276065
10/2005   2677763   1162687 14J(1)
10/2005   2593939    967871   23J(1)
10/2005   2582381   1027267   14J(1)
10/2005   2601094    618410   23J(1)
10/2005   2609079   1355360   14J(1)
10/2005   2628896   1375125   14J(1)
10/2005   2639806   1009791   23J(1)
10/2005   2629874   1108741   14J(3)

10/2005   2531241    202817
10/2005   2563991   1056390   14J(2)
10/2005   2599136   1397240   14J(1)
10/2005   2579146    804192   23J(1), 23J(2)
10/2005   2504183    223886   14J(1)




10/2005   2508993    223861
10/2005   2518935   1359287   14J(1)
10/2005   2544007   1058389   14J(1)
10/2005   2524585   1239887   14J(1)
10/2005   2539359    978570   23J(1)




10/2005   2540413    229855   14J(1)
10/2005   2579313   1377874   14J(1),14J(2)
10/2005   2475099    896652   23J(1)
10/2005   2492739   1301530   14J(1)
10/2005   2493873   1337032   14J(1)
10/2005   2504867   1234568   14J(1)
10/2005   2504867   1234567   14J(1)
10/2005   2501390   1078600   14J(1)




10/2005   2502804    277608
10/2005   2429510   1021210 23J(2)
10/2005   2442970   1103920 14J(1)




10/2005   2423429    174673




10/2005   2439743    336375
10/2005   2475173    277920 23J(1)
10/2005   2443326   1074595 14J(1)
10/2005   2403390    202594 23J(1)

10/2005   2403390    304755 23J(1)
10/2005   2437566    806811 14J(1)


10/2005   2409224    281389   23J(2)
10/2005   2402121   1098626   14J(1)
10/2005   2422752   1231298   14J(1)
10/2005   2348281   1354602   14J(1)
10/2005   2374215    938696   23J(1)

10/2005   2333159    209956 23J(1)




10/2005   2371415    276804 23J(1)




10/2005   2361911    229219
10/2005   2361069   1149642 14J(1)


10/2005   2322423    258205 23J(1)




10/2005   2320256    142578   23J(1)
10/2005   2334597   1233714   14J(1)
10/2005   2316697    868318   23J(1)
10/2005   2317350   1063570   14J(2)
10/2005   2284452   1185481   14J(3)




10/2005   2287372    105052
10/2005   2304212   1330644 14J(1)
10/2005   2305885    189287 14J(1)


10/2005   2220085    175338
10/2005   2247230    272585 23J(1)
10/2005   2220989   1196908 14J(1)
10/2005   2256834    312260
10/2005   2267702   1295694 14J(2)


10/2005   2269328    354328   23J(2)
10/2005   2233933   1297717   14J(1)
10/2005   2189452   1015996   14J(1),14J(2)
10/2005   2193008    994103   23J(1)
10/2005   2179980   1363372   14J(1)
10/2005   2208260   1385135   14J(1)


10/2005   2185011    103829 14J(1)

10/2005   2189406    273132
10/2005   2182278   1136486 14J(1)




10/2005   2131241    193116




10/2005   2093302    217838
10/2005   2111432   1120280 14J(1)


10/2005   2126567    274484 23J(1)
10/2005   2138486    180050 23J(1)


10/2005   2138486    269950
10/2005   2098843   1022454 23J(1)
10/2005   2131856    953403 23J(1)
10/2005   2144489   1162196 14J(1)


10/2005   2103904    630674 23J(1)
10/2005   2137295     27047   23J(1)
10/2005   2126052     71714
10/2005   2166032   1255950   14J(1)
10/2005   2162197   1273695   14J(1)
10/2005   2140295   1191174   14J(1)


10/2005   2068178     25473 14J(1)


10/2005   2092083    214063 23J(1)




10/2005   2123916    311479


10/2005   2105973    314024




10/2005   2117020    186472   23J(1)
10/2005   2142567    949710   23J(1)
10/2005   2144322    614294   23J(1), 23J(2)
10/2005   2146491   1083019   14J(2)
10/2005   2082907   1246835   14J(1)
10/2005   2083667    896714   23J(1)
10/2005   2067899    954269   23J(1)

10/2005   2104821     71494 23J(2)




10/2005   2091006    232996

10/2005   2121442    126790




10/2005   2060443     71083
10/2005     40337     44465 23J(1)
10/2005     23987   1054240 14J(1)
10/2005     19728   1117280 14J(1)


10/2005     42132     45157


10/2005   2079787     25671 23J(1)


10/2005    213348     26912 23J(1)

10/2005    222733    104371


10/2005    201169     24387




10/2005    205552    130137 23J(1)

10/2005     33894     78831
10/2005     31868    109972


10/2005     29122     41120 23J(1)




10/2005    270212    137230




10/2005    328433    110138 14J(1)




10/2005    270981    222811




10/2005    356437     43431
10/2005    356437    982008 23J(1)
10/2005    224604   1384394 14J(1)
10/2005   258540    136210




10/2005   430392    111638
10/2005   430392    111640




10/2005   337679    110291 23J(1)

10/2005   333234    181492

10/2005   710312    123848 23J(1)

10/2005   427043     45394


10/2005   427043     45397
10/2005   433344   1199223 14J(1)




10/2005   443663     46103


10/2005   418112     45029

10/2005   702382     81913


10/2005   702382     81916
10/2005   502063    769848   23J(1)
10/2005   600958   1294861   14J(1)
10/2005   455951   1203077   14J(1)
10/2005   473707   1073783   14J(1)
10/2005   728189    712617   23J(1)




10/2005   724038    128429
10/2005   715193    114360 23J(1)
10/2005   711548    114183 23J(1)
10/2005   708535   1085242 14J(3)
10/2005   704129    714889 14J(1)
10/2005   813056     84251

10/2005   824098     84709 14J(3)




10/2005   727459    272563
10/2005   723153    698170 23J(1)
10/2005   813924   1049554 14J(1)
10/2005   728189     50916


10/2005   812981     52405




10/2005   824766    209421 14J(1)
10/2005   819787   1222288 14J(1)
10/2005   809152     52166


10/2005   827627     84834 23J(1)
10/2005   832466   1006142 23J(1)




10/2005   822365     52985
10/2005   823002   1377684 14J(1),14J(2)
10/2005   817942   1145344 14J(1)
10/2005   812961    629485 23J(2)

10/2005   844872     54523

10/2005   835586     53864
10/2005   859955    117513 23J(2)




10/2005   842330    117068 14J(1)
10/2005    858194     55359 14J(1)


10/2005    840899     85408

10/2005    835562     53848
10/2005    835562     53853
10/2005    867505     56146




10/2005    851381     85834

10/2005    849772     54845




10/2005    850201   1005428 23J(1)
10/2005   1000672      1035 23J(1)
10/2005    865079     86547




10/2005    865541     55975




10/2005    846338     54594
10/2005    857857   1203918 14J(1)
10/2005    847172   1074106 14J(2)


10/2005    860760     55622
10/2005    849152    736287 23J(1)




10/2005    840601    240553
10/2005   1010228    118229




10/2005    870008     56367


10/2005    868164    150418 14J(2)




10/2005    872884     86965




10/2005   1013032    339752 23J(1)




10/2005    870039     56369
10/2005   1021124   1231254 14J(1)




10/2005   1014695      1782


10/2005    866836    329808


10/2005    857485     55307
10/2005    851875   1165585 14J(1),14J(2)
10/2005   2031999   1183443 14J(1)


10/2005   2015974    351929
10/2005   2079002    607372 14J(1)




10/2005   2057029     25243
10/2005   2060473   1260108 14J(1)
10/2005   2060473   1388031 14J(1)
10/2005   1961422     70135


10/2005   1970550     23587
10/2005   1973491    246046 14J(1)
10/2005   2007376   1341408 14J(1),14J(2)


10/2005   2005219     24232


10/2005   2005219    210020

10/2005   2005219    230000
10/2005   1953563   1192726 14J(1)


10/2005   1929423    351309
10/2005   1884770     22224 23J(2)

10/2005   1941698    101649

10/2005   1944454    183728
10/2005   1933342   1267907 14J(1)


10/2005   1987284    179745




10/2005   1984234     23834
10/2005   1873413   1319702 14J(1)
10/2005   1848519   1356334 14J(1)


10/2005   1884609    275095

10/2005   1882220     22164
10/2005   1847519    139179


10/2005   1884085    145354
10/2005   1857221   1051338 14J(1)
10/2005   1866423   1378627 14J(1)
10/2005   1884270    792868 23J(1)

10/2005   1858973    100995 23J(1)


10/2005   1858973    255866 23J(1)

10/2005   1803012     68765
10/2005   1790620   1210246 14J(3)


10/2005   1789031    207858




10/2005   1753657     20112




10/2005   1746788    306916




10/2005   1762286    154210
10/2005   1753265   1338033 14J(1)

10/2005   1788452     20640




10/2005   1782515    100376 23J(1)
10/2005   1764577   1070312 14J(1)
10/2005   1744957   1187670 14J(1)




10/2005   1713812     19433




10/2005   1714085     67883


10/2005   1700674     19206
10/2005   1762524   1062861 14J(1)




10/2005   1688261     99660




10/2005   1690695    246219




10/2005   1673541     18785 23J(2)


10/2005   1683547     88452
10/2005   1710391   1263835 14J(1)


10/2005   1666788     18679
10/2005   1683739     99636 23J(1)
10/2005   1702436   1261061 14J(3)

10/2005   1691116   1089200 14J(1)
10/2005   1699773    995196 23J(3)
10/2005   1643697   1278692 14J(1)

10/2005   1644608    162960
10/2005   1645356     18250




10/2005   1644712    145131
05/2009   1658559   1404822 14J(1)




10/2005   1638896     18142
10/2005   1615284   1026762 14J(1)
10/2005   1632968    632315 23J(1), 23J(2)


10/2005   1609040     66830
10/2005   1609040     66833
10/2005   1603737   1098734 14J(1)
10/2005   1591081    986810 23J(1)
10/2005   1609148   1332076 14J(1)


10/2005   1593550    162872
10/2005   1565431   1231253   14J(1)
10/2005   1561988   1226404   14J(1)
05/2009   1563379    958734   14J(2)
10/2005   1531313   1147047   14J(1)
10/2005   1557033    991371   23J(1)


10/2005   1566075    133965


10/2005   1522621    226255




10/2005   1525548     66008
10/2005   1570799   1196110 14J(1)
10/2005   1576155   1049559 14J(1)
10/2005   1520929    587629 23J(1)




10/2005   1499001     97988 23J(1)
10/2005   1551170   1192490 14J(1)
10/2005   1546792   1046497 14J(1)




10/2005   1545394     16465


10/2005   1536196    241956
10/2005   1496517     15603
10/2005   1513926   1273855 14J(1)
10/2005   1513926    952568 14J(1)


10/2005   1504493    329441




10/2005   1455300     65208




10/2005   1440098     97443


10/2005   1447182     14625


10/2005   1447182    260852


10/2005   1495420     15582
10/2005   1495420     97959 14J(1)


10/2005   1425205     14057


10/2005   1425498    172887




10/2005   1471308    264254
10/2005   1440013    692250   23J(1)
10/2005   1434820   1394642   14J(1)
10/2005   1435507    979515   23J(1)
05/2009   1449623   1401120   14J(1)
10/2005   1463372     97680
10/2005   1465416   1214654 14J(1)
10/2005   1465416   1076526 14J(1)




10/2005   1442736     97464


10/2005   1424585    196984


10/2005   1485777    967445 23J(1)
10/2005   1386718    871741 14J(1)


10/2005   1395977    272794
10/2005   1423130    988547 23J(1)


10/2005   1397367    326945 23J(1)


10/2005   1396570     13402
10/2005   1414838    730289 23J(1)
10/2005   1392801    627234 23J(3)


10/2005   1360806     96614
10/2005   1368687   1378670   14J(1)
10/2005   1356868   1343689   14J(1)
10/2005   1403148   1257538   14J(1)
10/2005   1365861    119629
10/2005   1365990   1262757   14J(2)


10/2005   1345332    201726




10/2005   1340853    217400
10/2005   1312711     11241 23J(1)




10/2005   1302491    191706




10/2005   1302300    141539


10/2005   1344493     63578




10/2005   1354028    151139

10/2005   1361610    119620 23J(1)




10/2005   1287756    305488
10/2005   1291024   1241747 14J(1)
10/2005   1304915     95931 23J(1)




10/2005   1286498    304876 14J(1)
10/2005   1314201   1114153 14J(1)

10/2005   1321150     11457

10/2005   1262909    344273 23J(1)




10/2005   1263068    173783


10/2005   1250040      9388
10/2005   1284162     10427 23J(1), 23J(2)

10/2005   1300248     10924
10/2005   1283377    270839


10/2005   1258075    243435


10/2005   1221416    125704

10/2005   1236064    334184
10/2005   1239502    661792 23J(1)


10/2005   1246180     95258 23J(1)
10/2005   1248414   1307711 14J(1)
10/2005   1222597    144181 23J(1)

10/2005   1260597    133293
10/2005   1206937    970053 23J(1)
10/2005   1186538    986870 23J(1)


10/2005   1216009      8260
10/2005   1218326    119158 23J(1)

10/2005   1224265     94954 23J(1)
10/2005   1227873   1219776 14J(1)
10/2005   1263981   1031798 14J(1)




10/2005   1159428    129081
10/2005   1225845   1378935 14J(1)




10/2005   1227535    191711
10/2005   1143642    270868 23J(1)
10/2005   1143642    963009 23J(1)


10/2005   1141102    312951 23J(1)
10/2005   1162997   1272942 14J(1)
10/2005   1174224    976415 23J(1)




10/2005   1108895    153122 23J(1)


10/2005   1108895    341844 23J(1)




10/2005   1139496     60032




10/2005   1172858      6923




10/2005   1092803    249524 23J(1)
10/2005   1131860   1313435 14J(1)


10/2005   1131860    380824
10/2005   1135912      6021




10/2005   1064222    170817




10/2005   1064222    285616




10/2005   1111094      5418




10/2005   1086555      4692 14J(1)
10/2005   1090014   1294467 14J(2)
10/2005   1107791     59628
10/2005   1107791    565684 23J(1)

10/2005   1124349      5670


10/2005   1070636    132834




10/2005   1070636    132837


10/2005   1063437     92713 23J(1)
10/2005   1080034    255785 23J(1)

10/2005   1075816      4287




10/2005   1091451    118727




10/2005   1034461    161371




10/2005   1030577    118381 23J(1)
10/2005   1031287   1364466 14J(1)
10/2005   1075742    118641


10/2005   1066139    118614 23J(1)




10/2005   1047393      3259
10/2005   1074417     4241 14J(1)




10/2005   1071899     4174 23J(1)
10/2005   1087652   785588 23J(1)
10/2005   1008059     1392




10/2005   1024835    91929

10/2005   1038517    87224 23J(1)


10/2005   1035964   283450 23J(1)


10/2005   1035964   337015 23J(1)




10/2005   1026732   340087
firm                                          termType   termDt
EDWARD JONES                                  DISCHGED      8/1/2008
DENT DRIVE THRU                               DISCHGED     7/20/2001
BANCO ITAU EUROPA INTL                        DISCHGED    10/16/2008
KAUFMANN'S                                    DISCHGED     4/19/2001
SPORTMART                                     DISCHGED    10/21/1997
D & L LIQUORS                                 DISCHGED      2/1/2007

FANZZ                                         PERMTRES    11/1/1999
QUIK TRIP CORPORATION                         PERMTRES    4/17/1999
AMERICAN OUTPOST CLOTHING STORE               VOLUNTRY    8/30/1999
WAL-MART                                      DISCHGED    3/15/2002
MCDONALDS CORPORATION                         DISCHGED   12/23/1981
COMMERCE BANK N.A.                            PERMTRES    5/10/2006
TRINITY SECURITIES, INC                       VOLUNTRY     2/2/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.   DISCHGED    8/16/2005
RC WILLEY                                     DISCHGED    11/1/1999
WATERBED PALACE                               DISCHGED    7/27/1994
OPPENHEIMER & CO. INC.                        DISCHGED    8/14/2006
NORDSTROM                                     DISCHGED     7/1/1992
H2O PLUS                                      DISCHGED    11/9/1999
PRUCO SECURITIES LLC                          VOLUNTRY    8/10/2006
NATIONAL CITY                                 DISCHGED    1/18/2006
MORGAN STANLEY DW, INC.                       VOLUNTRY    8/11/2006
CLARK DODGE & CO.                             DISCHGED    12/5/2008
MERRILL LYNCH                                 DISCHGED    1/18/2008
STEPHENS, INC.                                VOLUNTRY   10/30/2003
BURDINES                                      VOLUNTRY     3/4/2001
DMG SECURITIES                                VOLUNTRY     7/8/2004
MERRILL LYNCH                                 DISCHGED    3/25/2003
SECURITIES AMERICAN INC                       DISCHGED   11/15/2004
KMART CORPORATION                             DISCHGED     5/1/1992
SII                                           DISCHGED    10/8/2004
CONTINENTAL BROKER DEALER CORP                DISCHGED    4/26/2002
PRUCO SECURITIES, LLC                         DISCHGED    8/13/2004
MONROE SECURITIES                             VOLUNTRY    9/15/2001
AMERICAN EXPRESS FINANCIAL ADVISORS           VOLUNTRY    8/27/2007

PRUCO SECURITIES, LLC.                        DISCHGED     6/5/2003
EDWARD JONES                                  PERMTRES    8/13/2003
EMPIRE FINANCIAL                              DISCHGED    3/29/2006
UNITED PARCEL SERVICE                         DISCHGED    2/28/1994
VISCOGLIOSI & CO., INC.                       DISCHGED    9/25/2008
PRUDENTIAL SECURITIES                         DISCHGED    3/16/2003
UBS PAINEWEBBER                               DISCHGED    4/12/2002
FOOTLOCKER                                    DISCHGED    7/29/1999
PRUDENTIAL SECURITIES                         VOLUNTRY     4/6/2005
EVERGREEN SERVICE COMPANY                    PERMTRES    2/10/2000
INVESTPRIVATE, INC.                          VOLUNTRY    2/28/2002
EDWARD JONES & COMPANY                       VOLUNTRY   11/30/2004
GOLDMAN, SACHS & CO                          DISCHGED   12/21/2007
CITIGROUP GLOBAL MARKETS                     VOLUNTRY   10/18/2007
WELLS FARGO INVESTMENTS                      PERMTRES    3/18/2008
YONKERS DEPARTMENT STORE, FORT DODGE, IOWA   PERMTRES     1/1/1982
EDWARD JONES                                 DISCHGED    6/16/2001
MERRILL LYNCH                                DISCHGED     7/1/2002
ARJENT SERVICES LLC                          DISCHGED    7/21/2008
PARK CAPITAL SECURITIES, LLC                 DISCHGED     4/4/2003
MAXIM GROUP LLC                              DISCHGED   10/10/2008
EDWARD JONES                                 DISCHGED   11/19/2004
JPMORGAN CHASE BANK                          VOLUNTRY    4/30/2008
EDWARD JONES                                 DISCHGED    2/16/2001




FIN ATLANTIC SECURITIES, INC.                VOLUNTRY   12/14/1998
TARGET STORES                                DISCHGED    7/13/1993


CEDAR POINT AMUSEMENT PARK                   DISCHGED    7/24/1997
AMERICAN EXPRESS FINANCIAL ADVISORS ICN      DISCHGED   10/31/2002
UBS PAINEWEBBER INC.                         DISCHGED    10/1/2002
AXA ADVISORS, LLC                            DISCHGED    5/20/2004
LORD ABBETT                                  VOLUNTRY   10/31/2001
UBS FINANCIAL SERVICES INC.                  VOLUNTRY    8/23/2007
LIBERTY FUNDS DISTRIBUTOR                    PERMTRES    5/24/2001
PFS INVESTMENTS INC.                         DISCHGED    2/21/1998
PNC BROKERAGE                                DISCHGED    3/16/2002

SIZZLER                                      PERMTRES     9/1/1988
BANC ONE SECURITIES                          PERMTRES   11/30/1998
RAYMOND JAMES & ASSOCIATES, INC.             DISCHGED     4/8/2008
DUNCAN-WILLIAMS, INC.                        DISCHGED    3/28/2000
J.P. TURNER                                  DISCHGED     1/6/2004
S G MARTIN SECURITIES                        VOLUNTRY    5/23/2000
GOLDWATERS DEPARTMENT STORES                 DISCHGED    10/5/1988
LUCKY FOOD STORES                            DISCHGED    4/25/1995


CREDIT SUISSE FIRST BOSTON                   PERMTRES     1/4/2004
PRUDENTIAL SECURITIES INCORPORATED           DISCHGED    6/23/1997
STATE STREET GLOBAL MARKETS, LLC                      PERMTRES    9/30/2005
WELLS FARGO INVESTMENTS                               DISCHGED    8/15/2002




SEARS ROEBUCK & COMPANY                               VOLUNTRY    12/1/1982
REID & RUDIGER LLC                                    DISCHGED    6/11/2007
AMERIPRISE                                            VOLUNTRY     1/3/2007
INVESTPRIVATE                                         VOLUNTRY    10/8/2001
THRIVENT INVESTMENT MANAGEMENT                        PERMTRES    8/28/2002
REDSTONE CONSULTING, LLC                              VOLUNTRY    8/16/2002
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION   DISCHGED     8/4/1999
MORGAN KEEGAN                                         DISCHGED    10/1/2007




EDWARD D. JONES & CO., L.P.                           DISCHGED     5/7/1998
WACHOVIA SECURITIES                                   DISCHGED     7/6/2004




WALMART                                               DISCHGED     3/1/1990
DICKINSON & CO.                                       PERMTRES   10/25/1996
PACIFIC CONTINENTAL SECURITIES CORP                   VOLUNTRY   12/28/1998
VESTAX SECURITIES CORPORATION                         VOLUNTRY     6/3/1999
STEPHENS INC.                                         PERMTRES    7/15/1999
NATCITY INVESTMENTS, INC                              DISCHGED     3/4/2003
UBS FINANCIAL SERVICES INC.                           DISCHGED    3/16/2009
NATIONAL SECURITIES CORPORATION                       DISCHGED     7/7/2005
AURA FINANCIAL SERVICES, INC                          DISCHGED    5/14/2003
THRIVENT INVESTMENT MANAGEMENT                        DISCHGED    1/28/2008

MARINER FINANCIAL SERVICES                            PERMTRES    8/22/1997
SW BACH                                               DISCHGED   12/13/2005


BROADWAY SOUTHWEST                                    DISCHGED    10/1/1989
PRUCO SECURITIES, LLC                                 VOLUNTRY   10/20/2003

PRUDENTIAL SECURITIES                                 DISCHGED     3/5/2001
MERCER CAPITAL                                        PERMTRES   12/27/2007
DEUTSCHE BANK                                         PERMTRES    7/16/2003
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP          DISCHGED   11/19/2003
JOSEPH DILLION &COMPANY INC.                          VOLUNTRY    10/9/1998

OLDE DISCOUNT                                         DISCHGED    5/19/1998
UBS FINANCIAL SERVICES                                DISCHGED    4/29/2004
ASCEND FINANCIAL SERVICES, INC                   VOLUNTRY    6/13/2000
MERRILL LYNCH                                    DISCHGED   12/14/1999
PRUCO SECURITIES                                 DISCHGED     7/9/1999
BROKERS INTERNATIONAL                            VOLUNTRY    6/30/2008
MML INVESTORS SERVICES, INC.                     VOLUNTRY   10/24/2008
PRIMERICA LIFE                                   VOLUNTRY    9/20/2001
RAYMOND JAMES                                    DISCHGED    7/14/2003

SALOMON SMITH BARNEY INC.                        PERMTRES    2/12/1997
SUNAMERICA SECURITIES                            VOLUNTRY    6/22/1998
UBS FINANCIAL SERVICES INC.                      DISCHGED    3/16/2009
S G MARTIN SECURITIES                            VOLUNTRY    5/22/2000
OLDE DISCOUNT CORPORATION                        DISCHGED    10/4/1996




THE PRUDENTIAL INSURANCE COMPANY OF AMERICA      DISCHGED     3/5/1997
MILLER TABAK                                     DISCHGED     7/1/2008
1ST GLOBAL CAPITAL CORP.                         DISCHGED    9/13/2002
BANC OF AMERICA SECURITIES                       VOLUNTRY    4/21/2005
WOODLANDS SECURITIES CORPORATION                 DISCHGED     6/8/2001




GREAT WESTERN FINANCIAL SECURITIES CORPORATION   PERMTRES    5/12/1997
J.J. B. HILLIARD, W.L. LYONS, LLC                DISCHGED    12/3/2008
DEAN WITTER                                      DISCHGED    7/25/2000
COMMERCE BANK                                    DISCHGED    5/11/2006
NATIONAL SECURITIES CORPORATION                  DISCHGED    1/23/2008
MERCANTILE SECURITIES, INC.                      DISCHGED    3/18/2004
PEREMEL & CO., INC.                              DISCHGED    3/18/2004
PRUDENTIAL SECURITIES, INC                       DISCHGED   12/11/2002




MAY, DAVIS GROUP INC.                            VOLUNTRY     8/5/1997
GOLDMAN SACHS                                    DISCHGED   11/16/2001
MESIROW FINANCIAL, INC.                          DISCHGED    6/13/2003




FIRST OF AMERICAN SECURITIES                     DISCHGED    5/15/1996




EDWARD D. JONES & CO., L.P.                      DISCHGED    3/15/1999
MORGAN KEEGAN & COMPANY, INC.                        DISCHGED    7/30/1996
SALOMON SMITH BARNEY                                 VOLUNTRY     8/5/2002
BARRON CHASE SECURITIES, INC.                        DISCHGED    1/31/1997

AMERICAN FRONTEER FINANCIAL                          PERMTRES   10/13/1998
FIRST SECURITIES USA, INC.                           DISCHGED    5/26/2000


JOSEPH ROBERTS & CO., INC.                           VOLUNTRY     3/2/1995
MERRILL LYNCH                                        DISCHGED    5/23/2003
CENTRAL BANK/FISERV INVESTOR SERVICES, INC.          DISCHGED     5/8/2002
BANC OF AMERICA INVESTMENTS                          VOLUNTRY    8/16/2007
MORGAN STANLEY DEAN WITTER                           DISCHGED   10/30/2000

BARRON CHASE SECURITIES, INC.                        DISCHGED    1/17/1997




ARGENT SECURITIES, INC.                              VOLUNTRY   11/12/1997




GREAT WESTERN FINANCIAL SECURITIES CORPORATION       PERMTRES    5/12/1997
NEW ENGLAND SECURITIES                               DISCHGED     1/7/2004


MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED   DISCHGED   12/19/1997




MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED   PERMTRES     2/5/1996
SIGNATOR INVESTORS, INC.                             VOLUNTRY    7/17/2005
BLUEBONNET SECURITIES                                PERMTRES    11/1/1995
EDWARD JONES                                         PERMTRES    7/18/2002
SII                                                  DISCHGED    10/8/2004




A.S. GOLDMAN & COMPANY INC.                          PERMTRES    5/14/1993
LEGEND MERCHANT GROUP, INC.                          DISCHGED    12/5/2007
PRUDENTIAL SECURITIES INCORPORATED                   PERMTRES    8/23/1996


A. G. EDWARDS & SONS, INC.                           PERMTRES     5/1/1996
J.C. BRADFORD & CO.                       DISCHGED    5/12/1998
RBC DAIN RAUSCHER INC,                    DISCHGED   11/19/2004
A.G. EDWARDS & SONS, INC.                 VOLUNTRY   10/28/1998
J.J.B. HILLIARD, W.L.LYONS, INC.          DISCHGED     2/2/2007


LONE STAR LASER SHOWS, INC.               VOLUNTRY     6/1/1992
NATIONAL PLANNING CORPORATION             DISCHGED     2/9/2007
GKN SECURITIES                            VOLUNTRY   11/29/1997
UBS WARBURG LLC                           VOLUNTRY    5/13/1999
SMITH NEWCOURT                            DISCHGED    5/26/1994
WELLS FARGO INVESTMENTS, LLC.             DISCHGED    8/22/2008


WATERHOUSE SECURITIES, INC.               PERMTRES    9/26/1994

SALOMON SMITH BARNEY INC.                 PERMTRES    3/28/1996
PRUCO SECURITIES CORPORATION              DISCHGED    5/14/1999




DICKINSON & CO.                           PERMTRES   10/25/1996




MERRILL LYNCH & CO.                       PERMTRES    4/25/1997
BENSON AND YORK                           PERMTRES    10/8/2001


EDWARD D. JONES & CO., L.P.               DISCHGED     5/6/1998
LANDMARK INTERNATIONAL EQUITIES           VOLUNTRY    7/23/1996


HD BROUS & CO., INC.                      DISCHGED    3/19/1998
CLARK ST. CAPITAL                         VOLUNTRY   12/21/2001
AMERICAN EXPRESS/IDS LIFE                 VOLUNTRY    12/1/1997
LINSCO/PRIVATE LEDGER                     DISCHGED    5/21/2004


AMERICAN EXPRESS FINANCIAL ADVISOR INC.   VOLUNTRY    8/14/1999
LEHMAN BROS                                          PERMTRES     3/7/1992
EDWARD D. JONES & CO                                 PERMTRES   11/21/1994
JP TURNER & COMPANY LLC                              DISCHGED    3/30/2006
MET LIFE SECURITIES                                  DISCHGED    5/18/2001
NCF FINANCIAL SERVICES, INC.                         PERMTRES    9/26/2003


SHEARSON, LEHMAN BROTHERS, INC.                      PERMTRES    4/28/1992


PRINCIPAL FINANCIAL SECURITIES,INC.                  DISCHGED    4/18/1997




FREIDMAN, BILLINGS, RAMSEY AND CO., INC.             PERMTRES   12/23/1998


DEAN WITTER REYNOLDS INC.                            DISCHGED    12/4/1998




FINANCIAL NETWORK INVESTMENT CORPORATION             PERMTRES     9/1/1996
RAYMOND JAMES FINANCIAL SERVICES                     DISCHGED   12/31/2000
MERRILL LYNCH                                        DISCHGED    5/27/1999
AMERICAN EXPRESS FINANCIAL ADVISORS INC.             DISCHGED   12/29/2001
VFINANCE INVESTMENTS                                 DISCHGED    8/25/2005
MERRILL LYNCH                                        DISCHGED    8/23/2000
DAIN RAUSCHEN                                        VOLUNTRY   10/25/2000

KELLERMEYER BUILDING SERVICES OF DAYTONS SOUTHDALE   PERMTRES    12/1/1978




MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED   DISCHGED    5/27/1997

PAINE WEBBER                                         PERMTRES    7/28/1995




MERRILL LYNCH                                        PERMTRES    7/30/1993
PHOENIX MUTUAL                                       DISCHGED     7/1/1977
UBS PAINE WEBBER INC.                      DISCHGED   7/22/2002
BEAR STEARNS                               PERMTRES    5/7/2003


SHEARSON LEHMAN HUTTON INC.                DISCHGED   7/28/1988


MERRILL LYNCH                              DISCHGED   9/26/1991


G. P. PHELPS & CO. INC                     PERMTRES   6/21/1993

INVESTMENT MANAGEMENT AND RESEARCH, INC.   DISCHGED    6/1/1990


MERRILL LYNCH                              PERMTRES   11/1/1993




ADVEST BRANCH MANAGEMENT                   PERMTRES   3/15/1994

POWELL & SATTERFIELD, INC.                 PERMTRES    2/9/1984
THOMAS MCKINNON                            PERMTRES   10/1/1974


PRUDENTIAL SECURITIES, INC.                PERMTRES   8/12/1993




SENTRA SECURITIES CORP.                    PERMTRES   4/11/1984




HERETH, ORR & JONES                        PERMTRES    1/1/1982




PRUDENTIAL SECURITIES INCORPORATED         DISCHGED    4/9/1997




DEAN WITTER REYNOLDS, INC.                 PERMTRES   12/1/1978
A G EDWARDS                                DISCHGED   3/13/2001
MILKIE FERGUSON INVESTMENTS                PERMTRES   1/28/2009
RONEY & COMPANY                             DISCHGED     5/8/1985




EDWARD D. JONES & CO.                       PERMTRES    2/11/1976
J.C. BRADFORD & CO.                         DISCHGED    3/10/1988




PRUDENTIAL SECURITIES INC.                  PERMTRES    4/25/1994

WASHINGTON SQUARE SECURITIES, INC.          DISCHGED    10/3/1996

KEMPER (BLUNT, ELLIS & LOEWI)               DISCHGED    8/23/1991

SHEARSON LEHMAN HUTTON INC                  DISCHGED    7/21/1989


DEAN WITTER REYNOLDS                        PERMTRES    3/26/1992
FIRST UNION                                 DISCHGED     5/7/2001




EDWARD D. JONES & CO.                       PERMTRES   11/19/1991


SALOMON SMITH BARNEY INC.                   DISCHGED     8/8/1994

PRUDENTIAL-BACHE                            PERMTRES    9/19/1986


HOWARD, WEIL, LABOUISSE, FRIEDRICHS, INC.   PERMTRES    3/21/1983
PAINE WEBBER                                VOLUNTRY    5/13/1997
UBS FINANCIAL SERVICES INC.                 DISCHGED    1/26/2007
PRUCO SECURITIES                            DISCHGED     2/2/2005
ADVEST                                      DISCHGED   12/10/2002
SHERSON LEHMAN                              DISCHGED     5/2/1992




ED. D. JONES & COMPANY                      DISCHGED    6/23/1995
CONSOLIDATED INVESTMENT SERVICES            VOLUNTRY    1/17/1990
PRUDENTIAL SECURITIES                          DISCHGED    10/9/1992
NATCITY INVESTMENTS                            PERMTRES    9/13/2002
SHEARSON                                       DISCHGED    5/23/1986
STIFEL, NICOLAS & CO.                          PERMTRES    6/12/1987

ADVEST, INC.                                   PERMTRES    1/18/1991




FIRST UNION CAPITAL MARKETS CORP.              PERMTRES    6/17/1996
FIRST COLUMBIA CORPORATION                     DISCHGED    9/10/1984
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC   PERMTRES    7/12/2002
MERRILL LYNCH, PIERCE, FENNER & SMITH          DISCHGED    9/15/1982


COMMERCE INVESTMENT CORP.                      DISCHGED    4/16/1993




FIRST ALLIED SECURITIES, INC.                  PERMTRES    12/3/1996
ARK SECURITIES CO., INC.                       PERMTRES    5/22/2005
ROTAN MOSLE                                    PERMTRES     8/1/1988


JEFFRIES & COMPANY,INC.                        DISCHGED     4/3/1992
JP MORGAN SECURITIES INC.                      VOLUNTRY    11/9/2001




E.F. HUTTON & CO., INC.                        PERMTRES     8/3/1987
J. J. B. HILLIARD, W. L. LYONS, LLC            DISCHGED    12/3/2008
JEFFERSON PILOT SECURITIES                     PERMTRES    5/15/2002
ARTHUR'S MEN'S SHOP                            PERMTRES    7/16/1970

ROBINSON HUMPHREY                              PERMTRES    5/31/1995

SMITH BARNEY                                   PERMTRES   10/15/1990
PAINEWEBBER INC.                               PERMTRES    2/20/1992




MERRILL LYNCH                                  PERMTRES    9/25/1981
PRUDENTIAL-BACHE                                     DISCHGED    3/18/1988


MORGAN, STANLEY & CO. INC.                           PERMTRES

ROTAN MOSLE                                          DISCHGED    8/12/1987
COWEN & CO                                           PERMTRES   12/13/1983
EDWARD D. JONES & CO.                                DISCHGED    6/22/1989




E.F. HUTTON                                          DISCHGED    7/30/1982

EDWARD D. JONES & CO.                                DISCHGED    11/3/1987




BERTHEL FISHER AND COMPANY FINANCIAL SERVICES        VOLUNTRY    8/31/1999
L.F. ROTHSCHILD & CO., INCORPORATED                  DISCHGED    9/18/1987
PRUDENTIAL-BACHE SECURITIES                          DISCHGED     3/3/1988




PEBSCO SECURITIES CORP                               DISCHGED    8/31/1982




MORGAN KEEGAN & CO.                                  PERMTRES    11/4/1982
MORGAN STANLEY DW, INC                               DISCHGED    5/19/2004
NELSON SECURITIES, INC.                              VOLUNTRY    5/31/2002


PRUDENTIAL-BACHE SECURITIES                          DISCHGED     8/5/1986
SALOMON SMITH BARNEY                                 DISCHGED    3/28/2000




MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED   DISCHGED     8/8/1997
SHEARSON LEHMAN HUTTON, INC.                              DISCHGED    5/12/1988




MERRILL LYNCH                                             DISCHGED     3/1/1981


AMERICAN EXPRESS FINANCIAL ADVISORS INC.                  DISCHGED    2/27/1991




PRUDENTIAL SECURITIES                                     PERMTRES    2/21/1991




FIRST JERSEY SECURITIES, INC.                             VOLUNTRY    9/12/1986




LEHMAN BROTHERS KUHN                                      PERMTRES    7/29/1981
UBS FINANCIAL SERVICES INC.                               DISCHGED    8/31/2005




MERRILL LYNCH                                             PERMTRES    7/26/1993


PRUDENTIAL-BACHE SECURITIES INC.                          VOLUNTRY    6/20/1984


PRUDENTIAL BACH SECURITIES                                DISCHGED     8/1/1980
PARK AVENUE SECURITIES                                    PERMTRES    2/26/2004
SOUTHWEST SECURITIES, INC.                                DISCHGED   10/12/2004


EDWARD D. JONES                                           DISCHGED    3/15/1994
MORGAN STANLEY & CO., INC. (MORGAN STANLEY DEAN WITTER)   PERMTRES    10/6/1999




PRUDENTIAL SECURITIES INC.                                PERMTRES   10/24/1991
H. D. VEST INVESTMENT SEC., INC.             DISCHGED   10/14/2005
THE STREET, INC.                             VOLUNTRY   10/27/2007
DAIN BOSWORTH, INC                           PERMTRES     7/2/1993


J.W. GANT                                    PERMTRES    7/10/1992
BROKERS TRANSACTION SERVICES                 DISCHGED    12/1/1996
PRUCO SECURITIES LLC                         VOLUNTRY    4/28/2004


GRUNTAL & CO                                 PERMTRES   12/16/1993


PRIME CHARTER LIMITED                        DISCHGED    2/12/1997

D. H. BLAIR & COMPANY                        DISCHGED    8/27/1990
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC   DISCHGED    11/1/2004


PAINEWEBBER                                  DISCHGED     9/7/1994
HERITAGE HOTEL PARTNERS (HHP)                DISCHGED    5/27/1987

DREYFUS SERVICE CORPORATION                  PERMTRES    11/3/1991

LEGG MASON WOOD WALKER, INCORPORATED         DISCHGED   10/15/1991
TD AMERITRADE                                PERMTRES     6/1/2006


EQ FINANCIAL CONSULTANTS, INC.               PERMTRES     5/9/1996




MERRILL LYNCH                                PERMTRES     3/9/1995
UBS FINANCIAL SERVICES, INC.                 DISCHGED    8/22/2007
CANTOR FITZGERALD & CO.                      VOLUNTRY     5/1/2007


PAINEWEBBER INCORPORATED                     DISCHGED    5/18/1992

KEMPER SECURITIES, INC                       DISCHGED     6/3/1993
HARBOR INVESTMENTS                           PERMTRES    6/28/1989


CAPITAL BROKERAGE CORPORATION                DISCHGED    5/24/1990
NEW YORK LIFE INSURANCE, CO                  DISCHGED    6/18/2002
JP MORGAN SECURITIES INC.                    DISCHGED   11/25/2008
DAIN RAUSCHER                             DISCHGED     5/1/2000

EDWARD D JONES & CO.                      DISCHGED    5/28/1992


CAPITAL SECURITIES OF AMERICA, INC.       DISCHGED     8/7/1997

IDS FINANCIAL SERVICES                    DISCHGED     4/8/1993
MCDONALD INVESTMENTS                      PERMTRES     4/8/2005


SALOMON SMITH BARNEY INC.                 PERMTRES    6/29/1995




OLDE DISCOUNT CORPORATION                 DISCHGED    6/18/1992




MERRILL LYNCH                             DISCHGED    8/12/1998




PAINEWEBBER INCORPORATED                  DISCHGED   10/30/1995
STERN AGEE                                PERMTRES    2/20/2008

A.G. EDWARDS & SONS, INC.                 DISCHGED    5/18/1993




ROBERT THOMAS SECURITIES, INC.            DISCHGED    8/11/1993
NOMURA SECURITIES INC.                    DISCHGED   10/17/2002
NORTHWESTERN MUTUAL INVESTMENT SERVICES   PERMTRES    11/1/2004




SMITH BARNEY, HARRIS UPHAM & CO., INC.    PERMTRES    6/10/1991




MARK TWAIN BROKERAGE SERVICES, INC.       PERMTRES    7/18/1992


PAINEWEBBER INC.                          PERMTRES    11/9/1990
REDSTONE CONSULTING, LLC                             VOLUNTRY    8/16/2002




A.G. EDWARDS & SONS, INC.                            PERMTRES    1/29/1990




AMERICAN EXPRESS FINANCIAL ADVISORS INC.             DISCHGED     8/9/1996




LAWSON FINANCIAL CORPORATION                         PERMTRES    8/10/1993


SCHWEITZER & COMPANY                                 DISCHGED   12/29/1989
THE BOSTON COMPANY ASSET MANAGEMENT                  VOLUNTRY    12/5/2005


PAINEWEBBER, INC                                     PERMTRES   11/13/1992
THOMPSON MCKINNON                                    PERMTRES    2/21/1986
JP MORGAN                                            PERMTRES    1/11/2006

TRUSTMARK FINANCIAL SERVICES                         DISCHGED    2/28/2003
ESSEX NATIONAL SECURITIES                            PERMTRES    7/20/2001
COMMERCE BANK NA, KANSAS CITY MISSOURI               PERMTRES    5/10/2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED   PERMTRES     3/7/1996
DEAN WITTER REYNOLDS, INC.                           DISCHGED   10/13/1992




DEAN WITTER REYNOLDS INC.                            PERMTRES   10/19/1995




SHEARSON LEHMAN HUTTON                               PERMTRES    4/20/1989
AMERICAN EXPRESS FINANCIAL ADVISORS                  VOLUNTRY    8/16/2001
MERRILL LYNCH                                        DISCHGED    5/27/1999


GRUNTAL & CO.                                        PERMTRES    7/23/1993
STUART-JAMES, INC                                    PERMTRES   7/13/1987
MORGAN STANLEY                                       DISCHGED    2/7/2003
SOUTHWEST SECURITIES INC                             DISCHGED   7/17/2001
MCDONALD INVESTMENTS INC.                            PERMTRES   8/15/2006


WALNUT STREET SECURITIES, INC.                       PERMTRES   2/20/1996
UBS FINANCIAL SERVICES INC.                          DISCHGED   8/31/2005
OBERLIN FINANCIAL CORP                               DISCHGED   8/10/2005

HIBERNIA NATIONAL BANK                               PERMTRES   5/17/2001
SHIELDS & COMPANY                                    DISCHGED   1/11/2001


PRUDENTIAL SECURITIES                                PERMTRES    8/9/1995


WILLIAM BLAIR & COMPANY L.L.C.                       DISCHGED   7/11/1994




FIRST INVESTORS CORPORATION                          PERMTRES   5/12/1989
MORGAN STANLEY                                       DISCHGED   2/15/2000
UBS PAINEWEBBER                                      PERMTRES   7/15/2002
MERRILL LYNCH                                        DISCHGED    7/7/1999




GRIFFIN FINANCIAL SERVICES                           PERMTRES    1/6/1995
RAYMOND JAMES FINANCIAL                              DISCHGED   11/9/2004
U BS PAINEWEBBER                                     DISCHGED    7/5/2002




PAINE WEBBER, INC.                                   DISCHGED   4/28/1994


MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED   DISCHGED   8/13/1997
SPRUNG & WISE SECURITIES, INC.       DISCHGED   10/13/1987
ADVANCED EQUITIES, INC.              DISCHGED    4/24/2006
DAVID A. NOYES & COMPANY             PERMTRES   11/23/1999


WILLIAMS CAPITAL GROUP, L.P.         DISCHGED     3/3/1999




MERRILL LYNCH                        PERMTRES     5/6/1994




SALOMON BROTHERS INC                 PERMTRES    12/1/1988


MERRILL LYNCH                        PERMTRES    8/11/1992


PRUDENTIAL SECURITIES INCORPORATED   DISCHGED    9/27/1994


SHEARSON LEHMAN BROTHERS, INC.       DISCHGED    1/21/1991
KIDDER, PEABODY & CO. INCORPORATED   PERMTRES    4/21/1993


PAINEWEBBER                          DISCHGED   10/28/1992


PRUDENTIAL SECURITIES INCORPORATED   DISCHGED    12/9/1994




INTERSECURITIES, INC.                PERMTRES    1/15/1998
BANK OF OKLAHOMA AND BOSC INC.       VOLUNTRY   11/13/1998
DAVENPORT & COMPANY, LLC             PERMTRES     3/5/2009
PRUCO SECURITIES CORPORATION         VOLUNTRY     3/2/2001
OPPENHEIMER & CO., INC.                              PERMTRES    1/18/1993
SECURITIES AMERICA                                   DISCHGED    2/11/2005
VERAVEST INVESTMENTS, INC                            PERMTRES   12/13/2002




GNA SECURITIES, INC                                  DISCHGED    8/17/1990


TITAN/VALUE EQUITIES GROUP, INC.                     DISCHGED     6/5/1996


MERRILL LYNCH, PIERCE, FENNER& SMITH INC.            DISCHGED     6/5/2000
BANC ONE CAPITAL MARKETS                             PERMTRES    6/23/2000


MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED   DISCHGED    6/10/1987
PRUCO SECURITIES                                     PERMTRES   10/26/1990


GILMORE SECURITIES & CO.                             DISCHGED    2/17/1999


MERRILL LYNCH                                        PERMTRES     7/7/1986
PRUDENTIAL INSURANCE COMPANY                         DISCHGED    1/28/1999
SUNAMERICA SECURITIES INC                            PERMTRES    11/5/1999


MERRILL LYNCH                                        DISCHGED    4/10/1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED   DISCHGED    12/1/2008
TERRA NOVA FINANCIAL, LLC                            DISCHGED    2/15/2008
MERRILL LYNCH                                        DISCHGED    3/13/2006
LEHMAN BROTHERS INC.                                 DISCHGED    8/15/1990
SUNTRUST INVESTMENT SERVICES, INC.                   DISCHGED    5/16/2006


SALOMON SMITH BARNEY INC.                            PERMTRES    2/14/1997




INTERVEST INTERNATIONAL EQUITIES CORPORATION         PERMTRES    3/16/1990
A.G. EDWARDS                                         PERMTRES    9/11/1991




PRUDENTIAL SECURITIES INCORPORATED                   DISCHGED   10/21/1996




MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED   DISCHGED     1/2/1996


SHEARSON LEHMAN HUTTON                               DISCHGED    2/26/1990




COORDINATED CAPITAL SECURITIES, INC.                 PERMTRES   10/24/1995

RAYMOND, JAMES & ASSOCIATES, INC.                    DISCHGED    5/22/1986




MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED   DISCHGED    6/10/1998
SHEARSON LEHMAN BROTHERS                             PERMTRES    7/27/1993
SHEARSON LEHMAN HUTTON                               DISCHGED    2/14/1990




MERCANTILE INVESTMENT SERVICES, INC.                 VOLUNTRY    9/19/1997
SWS FINANCIAL SERVICES                               DISCHGED    8/21/2003

PRUDENTIAL SECURITIES INCORPORATED                   PERMTRES    10/9/1992

PRUDENTIAL SECURITIES INCORPORATED                   DISCHGED    12/9/1994




CIBC OPPENHEIMER CORP.                               PERMTRES     5/1/1996


SHEARSON                                             DISCHGED    9/27/1990
DEAN WITTER REYNOLDS                    DISCHGED     4/1/1987

DEAN WITTER REYNOLDS                    PERMTRES   12/19/1985
PRUDENTIAL SECURITIES INCORPORATED      DISCHGED    3/12/1986


UNITED SECURITIES ALLIANCE, INC.        PERMTRES    8/25/1997


PAINE WEBBER INC.                       DISCHGED    11/1/1995

LINCOLN FINANCIAL ADVISORS CORORATION   PERMTRES     6/1/1998
LEGG MASON WOOD WALKER, INC.            DISCHGED    12/7/1999


BLUNT ELLIS & LOEWI INC.                DISCHGED    1/16/1990
A.G. EDWARDS & SONS, INC.               DISCHGED    5/31/2007
SALOMON SMITH BARNEY INC.               DISCHGED     5/1/1995

CHUBB SECURITIES, CORP.                 DISCHGED   12/21/1987
MERRILL LYNCH                           DISCHGED    9/30/1997
PRUDENTIAL SECURITIES INCORPORATED      PERMTRES    6/21/2001


LEGEND CAPITAL CORPORATION              DISCHGED    8/14/1992
SAPERSTON FINANCIAL INC.                DISCHGED    1/22/1993

IDS FINANCIAL SERVICES INC.             PERMTRES    4/22/1994
W. R. HAMBRECHT & CO.                   VOLUNTRY     5/9/2005
MERRILL LYNCH                           DISCHGED    4/15/2002




MERRILL LYNCH, PIERCE FENNER & SMITH    PERMTRES     5/1/1982
NATIONAL PLANNING CORPORATION           DISCHGED   12/17/2008




NOMURA SECURITIES CO, LTD.              DISCHGED    5/22/1996
SUTRO & CO. INCORPORATED                DISCHGED    3/31/1998
A.G. EDWARDS AND SON, INC.              DISCHGED    2/15/2001


SHEARSON LEHMAN HUTTON INC              DISCHGED   11/14/1989
DEEUTSCHE BANK SECURITIES INC.                       DISCHGED    6/28/2006
INVEST FINANCIAL SERVICES, INC.                      DISCHGED    1/24/2001




FIRST SECURITIES COMPANY                             PERMTRES   11/22/1986


BRENNER STEED, INC.                                  VOLUNTRY   11/15/1984




PAINE WEBBER                                         PERMTRES    3/17/1995




MCLAUGHLIN, PIVEN, & VOGEL                           PERMTRES    5/14/1993




CALIFORNIA MUNICIPAL INVESTORS, INC.                 PERMTRES   12/21/1982
UBS FINANCIAL SERVICES INC.                          DISCHGED    7/20/2007


MERRILL LYNCH                                        PERMTRES     7/9/1999
NIELSON AND CLARK                                    DISCHGED    5/15/1985




MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED   DISCHGED     6/6/1996




SELECT CAPITAL CORPORATION                           DISCHGED     4/7/1998




DEAN WITTER REYNOLDS                                 DISCHGED    2/17/1989




MERRILL LYNCH                                        PERMTRES     3/5/1990
J.J.B. HILLIARD, W.L. LYONS, INC.                    DISCHGED     2/2/2007
ADVEST, INC.                                         PERMTRES    4/3/1984
ADVEST                                               VOLUNTRY   10/1/1983

NORSTAR BROKERAGE                                    DISCHGED    6/2/1987


DOVER GROUP, INC.                                    DISCHGED   12/2/1987




DEAN WITTER REYNOLDS, INC.                           DISCHGED    1/3/1985


ADVANTAGE CAPITAL CORP                               DISCHGED   2/15/1991
THE ADVISORS GROUP, INC.                             DISCHGED   7/21/1997

MONTGOMERY SECURITIES                                PERMTRES    1/6/1994




SMITH BARNEY, HARRIS UPHAM, CO., INC.                DISCHGED   7/21/1987




MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED   PERMTRES   2/26/1996




DEAN WITTER REYNOLDS, INC.                           DISCHGED   1/18/1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INC.           DISCHGED   8/22/2008
PAINEWEBBER, INC                                     PERMTRES   9/15/1992


GRUNTAL & CO. INC                                    DISCHGED   8/24/1994




MERRILL LYNCH                                        DISCHGED   5/23/1984
T J RANEY                                      PERMTRES   1/26/1989




STIFEL NICOLAUS & CO., INC.                    PERMTRES    2/8/1993
SIGNATOR INVESTORS, INC.                       DISCHGED   1/25/2000
BACHE HALSEY                                   PERMTRES




MERRILL LYNCH, PIERCE FENNER & SMITH INC.      DISCHGED    4/5/1984

TITAN VALUE EQUITIES GROUP                     PERMTRES   7/10/1992


CITIZENS AND SOUTHERN SECURITIES CORPORATION   DISCHGED   9/28/1989


BARNETT BROKERAGE SERVICE, INC.                PERMTRES   7/18/1989




SMITH KLINE & FRENCH LABORATORIES              DISCHGED   10/1/1981
allgtns
ENTERING INCORRECT INFORMATION INTO THE FIRM'S SYSTEMS AND WORKING OUT OF AN UNAPPROVED BRANCH LOCATIO
ALLEGED TO HAVE STOLEN BEER FROM MY EMPLOYER BY ALLEGEDLY GIVING IT TO A FRIEND AT A DISCOUNT.
AMENDMENT TO CUSTOMER'S WRITTEN INSTRUCTIONS.
I WAS TERMINATED FOR WRONGFUL TAKING OF PROPERTY.
RETAIL THEFT
IT WAS ALLEGED THAT I HAD STOLEN PROPERTY

SEVERAL ITEMS OF MERCHANDISE WENT MISSING IN THE STORE. ANOTHER EMPLOYEE AND I WERE PERMITTED TO RESIGN R
##################################################################################
STEALING CLOTHES FROM THE STORE, TAKING THEM HOME, AND THEN TRYING TO SNEAK THEM BACK INTO THE STORE.
SHOPLIFTING CHARGE
THEFT BY TAKING
##################################################################################
THE FIRM SUSPECTED 1) THE SOLICITATION OF AN OIL AND GAS PROGRAM NOT SPONSORED BY THE FIRM, WITHOUT REQUE
##################################################################################
WRONGFUL TAKING OF PROPERTY
THEFT
ALLEGED INACCURATE RECORDING OF CLIENT INFORMATION
ALLEGEDLY WAS GOING TO ALLOW MY GIRLFRIEND AND SON TO LEAVE THE STORE W/O PROPERLY PAYING FOR ALL ITEMS.
I EXTENDED AN EMPLOYEE DISCOUNT FOR SKIN CARE PRODUCTS TO A NON FAMILY MEMBER NOT KNOWING THAT DOING S
##################################################################################
FALSIFICATION OF APPLICATION.
##################################################################################
UNAUTHORIZED COPYING OF CONFIDENTIAL FIRM DOCUMENTS SUCH AS OTHER BROKER'S CLIENT LISTS. NOT REPORTING ON
ALLEGED VIOLATION OF BUSINESS CONDUCT BY ACCEPTING AND USING CONFIDENTIAL CLIENT INFORMATION PROVIDED BY
##################################################################################
ACCUSED OF TAKING ITEM THAT BELONGED TO BURDINES.
NEGILGENCE; TRANSFER; FAILURE TO EXECUTE; MISREPRESENTATION/NON-DISCLOSURES; OMMISSION OF FACTS; MANIPULA
COLLEAGUE ALLEGED THAT CLIENTS I WORKED WITH BELONGED TO JOINT POOL CONTRARY TO COMMITMENTS MADE TO M
I WAS ACCUSED OF NOT PROPERLY PRINTING A PREVIOUSLY REVIEWED BLOTTER FOR HARD COPY PURPOSES
WRONGFUL TAKING OF PROPERTY
DISCRECTIONARY AUTHORITY WITHOUT APPROPRIATE AUTHORIZATION.
INTERNAL REVIEW FOR UNAUTHORIZED TRADING, SPECIFICALLY THE ALLEGATIONS MADE BY MR. RON MARTIN
##################################################################################
THROUGH A NEWSPAPER ARTICLE 0N 9/8/2001 I HAD BEEN SUBJECT TO A CEASE AND DESIST ORDER BY THE PENN SECURITIE
THE ADVISOR RESIGNED WHILE UNDER REVIEW FOR SIGNATURE DISCREPANCIES.

REGISTERED REPRESENTATIVE SUBMITTED NON-GENUINE SIGNATURES ON TWO OWNERSHIP/BENEFICIEARY FORMS FOR A C
FAILED TO SUPERVISE
UNPROFESSIONAL BEHAVIOR AT A TESTING CENTER
ALLEGATIONS CHARGE THEFT OF MOVABLE PROPERTY.
DID NOT COMPLY WITH FIRM POLICY
PERMITTED TO RESIGN DUE TO QUESTIONS SURROUNDING COMPLIANCE WITH THE FIRMS POLICY ON MAINTAINING ACCUR
FA SIGNED CLIENTS' NAME TO NEW ACCOUNT FORM AT DIRECTION OF ANOTHER EMPLOYEE. FA WAS TERMINATED FOR VIO
SHOPLIFTING/THEFT
INACCURATE ENTERTAINMENT VOUCHERS
DID NOT FULLY DISCLOSE ALL MISDEMEANORS ON APPLICATION FOR EMPLOYMENT.
REP CONSPIRED WITH CUSTOMER TO DEFRAUD THE FIRM OF $21,000.00
NO SPECIFIC ALLEGATIONS
ON FORM U-5 GOLDMAN SACHS ALLEGED, "ALLEGED CONDUCT RELATED TO INAPPROPRIATELY LARGE PROPRIETARY FUTUR
I VOLUNTARILY RESIGNED AFTER ALLEGATIONS HAD BEEN MADE THAT I HAD PROVIDED INVESTMENT ADVICE TO EMPLOYEE
REPRESENTATIVE ALLEGEDLY USED COMPANY CREDIT CARD FOR NON-BUSINESS RELATED EXPENSES AND SUBMITTED RECEIP
WRONGFUL TAKING OF PROPERTY.
##################################################################################
ACCEPTED AN ORDER FROM A CLIENT TO LIQUIDATE SECURITIES FOR THE CLIENT'S GRANDCHILDREN'S ACCOUNT WITHOUT A
CHURNING, FAILURE TO FOLLOW COMPANY POLICY AND SUPERVISION
LEAVING WITH FIRM PROPERTY
MR.FOSTER WAS TERMINATED FOR CAUSE AFTER EXECUTING A TRANSACTION IN A CLIENT'S ACCOUNT WITHOUT THE CLIENT
##################################################################################
##################################################################################
I ACKNOWLEDGE TO EDWARD JONES THAT I HAD SIGNED 3 CUSTOMER CREDIT CARD APPLICATIONS.


N/A
ALLEGED USING UNAUTHORIZED MATERIAL DURING
SALES PRESENTATIONS, MISREPRESENTATION REGARDING MY PREVIOUS
INVESTMENT HISTORY AND THOSE OF MY CLIENTS, ALLEGED POSSESSION
OF A SCRIPT.
THEFT OF MUSIC CD
N/A
I WAS ACCUSED OF THEFT. $350 OF TIPS I
WASN'T SUPPOSED TO ACCEPT.
FAILURE TO DISCLOSE LARCENY CHARGE AND FAILURE TO APPEAR CHARGE.
INDIVIDUAL PROVIDED INACCURATE INFORMATION REGARDING EDUCATIONAL ACCOMPLISHMENTS ON PRE-EMPLOYMENT
TEMINATED FOR FAILING TO DISCLOSE MATERIAL INFORMATION DURING AND INTERNAL REVIEW OF HIS INVOLVEMENT IN A
FAILURE TO COMPLETE SER 7 CONTINUING EDUCATION WITHIN PRESCRIBED WINDOW. CE WAS COMPLETED NOVEMBER 20
ALLEGATIONS WERE MADE THAT FINANCIAL ADVISOR PIETRACCINI EXERCISED DISCRETION WITHOUT WRITTEN AUTHORITY A
MONIR WAS TERMINATED AS A RESULT OF FAXING A LETTER TO AN AGENT WHICH WAS NOT COMPLIANCE APPROVED.
REPRESENTATIVE FAILED TO DISCLOSE ON HIS U-4 A FELONY CHARGE THAT WAS REDUCED TO A MISDEMEANOR.
I PLACED TRADES UNAUTHORIZED STATE
NONE
TAKING A $10 CHOCOLATE CAKE
EX-WIFE ALLEGATIONS WHERE THAT I REMOVED WINDOW A/C THAT SHE AND I DISAGREED ON COMMUNITY PROPERTY IMP
ACCUSED OF VIOLATING FIRM AND INDUSTRY STANDARDS OF CONDUCT
##################################################################################
ALLEGATIONS ARE SUSPICION OF USING DISCRETION IN ACCOUNTS
FIRM ALLEGES NIKOLAKAKOS PLANNED ON LEAVING THE FIRM AND THAT NIKOLAKAKOS MAY HAVE BEEN ACTING IN CONCER
I WAS TERMINATED BECAUSE OF THEFT.
WHILE CHECKING GROCERIES AT LUCKY SUPER MARKET AT 4516 MISSION BLVD SAN DIEGO CA 92109. I SOLD A SIX-PAC OF B


USED IMPROPER ALLOCATION PROCEDURE TO ALLOCATE TO CLIENT ACCOUNTS.
MR. SIEGEL ALLEGEDLY VIOLATED PRUDENTIAL SECURITIES INFORMATION SECURITY POLICY.
VIOLATION OF CORPORATE POLICY
UNAPPROVED E-MAIL CORRESPONDENCE
N/A
EMPLOYER ALLEGED WRONGFUL TAKING OF PROPERTY
IN REGARDS TO GIFT CERTIFICATES OF $200.00 MISSING AND ALSO OF
DISCREPENCIES OF OCT-DEC OF 1982 THAT THEY WERE AUDITING.
MR PARDY WAS TERMINATED BY THE FIRM FOR VIOLATING FIRM POLICY AND HIS CONTRACTUAL AGREEMENT BY REMOVING
MY REGISTERED PRINCIPAL AT AMERIPRISE HAS ALLEGED I WAS NOT TIMELY IN UPDATING MY OUTSIDE BUSINESS DISCLOSU
CUSTOMER SAID HE HAD A STANDING ORDER TO SELL TO LIMIT LOSS. CUST COMPLAINT WAS DENIED BY FIRM
VIOLATION OF FIRM POLICIES AND PROCEDURES
##################################################################################
VIOLATION OF FIRM POLICY BY FAILING TO DISCLOSE A LOAN OBTAINED FROM A CUSTOMER.
BASED ON ALLEGATIONS FROM PREVIOUS FIRM CREWS - MORGAN KEEGAN TERMINATED ME STATING I VIOLATED FIRM POL
MR. BOHLING PREPARED TAX FORMS FOR CUSTOMERS
AND ACCEPTED COMPENSATION FOR THE PREPARATION OF THE FORMS
WITHOUT NOTIFYING OR OBTAINING APPROVAL FROM OUR FIRM AS
REQUIRED BY FIRM POLICIES.
WRITING ON TOD DOCUMENT AFTER CLIENT HAD SIGNED AND WAS DECEASED.
NONE
EMPLOYEE THEFT OF A FEW SMALL ITEMS. CONSUMED
FOOD ON THE JOB OFF THE SHELF MOSTLY & TOOK A COUPLE SMALL
ITEMS UNDER $20 EACH. MINOR WHEN INCIDENT OCCURED
THEFT OF FIRM'S PROPERTY(CLIENT FILES) - FURTHER INVESTIGATION PROVED NO THEFT.
INTERNAL INVESTIGATION ALLEGED REMOVAL 0F FIRM PROPERTY AND REPAYMENT OF LOAN ARRANGEMENTS UPON TERMI
IMPROPER SALES PRACTICES - NO FURTHER DETAILS HAVE BEEN PROVIDED BY THE FORMER BROKER/DEALER, VESTAX SECUR
VIOLATION OF INTERNAL-COMPANY POLICY WITH REGARD TO INVOLVEMENT IN AN OUTSIDE BUSINESS ACTIVITY.
VIOLATION OF FIRM POLICY REGARDING FIXED ANNUITY COMPENSATION PAYMENTS
##################################################################################
##################################################################################
NASD RULE 2110, IM-2310-2. RESPONDENT, WITHOUT THE PRIOR KNOWLEDGE, AUTHORIZATION, OR CONSENT OF A PUBLIC
##################################################################################
UNREPORTED OUTSIDE BUSINESS ACTIVITY-PRIVATE
SECURITIES TRANSACTION
BUE SKY VIOLATION, MISREPRESENTATION TO A CUSTOMER
NONE
I WAS ACCUSED OF EATING A MEAL AND NOT PAYING
FOR IT. $5-10, I DON'T RECALL HOW MUCH EXACTLY.
AGENT GATES REPORTED A LIFE INSURANCE APPLICATION AS PRE-PAID WHEN HE DID NOT MEET WITH THE CLIENT, COMPLE
TRADING WITHOUT AUTHORIZATION AND MARKING "SOLIICITED"
TRADES AS "UNSOLICITED".
REMOVAL OF A HARD DRIVE FROM A COMPUTER AT MERCER CAPITAL.
POTENTIAL VIOLATIONS OF DEUTSCHE POLICIES AND PROCEDURES RELATING TO RECORD KEEPING AND FUTURES TRANSACT
REGISTERED REP ENGAGED IN OUTSIDE BUSINESS ACTIVITY WITHOUT SEEKING PRIOR APPROVAL FROM FIRM.
##################################################################################
N/A
FAILURE TO FOLLOW COMPANY POLICY.
CLIENTS ALLEGED THEY DID NOT AUTHORIZE ACCOUNT BEING FROM COMMISSION TO A FEE BASED ACCOUNT. I DISPUTED T
##################################################################################
DISCLOSING CLIENT INFORMATION
FAILURE TO DISCLOSE FELONY CHARGE ON U-4.
FAILURE TO FOLLOW ADVERTISING POLICIES AND PROCEDURES
UNAUTHORIZED TRADING.
COMPANY REVIEWED A LIFE INSURANCE POLICY THAT A CUSTOMER DID NOT GIVE TRUTHFUL INFO & THAT I SUBMITTED. CU
FAILURE TO FOLLOW FIRM POLICY
NOT PROVIDED
REMOVED CLIENT STATEMENTS FROM OFFICE.
REMOVED CLIENT RIA FILES WITHOUT AUTHORIZATION.
##################################################################################
##################################################################################
VIOLATION OF COMPANY POLICY REGARDING CONDUCT, PUBLIC RELATIONS, VIOLATIONS OF REGULATORY POLICY REGARDIN

Not Provided
VIOLATION OF COMPANY AGENT AGREEMENT FAILURE
TO DICLOSE OUTSIDE BUSINESS ACTIVITY
FAILURE TO DISCLOSE TRADE THAT WOULD HAVE VIOLATED POSITION LIMITS
1ST GLOBAL ALLEDGES THAT MR. TIMBERLAKE VIOLATED FIRM POLICY AND PROCEDURES BY FAILING TO DISCLOSE AN OUTSI
VIOLATION OF FIRM'S INTERNET POLICY
WAS THE SUBJECT OF AN INVESTIGATION RELATED TO UNEQUITABLE SALES PRACTICES.




ALLEGED VIOLATION OF COMPANY POLICY REGARDING
CHANGE OF INVESTMENTS
##################################################################################
UNAUTHORIZED TRADE IN A CUSTOMER ACCOUNT AND VIOLATION OF FIRM POLICY REGARDING TIME AND PRICE DISCRETIO
MUNICIPAL BOND TRADE TICKET <TIME STAMP> HAD BEEN ALTERED TO ALLOW COMMERCE BANK TO COMPLY WITH MSRB
RR ABSENT WITHOUT NOTICE OR EXPLANATION TO THE FIRM FOR 5 BUSINESS DAYS OR MORE. RR WAS TERMED FOR NON C
SEE BELOW - QUESTION 6.
SEE BELOW - QUESTION 6.
FAILED TO CORRECTLY PROCESS AN ORDER FOR THE PURCHASE OF SECURITIES

N/A
THE FIRM ALLEGED THAT I REMOVED BROKER
MATERIALS FROM THE PREMISES
VIOLATION OF FIRM POLICY MISURE/TAKING OF FIRM PROPERTY LOCAL PROSPECT LIST NO CAUSE NOT SECURITIES RELATED
VIOLATIONS OF COMPANY POLICIES RELATED TO UNAUTHORIZED PARTICIPATION IN AN OUTSIDE BUSINESS ACTIVITY.
Not Provided
IT WAS ALLEGED THAT I WAS AWARE OF
INFORMATION OMITTED ON TRANSCRIPTS MADE FROM MY TAPED
CONVERSATION, BUT I DID NOT REPORT THEM.
N/A
VIOLATION OF FIRM POLICY BY ACCEPTING CASH
DEPOSITS FROM CLIENTS AND DEPOSITING PERSONAL CHECKS INTO
CLIENTS ACCOUNTS.
N/A
CLIENT ALLEDGED A DISCRETIONARY TRADE.
($2,400 CREDIT TO CLIENT ACCOUNT)
VERBAL COMPLAINT FROM CLIENT'S SPOUSE ALLEGING THAT THE RISKS ASSOCIATED WITH THE EQUITY MUTUAL FUNDS EXE
FIRM ALLEGES I HAD ENGAGED IN CONDUCT INCONSISTANTWITH JUSTAND EQUITABLE PRINCIPLES OF TRADE
THE FIRM ALLEGES I SIGNED A CLIENTS W-9 FORM
WITHOUT PROPER AUTHORIZATION.
TRADING IN A STATE THE FIRM WAS NOT PROPERLY REGISTERED AS A BROKER-DEALER, CONTRARY TO THE FIRM WEBSITE.
3/95
BREACH OF EMPLOYMENT CONTRACT AND STEALING
PROPRITARY PRODUCTS. (SALES LEADS)
BREACH OF CLIENT CONFIDENTIALITY.
ALLEGED UNAUTHORIZED DISCRETIONARY TRADING AND CHURNING OF ACCOUNTS.
TWO RELATED CLIENTS MADE FALSE ALLEGATIONS AGAINST ME AND I WANTED TO FIGHT IT SINCE MY U4 WOULD BE PERMA
CLIENT ALLEGED BROKER EXECUTED TRADES WITHOUT CLIENT CONSENT.
N/A
UNAUTHORIZED TRANSACTIONS, SUITABILITY, FRAUD
N/A
RECEIVED DUPLICATE FUNDS FROM AGENTS BANK IN
THE AMOUNT OF $27,233.21 AND HAS FAILED TO RETURN THAT AMOUNT
TO THE BANK.


Not Provided
FAILURE TO FOLLOW COMPANY POLICY IN REGARD TO
CHANGE OF INVESTMENTS
VIOLATION OF COMPANY POLICY BY MARKET TIMING
N/A
MARKING NINE TICKETS RELATING TO PURCHASE OF
SHOWBOAT AS UNSOLICITED. WHEN IN FACT THEY WERE SOLIATED.
NONE
UNAUTHORIZED TRADING; I SOLD TWO STOCKS
BEFORE I TALKED WITH THE CLIENT/ THERE WAS NO LOSS. BOTH STOCKS
WERE SOLD AT A PROFIT.
BROKER DEALER ESTABLISHED POLICY PROHIBTING PRACTICE OF LAW. BROKER DEALER STATED THAT THEY WITHDREW PER
PRIVATE JAD MISMANAGEMENT INSIDE OPERATIONS
WRONGFUL TAKING OF PROPERTY DUE TO IMPROPER ENTRY ON EXPENSE REPORT.
FAILURE TO FOLLOW FIRM PROCEDURES
Not Provided
THE ALLEGATIONS AGAINST ME WERE THAT I STOLE
ACCOUNT STATEMENTS OF OTHER BROKERS WITH THE INTENT OF SELLING
THEM.
FAILURE TO FOLLOW FIRM POLICY AS OUTLINED IN THE WRITTEN SUPERVISORY PROCEDURES, AS AMENDED.
UNSUITABLE TRADING FOR STELLE MACMULLEN.
N/A
MIKE ALLEGEDLY HAD A CUSTOMER STATEMENT SENT
TO HIS HOME.
ALLEGEDLY EXERCISED DISCRETION AFTER
DISCRETION WAS TAKEN AWAY BY FIRM.
VIOLATION OF FIRM POLICY WITH RESPECT TO USE OF DISCRETION IN A CLIENT'S ACCOUNT
##################################################################################
TERMINATION FOR DISHONESTY AND FALSIFICATION OF COMPANY RECORDS
89-29578
THE CHARGE WAS THAT I CONSPIRED WITH ONE
PARTNER TO DEFRAUD ANOTHER PARTNER OF APPROXIMATELY $50,000.
VIOLATION OF FIRM POLICIES AND PROCEDURES - COPIED CUSTOMER SIGNATURE TO A NEW FORM
INTERNAL REVIEW UPON TERMINATION. GKN ALLEGED THAT I DID NOT PROMPTLY RETURN DOCUMENTS THAT IDENTIFIED M
FAILURE TO GET PERMISSION FROM FIRM TO BE A DIRECTOR OF AN OUTSIDE INVESTMENT FUND.
VIOLATION OF RULE 440 SEC REGULATION 240-17A-3(6) FAILING TO MAKE A MEMORANDUM, VIOLATION OF 10(A) OF THE 3
MANAGER WAS TERMINATED FOR VIOLATION OF COMPANY POLICIES BY CIRCUMVENTING COMPANY PROCESSES RELATED T
NOT PROVIDED
POSSIBLE VIOLATION OF WATERHOUSE SECURITIES
EMPLOYEE TRADING POLICY.
NA
VIOLATION OF FIRM POLICY
MR. PERMANN WAS TERMINATED FOR DESTROYING TWO VARIABLE LIFE APPLICATIONS IN VIOLATION OF A 9/15/1995 COUR


NONE
BREACH OF FED DUTY; THEFT OF FIRM PROPERTY
N/A
IN VIOLATION OF FIRM POLICY, CASH WAS
RECEIVED BYU MR NAZO'S FORM A CLIENT. TOW CASHIER CHECKS WERE
PURCHASED TO BE DEPOSITED IN THE CLIENTS ACCOUNT.
ALLEGEDLY LEFT FIRM WITH A 20K DEBIT IN TRADING ACCOUNT.
N/A
THAT I ACCEPTED A CASH GIFT FROM A CUSTOMER
WITHOUT FIRM APPROVAL OR FIRM KNOWLEDGE
UNAUTHORIZED TRADING AND FALSE REPRESENTATION

N/A
FAILURE TO SUPERVISE
I BECAME REGISTERED AT ANOTHER BROKER DEALER WITHOUT NOTIFYING CLARK ST. CAPITAL.
##################################################################################
BORROWING CLIENT FUNDS WITHOUT FIRM KNOWLEDGE. BORROWED FUNDS WERE REINSTATED AND THE LOAN NO LONG


##################################################################################
NOT PROVIDED
VIOLATED FIRM TELEMARKETING POLICY BY
SOLICITING PROSPECTIVE CLIENTS AND OPENING FOUR (4) NEW
ACCOUNTS WHILE WAITING FOR LICENSE TO CLEAR WITH THE NYSE EACH
CLIEND WAS OFFERED A RESCISSION LETTER AND EACH ACCEPTED
RESCISSION
##################################################################################
INTERNAL REVIEW FOR POTENTIAL STATE REGISTRATION VIOLATION AND ALLEGED SELLING AWAY
DISTRIBUTION OF UNAPPROVED SALES MATERIAL IN VIOLATION OF COMPANY POLICY
REPRESENTATIVE DID NOT FOLLOW FIRM PROCEDURES WHEN RECEIVING VERBAL COMPLAINTS.
NOT PROVIDED
TRADING IN DISCRETIONARY ACCOUNT WITHOUT
PROPER DOCUMENTS ON FILE
NA
MISREPRESENTATION OF COMMISSION TO REACH
BONUS.
Not Provided
FAILURE TO ADHERE TO FBR'S POLICIES AND
PROCEDURES REGARDING SUPERVISION THE EXERCISE OF DISCRETION IN
CLIENT ACCOUNTS AND THE REPORTING OF CUSTOMER COMPLAINTS.
N/A
DEAN WITTER ALLEDGED I VIOLATED COMPANY
POLICY IN RELATION TO OBTAINING A LOAN FROM A CUSTOMER.
N/A
CLIENTS ALLEGED UNAUTHORIZED TRADES OR
FAILURE TO FOLLOW INSTRUCTIONS AFTER MARKET DECLINED IN
JUNE/JULY 1996.
##################################################################################
I WAS ACUSED OF NOT GIVING MERRILL LYNCH ASSURANCE THAT I WOULD NOT ACCEPT A POTENTIAL BEQUEST
DEFAULT OF FRANCHISE AGREEMENT
VFINANCE ALLEGED I DISTRIBUTED AN UNAUTHORIZED PRIVATE PLACEMENT TO BROKERS IN MY OFFICE WITH THE ATTEMPT
I WAS ACCUSED OF VIOLATING FIRM POLICY REGARDING OUTGOING CORRESPONDENCE.
##################################################################################
I WAS PERMITTED TO RESIGN FOR TAKING A WATCH
AND A TAPE RECORDER AND SOME OTHER SMALLER ITEMS.
NONE
"MR. SILVA FAILED TO KEEP HIS DESK MANAGER
INFORMED OF THE MANNER IN WHICH A SECURITY POSITION WAS MARKED
TO THE MARKET, WHICH MARK RESULTED IN THE OVERVALUATION OF THE
POSITION."
N/A
NONE
N/A
MR. LAGATTUTA WAS TERMINATED AFTER IT WAS
DISCOVERED AND HE ADMITTED THAT HE SIGNED CLIENTS NAMES TO
DOCUMENTS.
VIOLATION OF SECTION I, ARTICLE III
AT THE TIME OF HIS DISCHARGE, FINANCIAL ADVISOR EDDIE BLOOMFIELD WAS UNDER INTERNAL REVIEW DUE TO LACK OF P
SENT EMAIL TO CLIENT WITHOUT SUPERVISORS APPROVAL
NONE
ALLOWED CUSTOMER ACCOUNTS TO BECOME UNSECURED
DEBTS
NONE
UNAUTHORIZED MAILING OF LETTERS (NOT MANAGER
OR COMPLAINCE APPROVED)
N/A
PARTICIPATING IN PRIVATE SECURITIES
TRANSACTIONS WITHOUT PRIOR WRITTEN APPROVAL FROM G.R. PHELPS.
N/A
SELLING AWAY
NONE
ALLEGED EXERCISE OF DIRECTION IN A CLIENTS
ACCOUNT
NYSE ARBITRATION 1004-004156
ALLEGED THAT I SPOKE TO AND OFFERED ADVICE TO
A MO RESIDENT WHILE NOT REGISTERED TO DO SO IN VIOLATION OF
FIRM INSTRUCTIONS.
AA SDD 79-001
FAILURE TO SUPERVISE
NOT PROVIDED
NONE
VIOLATION OF FIRM POLICY - ALLEGED BUYING
SECURITIES ON THE CLOSE
N/A
A CUSTOMER ALLEGED THAT T. KINGSBERRY
ENROLLED HIM INTO A IRA INVESTMENT WITHOUT HIS AUTHORIZATION.
SENTRA SECURITIES PERMITTED T. KINGSBERY TO RESIGN WITHOUT
FINES, ETC.
I WAS TERMINATED DUE TO MY SECURITIES LICENSE
BEING SUSPENDED FOR ONE (1) YEAR RESULTING IN MY INABILITY TO MARKET SECURITIES FOR
HERETH, ORR & JONES. NO ACTUAL OR
ALLEGED DAMAGES OR CLAIMS.




N/A
N/A
UNKNOWN
ALLEGED MARGIN VIOLATIONS & PARTICIPATION IN
ANOTHER BROKERS ACCOUNT YIELDING UNDISCLOSED INTERESTS. ALSO,
THAT I SHOULD HAVE KNOWN OF A REVERSE ENTRY IN A CUSTOMER ACCT.
PARTICIPATING IN A PRIVATE PLACEMENT WITHOUT FIRM'S PRIOR APPROVAL.
ATTEGATION OF UNAUTHROIZED TRADING IN CLIENT ACCOUNT
##################################################################################
##################################################################################
NONE
I WAS AN EMPLOYEE OF PRUDENTIAL FOR 30 YEARS,
HAD FEW COMPLAINTS EXCEPT FOR ENERGY PROPRIETARY PRODUCTS. WAS
TERMINATED FOR "FAILURE TO FOLLOW FIRM POLICY REGARDING OUTSIDE
CORRESPONDENCE AND HANDLING OF CUSTOMER COMPLAINT."
C04969929
VIOLATIONS OF NASD CONDUCT RULE.
91-ARB-86
UNAUTHORIZED TRADING - $50,000 CLAIMED
N/A
SEE #9
NONE
LOANING $600 TO A CUSTOMER
  7A. WHAT IS THE PRODUCT?
FAILURE TO ADHERE TO ELECTRONIC COMMUNICATIONS RULES
N/A
ALLOWING AN UNLICENSED INDIVIDUAL UNDER MY
SUPERVISION TO ENGAGE IN TRANSACTIONS WHICH MAY BE PERFORMED
ONLY BY LICENSED INDIVIDUALS.
Not Provided
I WAS DISCHARGED BECAUSE OF ALLEGATIONS THAT
I USED DISCRETION IN THE RAYMOND C. HENRY ACCOUNT.
NA
VIOLATED COMPANY PROCEDURE
NA
UNSETTLED DEBIT BALANCE IN ADVANCE (DRAW)
ACCOUNT WHEN I RESIGNED
MR. M. HAL TAYLOR INITIATED INQUIRY TO PAINEWEBBER THAT HE INVESTED $50K IN 12/94 IN INVESTMENT AWAY FROM P
##################################################################################
##################################################################################
FAILURE TO COMPLY WITH POLICIES AND PROCEDURES REGARDING DOCUMENTATION OF TRADING AUTHORITY AND HANDL
VIOLATION OF FIRM'S POLICY




##################################################################################
##################################################################################
TERMINATION FOR NUMEROUS CUSTOMER COMPLAINTS AND LAWSUITS.
FAILURE TO FOLLOW SUPERVISORY PROCEDURES.
VIOLATION OF NYSE RULE 406

(E11910193)
FAILURE TO CARRY OUT THE SUPERVISORY RESPONSIBILITIES DELEGATED TO ME




NONE
SEE BELOW
FC,CORP CLAIMED I HAD VIOLATED SECURITIES LAW 34 SELLING UNREGISTERED SECURITIES
FAILURE TO ABIDE BY TERMS OF SPECIAL SUPERVISORY PROCEDURES AND FAILURE TO FULLY AND COMPLETELY DISCLOSE AL
##################################################################################
Not Provided
IVOLATION OF FIRM'S POLICY SPECIFICALLY, THE
SIGNING OF CUSTOMER'S NAME TO TRANSACTION-RELATED DOCUMENTS.
NOT PROVIDED
THAT I REFUSED TO RESIGN DIRECTORSHIPS OF TWO
PUBLIC COMPANIES THAT MY BROKER DEALER HAD APPROVED OF UP TO 9 MONTHS EARLIER AND
THAT THE TWO(2)LETTERS THAT I HAD SENT TO THEM FOR THEIR OWN DUE DILIGENCE CONSITUTED
UNAPPROVED ADVERTISING.
##################################################################################

NOT APPLICABLE
THE FIRM ALLEGED THAT I EXERCISED DISCRETION
IN CUSTOMER'S ACCOUNT WITHOUT WRITTEN AUTHORIZATION.
CLIENT ALLEGED VIOLATION OF FIRM'S DISCRETIONARY TRADING POLICY.




N/A
VIOLATION OF INTERNAL POLICY WITH REGARD TO
DEPOSITS
##################################################################################
FAILURE TO COMPLY WITH INTERNAL POLICIES AND PROCEDURES CONCERNING COMMUNICATIONS WITH THE PUBLIC.
4 COUNTS OF PETTY LARCENY - $25.00 FINE, 30 DAYS JAIL SENTENCE SUSPENDED
N/A
N/A
N/A
N/A
FORGERY




N/A
N/A
NONE
ALLEGED PAYMENT TO CO-WORKER FOR COLUSION TO
VIOLATE INDUSTRY STANDARDS... $20 WAS GIVEN TO ASSISTANT FOR
WORK PERFORMED, BUT WAS CONSIDERED A VIOLATION BY MANAGER WHEN
HE LEARNED OF MY TRANSFERING FROM PRU TO A.G. EDWARDS.
N/A
CUSTOMER CLAIMS THAT A STOP LOSS ORDER WAS
GIVEN
Not Provided
FAILING TO COMPLY WITH FIRM POLICY


DUE TO CUSTOMER COMPLAINT, IT WAS ALLEGED
THAT I ENTERED AN OPTION ORDER WITHOUT PRIOR CONSENT OF CLIENT
AND THAT I PROMISED TO REIMBURSE CLIENT AMOUNT OF LOSS RELATED
TO THE TRADE, $14,500.

##################################################################################




THE FIRM CONCLUDED I FAILED TO FOLLOW FIRM POLICIES
##################################################################################
##################################################################################




N/A
CANNON TOOK DISCRETION IN ACCOUNT`S OF DON
DRINKARD RESULTING IN A LOSS OF $20,000. THE TRADES WERE
CANCELLED AND FUNDS RESTORED BY FIRM.
TAKING DISCRETION IN CLIENT ACCOUNTS AND FAILING TO FOLLOW INSTRUCTIONS.
PREVIOUS FIRM TERMINATION: EVIDENCE THAT SHE TOOK PROPRIETARY INFORMATION TO USE FOR HER PERSONAL GAIN W
Not Provided
FAILURE TO FOLLOW INTERNAL FIRM POLICIES ON
THE TICKETING OF DIRECT INVESTMENT ORDERS.
FAILED TO REPORT CUSTOMER COMPLAINT THAT RESULTED IN ARBITRATION.
N/A
THE FACTS SHOWED THAT I HAD EXECUTED TRADES
(A ONE TIME OCCURRENCE) FOR LONGSTANDING FOREIGN CLIENT AFTER
SHE HAD PASSED AWAY. UNFORTUNATELY, I WAS NEVER INFORMED OF THE
CLIENT'S DEMISE DURING THIS TIME PERIOD.
N/A
ON APRIL 25 AND APRIL 26, 1988, WHILE
EMPLOYED BY SHEARSON, I PURCHASED 3000 SHARES OF INTERNATIONAL
TELECHARGE INC. IN MY OWN ACCOUNT FOR A FRIEND, DEAN BARR. MR
BARR WAS AN EMPLOYEE OF GOLDMAN SACHS AT THE TIME. THE TRADE
WAS SOLD OUT.
N/A
MR. BRERETON ACCEPTED AN ORDER FOR A CUSTOMER
FROM ANOTHER PERSON WITHOUT THE CUSTOMER'S WRITTEN
AUTHORIZATION.
N/A
IDS ALLEGES UNAUTHORIZED USE OF COMPANY
FUNDS.
NONE
VIOLATION OF INTERNAL POLICY, ENGAGING IN A
BUSINESS OUTSIDE THE SCOPE OF THE FIRMS EMPLOYEE REPORTING
STATEMENT.
N/A
FIRST JERSEY SECURITIES, INC. ALLEGES I
RECEIVED $2700 IN CASH AND MISAPPROPRIATED THE FUNDS. CLIENT
SIGNED LETTER ACKNOWLEDGED I DID NOT MISAPPROPRIATE FUNDS.




##################################################################################
RECIEVED COMPENSATION FROM A THIRD PARTY HEDGE FUND WITHOUT PRIOR WRITTEN APPROVAL FROM THE FIRM.
N/A
MUTUAL FUND LIQUIDATION TICKETS WERE ENTERED
WITH INCORRECT PURCHASE DATES. THE DATES FURNISHED CAME FROM
CROSS REFERENCE FILES, WHICH THROUGH CLERICAL ERROR WERE
INCORRECTLY POSTED.
N/A
UNAUTHORIZED TRADING, UNJUSTIFIED MARGIN CALL
LIQUIDATION ALLEGED DAMAGES $65,000.00
N/A
I WAS FIRED UPON RECEIPT OF A COMPLAINT FILED
BY CHARLES ROBJOY.
ALLEGEDLY ENDORSED COMMISSION CHECKS INTENDED FOR LIFE INSURANCE AGENTS IN MY GENERAL AGENCY AND DEPOSI
FAILURE TO OBSERVE HIGH STANDARDS OF COMMERCIAL HONOR AND JUST AND EQUITABLE PRINCIPALS OF TRADE.
N/A
EDWARD D. JONES ADVISED ME I WAS DISCHARGED
FOR COMPLIANCE VIOLATION.
FAILURE TO RECEIVE SPECIFIC ORDER APPROVAL FROM A CLIENT FOR A NON-DISCRETIONARY FEE ACCOUNT PORTFOLIO.
N/A
THAT FINANCIAL ADVISOR FAILED TO SWITCH
MUTUAL FUND PRODUCTS BUT RATHER REDEEMED & BOUGHT SIMILAR
PRODUCTS
I WAS ACCUSED BY THIS BROKER/DEALER OF HAVING AN INVESTMENT RELATED WEBSITE. THE ENTIRE CONTENTS OF WHICH
I VOLUNTARILY RESIGNED. I WAS ACCUSED OF NOT RETURNING HIS WRITTEN SUPERVISORY PROCEDURES (WSP) MANUAL A
##################################################################################
SEQUENCE #3170-19192
J.W. GANT ALLEGED THAT I WAS TERMINATED FROM
MY JOB RATHER THAN RESIGNING.
FAILURE TO TAKE CONTINUING EDUCATION AND PAY FEES.
TO TAKE OVER PROPERTY AND CASUALTY CUSTOMERS, REGISTERED REPRESENTATIVE SUBMITTED FORMS TO THE COMPANY
Not Provided
THE FIRM ALLEGED THAT I FFRIED TO KEEP A
TRADE.
N/A
THE ALLEGATIONS WERE ALLEGEDLY SETTLING AWAY
WITH A CLIENT
N/A
TAKING OF LEAD CARDS
MR. STEWART'S EMPLOYMENT WAS TERMINATED ON NOVEMBER 1, 2004 FOR VIOLATING FIRM POLICY, AFTER THE FIRM LEA
N/A
CLIENT ALLEGES UNAUTHORIZED TRADES ON
TUBOSCOPE.
##################################################################################
NASD #E1091 3052
INAPPROPRIATE CLAIMS FOR SALES BONUS
N/A
ENGAGING IN COMPENSATED OUTSIDE ACTIVITY.
REPRESENTATIVE RESIGNED FOLLOWING DISAGREEMENT WITH A TD AMERITRADE MANAGER REGARDING INTERPRETATION
N/A
FORGERY AND PAYING REFERRAL FEES TO AN
UNREGISTERED INDIVIDUAL.

N/A
INVESTIGATION AROSE FROM A CLIENT VERABLE
COMPLAINT OF AN UNAUTHORIZED TRADE IN A CLIENT ACCOUNT. NO
DAMAGES WERE SPECIFIED.
I PARTICIPATED IN A REAL ESTATE PURCHASE TRANSACTION WITHIN AN ESTATE OF A CLIENT WITHOUT (VERIFIABLE) FIRM AP
RANDOLPH EXCEEDED HIS APPROVED LOSS LIMIT BY 9 TIMES THE AGREED UPON AMOUNT.
NA
SIGNING OF CLIENT MARGIN AGREEMENT IN
VIOLATION OF FIRM POLICY.
N/A
UNAUTHORIZED TRADING
##################################################################################
Not Provided
WRITING AND SENDING A LETTER TO A PROSPECTIVE
CLIENT. MR. E.H. WALTON, THAT WAS DEEMED INAPPROPRIATE BY GNA.
FAILURE TO DISCLOSE COMMISSION ARRANGEMENT
THE FIRM DETERMINED LUPULOFF VIOLATED INTERNAL POLICIES RELATING TO EXTERNAL COMMUNICATIONS. NO CUSTOM
VIOLATION OF FIRM POLICY.
FAILURE TO REVEAL MATERIAL FACT AT THE TIME
OF EMPLOYMENT.
UNKNOWN
CUSTOMER COMPLAINT. FOR A PRIVATE
TRANSACTION THAT WASN'T PAID FOR.
NO NUMBER N/A
DISCHARGED BECAUSE OF CUSTOMER COMPLAINT.
AN INVESTIGATION INTO THE REGISTRATION, RECOMENDATION AND SALE OF CABELL 10% SUBORDINATED DEBENTURES IN T
N/A
CONTACTED EXISTING SMITH BARNEY CLIENT THUS
VIOLATED FIRM POLICY

Not Provided
I SIGNED A CUSTOMER'S NAME TO AN IRA
WITHDRAWAL FORM IN ORDER TO EXPEDITE TRANSFER OF ASSETS FROM
CUSTOMER'S IRA ACCOUNT TO HIS MARGIN ACCOUNT.
N/A
THE U-5 STATED: MR. MEYER WAS TERMINATED FOR
VIOLATING MERRILL LYNCH TRADING POLICIES IN A PROPRIETARY
TRADING ACCOUNT AND CONCEALING HIS ACTIVITY FROM MANAGEMENT.
THE ACTIVITY DID NOT INVOLVE CUSTOMERS.

N/A
VERBAL ALLEGATIONS MADE BY CLIENT DAVE
FELDMAN OF UNAUTHORIZED TRANSACTIONS IN THE MONEY STORE
FAILURE TO FOLLOW FIRM POLICY
N/A
FAILED TO DISCLOSED EDUCATIONAL BACKGROUND
N/A
SENDING OUT A LETTER TO A CLIENT WITHOUT
GETTING BRANCH MANAGERS APPROVAL AND POST DATING A DISBURSEMENT
CHECK TO A CLIENT.
1933 SEC SECTION 5 DISSEMINATION OF SALES RELATED EMAILS DURING THE PRE-EFFECTIVE PERIOD OF A SECONDARY OFFE
PERMITTED TO RESIGN AFTER THE FIRMS INTERNAL REVIEW DETERMINED THAT HE VIOLATED THE FIRMS POLICIES RELATING
N/A
SMITH BARNEY IS ALLEGING THAT I BREACHED THE
SECURITY OF THE FIRM'S COMPUTERIZED RECORD SYSTEM CONTAINING
CONFIDENTIAL INFORMATION.
N/A
FAILED TO FOLLOW INTERNAL POLICIES SUCH AS
OBTAINING CUSTOMER DOCUMENTS ON A TIMELY BASIS AND APPROVAL FOR
OUTGOING CORRESPONDENCE. NO DAMAGES OR CLAIMS SOUGHT OR
ALLEGED.
NONE
SIGNED CLIENT AGREEMENTS ON RMS FORM,
RESOURCE MANAGEMENT ACCOUNT FORM. SIGNED CLIENT'S SIGNATURE.
##################################################################################
NYSE HPD #90-69
VIOLATION OF NYSE RULE #724(A)-EXERCISED
DISCRETIONARY POWER IN A CUSTOMERS OPTION ACCOUNT WITHOUT PRIOR
WRITTEN CONSENT FROM CUSTOMER.
E05960540
I WAS TERMINATED IN AUGUST OF 1996 FOR
VIOLATING ITS RULE OF BORROWING FROM CLIENTS. I BORROWED AND
REPAID $2,200.00 FROM EXISTING AMERICAN EXPRESS FINANCIAL
ADVISOR CLIENTS.
?
I AM ALLEGEDLY BEING ACCUSED OF TAKING
COMPANY PROPERTY, VIOLATION OF COMPANY POLICY & PROCEDURE
MANUAL VIOLATION OF BOOKS & REGARDS AGREEMENT. ALSO, I AM
BEING ACCUSED OF BEING TERMINATED.
Not Provided
UNAUTHORIZED DUPLICATION OF FIRM MATERIALS
UNAUTHORIZED OR WRONGFUL TAKING OF PROPERTY
##################################################################################

N/A
ALLEGED VIOLATION OF RULE 408
##################################################################################
INQUIRY REGARDING PERFORMANCE IN CONNECTION WITH SUPERVISORY RESPONSIBILITY OF EXPENSE REPORTS.
FAILURE TO COMPLY WITH COMPANY POLICIES AND PROCEDURES
REPRESENTATIVE FAILED TO OBTAIN APPROVAL OF CORRESPONDENCE
UNDER INTERNAL REVIEW RELATED TO DETECTING AND PREVENTING SALES BY A REPRESENTATIVE WHO WAS PENDING APP
##################################################################################
Not Provided
NO DAMAGES/NO COMPLAINTS
##################################################################################
N/A
THE FIRM CONDUCTED AN AUDIT OF SALES OF
INCONTEXT, INC. & CONCLUDED THAT SALES TO CERTAIN CUSTOMERS
WERE NOT BLUE SKY OR EXEMPT IN STATE OF RESIDENCE AND CERTAIN
MAY HAVE BEEN RECORDED AS UNSOLICITED

N/A
I WAS PERMITTED TO RESIGN AS A RESULT OF AN
INVESTIGATION BY THE CHICAGO BOARD OPTIONS EXCHANGE. THIS WAS
DUE TO OPTION TRADNG IN MY ACCOUNT WHICH RESULTED ON AN
UNSECURED DEBIT.
##################################################################################
I WAS ACCUSED OF NOT GIVING MERRILL LYNCH ASSURANCE THAT I WOULD NOT ACCEPT A POTENTIAL BEQUEST
N/A
I WAS UNAWARE OF ANY ALLEGATIONS REGARDING MY
RESIGNATION FROM GRUNTAL
I WAS ACCUSED OF FALSIFYING DOCUMENTS AND OF
TRADING WITHIN A STATE WHERE I WAS NOT REGISTERED.
NON BUSINESS RELATED. VIOLATION OF FIRM'S CODE OF CONDUCT
MR. MEISTER WAS TERMINATED FOR ACCEPING A LOAN FROM A CLIENT
DISAGREEMENT REGARDING COMPANY POLICY AND RULES AS THEY CONCERN OUTSIDE ACTIVITIES AND THE NATURE AND E
Not Provided
VIOLATED COMPANY POLICY REGARDING BORROWING
MONEY FROM CLIENTS
RECEIVED COMPENSATION FROM A THIRD PARTY HEDGE FUND WITHOUT PRIOR WRITTEN APPROVAL FROM THE FIRM.
FAILURE TO FOLLOW FIRM POLICY

##################################################################################
##################################################################################
N/A
SIGNED WIFE'S NAME TO ACCOUNT DOCUMENTS UNDER
HER SIGNED POWER OF ATTORNEY. 7A) N/A
Not Provided
WILLIAM BLAIR ALLEGED THAT I SIGNED MY
MOTHERS NAME TO A W-9 FORM.
N/A
1 SIGNED AS THE APPROPRIATE SIGNATORY ON
BEHALF OF MY U-5 WHICH WAS SENT TO THE NASD AS PER INSTRUCTIONS
FROM MY NEW EMPLOYER.
OUTSIDE BUSINESS ACTIVITY
##################################################################################
TERMINATED FROM MERRILL LYNCH WHEN THE FIRM LEARNED OF AN UNDISCLOSED FINANCIAL ARRANGEMENT WITH A CLI
N/A
VIOLATION OF ARTICLE III, SECTION I OF THE
NASD RULES OF FAIR PRACTICE NO ACUTAL OR ALLEGED DAMAGES OR
CLAIMS.
UNAUTHROIZED TRADING
FAILURE TO SECURE VERBAL APPROVAL FOR JNL FROM CLIENT (MOM}.

NA
INVESTMENT EXECUTIVE ASKED HIS SALES
ASSISTANT TO SIGN A CLIENT'S NAME TO AN ANNUITY CONTRACT AFTER
BEING REPEATEDLY WARNED NOT TO DO SO.


##################################################################################
NONE
SPRUNG + WISE ALLEGED A) A CUSTOMER FREE
RIDING UNDER MY AE #.
  B) A GUARENTEED PRICE QUOTE TO A CUSTOMER
VIOLATION OF THE FIRM'S POLICIES AND PROCEDURES AND NASD RULE 2110
DAVID A. NOYES & COMPANY WAS CONTACTED BY CUSTOMERS REGARDING THEIR OFFSHORE INVESTMENT. THE INVESTMEN
Not Provided
I CHANGED A TIME CLOCK TO A PRIOR DATE TO
SHOW A CANCELLED ORDER.
Not Provided
SIGNED CLIENTS SIGNATURE ON WIRE TRANSFER
AUTHORIZATION AFTER I HAD RECEIVED VERBAL AUTHORITY FROM THEM.
  THERE ARE NO ACTUAL OR ALLEGED DAMAGES OR CLAIMS
  I VIOLATED MERRILL LYNCH AND INDUSTRY RULE
N/A
IN CONNECTION WITH AN INVESTIGATION BY THE
NYSE, SALOMON BROTHERS, INC. CONDUCTED AN INTERNAL INQUIRY
REGARDING MY ROLE IN ALLEGEDLY CHANGING TRADING RECORDS FOR THE
BENEFIT OF FIRM PROPRIETARY TRADING ACCOUNTS DURING OCTOBER
1987.
N/A
THAT I SOLICITED LOW PRICE STOCKS AND MARKED
TICKETS UNSOLICITED WHEN IN FACT THE ORDERS WERE SOLICITED
N/A
SUITABILITY REVIEW OF CERTAIN ACCOUNTS
HOLDING LOW PRICED STOCKS.
NONE
DISMISSED FOR SOLICITING BUSINESS TO ANOTHER
FIRM WHILE STILL EMPLOYED BY SHEARSON
##################################################################################
N/A
SIGNED CLIENT NAME TO AN APPLICATION -
NEITHER FIRM NOR CUSTOMER SUFFERED A LOSS
Not Provided
OUTSIDE BUSINESS AFFILIATIONS
INSUBORDINATION.

N/A
UNDISCLOSED OUTSIDE BUSINESS ACTIVITIES AND
POSSIBLE PRIVATE SECURITIES TRANSACTIONS INVOLVING SALE OF A
PROJECT FUNDING JOINT VENTURE PROGRAM.
BOSC ALLEGED MISAPPROPRIATION OF CONFIDENTIAL AND PROPRIETARY INFORMATION AND BREACH OF EMPLOYMENT CO
LOSS OD CONFIDENCE IN EMPLOYEE'S ABILITY TO MEET OUR BUSINESS NEEDS.
BUSINESS CARDS WITH DESIGNATIONS THAT HAD NOT BEEN RECIEVED YET.
NOT PROVIDED
OPPENHEIMER ALLEGED "VIOLATION OF OPPENHEIMER
INTERNAL POLICY" PERTAINING TO SALES PRACTICES.
FAILURE TO DISCLOSE INSURANCE ADMINISTRATIVE ACTIONS
INTERNAL AUDIT OF 863 FILES INDICATED SOME CUSTOMER FILES CONTAINED POSSIBLE PREDICTIVE STATEMENTS, POSSIBLE
Not Provided
GNA FELT A DISCLOSURE OF A CUSTOMER COMPLAINT
AT THE TIME OF DOING A U-4 TRANSFER OF MY SERIES 7 LICENSE WAS
OMITTED IMPROPERLY. (I WAS A "DUAL EMPLOYEE" OF GNA AND CENFED
INVESTMENTS, INC., A SUBSIDIARY OF CENTRURY FEDERAL SAVINGS &
LOAN.)
EC014165
BORROWING OF FUNDS ($14,000) FROM ESTATE OF G
DAVID HARTSON SR AND FAILURE TO REPAY.


FC WAS NOT FORTHCOMING RE: CUSTOMER ACCOUNT, WHICH HAD EXPERIENCED A SIGNIFICANT TRADE ERROR
TRADE EXECUTED WITHOUT EXPRESS CUSTOMER AUTHORIZATION.
N/A
TRADED IN A CUSTOMERS ACCT. WITHOUT WRITTEN
DISCRETIONARY AUTHORITY.
ALLEGATIONS OF INVESTMENT RELATED VIOLATIONS; MULTIPLE FORGERIES, MISREPRESENTATIONS REGARDING NEW BUSIN
NASDR#98-01453
FAILURE TO INFORM CUSTOMER OF ALLEGED
IMPROPER TRADING.
N/A
DISCRETIONARY TRANSACTIONS IN THE ACCOUNT OF
HOSSEIN RAZANI WITHOUT WRITTEN AUTHORIZATION
BROKERING WITH ANOTHER COMPANY - REPLACING COMPANY POLICIES
FAILURE TO FOLLOW SUNAMERICA SECURITIES POLICIES AND PROCEDURES
N/A
NO LONGER IN BEST OF INTEREST OF FIRM TO BE
ASSOCIATED WITH ME IN CONNECTION OF NYSE INVESTIGATION.
MS. FIELDS WAS TERMINATED ON DECEMBER 1,2008,AFTER THE FIRM DETERMINED THAT SHE HAD REPORTED THAT A CLIEN
FAILURE TO RESPOND TO STATE OF NEW JERSEY REQUEST FOR RECORDS
RECEIVED GIFTS FROM CLIENT, AGAINST FIRM POLICY NO CLIENT HARMED.
##################################################################################
FORMER EMPLOYER ALLEGED THAT CERTAIN EMAILS THAT MR. BROCHIN SENT TO HIS PERSONAL AOL ACCOUNT CONTAINED
N/A
PERMITTED TO RESIGN. FIRM (SMITH BARNEY) WAS
UNCOMFORTABLE WITH THE WAY I HANDLED AN ACCOUNT.
NONE
NASD RULES OF FAIR PRACTICE, ARTICLE III
SECTION 43 WAS VIOLATED AS THE RR (HAMILTON) FAILED TO DISCLOSE
OUTSIDE BUSINESS ACTIVITIES.
E111920152
UNSUITABLE TRANSACTIONS UNAUTHORIZED
TRANSACTIONS
NONE
INADEQUATE DISCLOSURE OF AN INVESTMENT MADE
IN MY WIFE'S NAME ON FAVORABLE TERMS AT A TIME I WAS SOLICITING
THE STOCK TO MY CLIENTS.
N/A
ALLEGED UNAUTHORIZED TRADING FOR CLIENT DAWES
AND VIOLATION OF FIRM POLICY REGARDING USE OF TIME AND PRICE
DISCRETION.
NONE
DISCHARGED: ALLEGED UNAUTHORIZED USE OF
OFFICE KEY BY FORMER EMPLOYEE
NONE
FAILED TO ADEQUATELY SUPERVISE HIS AGENT BY
ALLOWING HIM TO ATTEMPT TO RECRUIT SEVERAL REGISTERED REP OF
COORDINATED CAPITAL SECURITIES INC TO JOIN ANOTHER BROKER
DEALER
NONE
N/A
N/A
MR. LEE WAS TERMINATED AFTER THE FIRM
DISCOVER THAT HE EXERCISED POOR JUDGEMENT INCONSISTENT WITH
MERRILL LYNCH'S POLICIES IN HIS PERSONAL FINANCIAL AFFAIRS AND
BY INAPPROPRIATELY CHARGING A CLIENT'S ACCOUNT FOR CERTAIN
SERVICES.
INAPPROPRIATE MARKETING AND UNAPPROVED CORRESPONDENCE.
FAILED TO OBTAIN CLIENTS SIGNATURE ON ONE TRADE. TRADE WAS REVERSED WHEN CLIENT QUESTIONED IT. NO DAMAGE
N/A
FAILURE TO UPDATE FORM U-4 TO DISCLOSE THE
AFFILIATION WITH EAGLE ADVISORS, INC. AND CONDUCTING BUSINESS
AWAY FROM MERCANTILE INVESTMENT SERVICES, INC.
FAILURE TO FOLLOW FIRM POLICY AND PROCEDURES IN REGARD TO RULE 2210, BREACH OF FIDUCIARY RESPONSIBILITY, COM
Not Provided
FAILURE TO ADHERE TO COMPANY POLICY
NOT PROVIDED
OUTSIDE BUSINESS AFFILIATIONS INSUBORDINATION
Not Provided
IT IS ALLEGED I PARTICIPATE IN ESTABLISHMENT
OF BROKER/DEALER, REGISTERED WITH THE NASD, WHILE STILL IN THE
EMPLOY OF OPPENHEIMER WITHOUT PRIOR CCONSENT OR KNOWLEDGE.
NO CASE #
ALLEGED FAILURE TO MEET CLIENTS INVESTMENT
OBJECTIVES.
NONE
BOND WAS DENIED.
N/A
VIOLATION OF FIRM POLICY
##################################################################################
E3A970574
ALLEGED THAT REPRESENTATIVE FORGED CLIENT
SIGNATURE ON A CHANGE OF BROKER/REPRESENTATIVE FORM.
N/A
MAKING TWO UNAUTHORIZED TRADES ON BEHALF OF A
CUSTOMER IN A NON-DISCRETIONARY ACCOUNT.
N/A
FAILURE TO SUPERVISE
FAILURE TO PROPERLY DOCUMENT IN WRITING AN ALLEGED OUTSIDE ACTIVITY.
MR. KALLAND WAS DISCHARGED FOR FAILURE TO
FULLY DISCLOSE INFORMATION NEEDED FOR REGISTRATION AND BONDING
PURPOSES.
VIOLATION OF FIRM POLICY STOCK AND INDUSTRY RULES RELATING TO SOLICITATION OF PURCHASE OF PRIVATELY HELD STO
##################################################################################

##################################################################################
##################################################################################
DURING THE TIME MR. BOGART WAS EMPLOYED AT PRUDENTIAL SECURITIES INCORPORATED, HE WAS THE SUBJECT OF SEVE
N/A
SPLIT COMMISSIONS WITH AN NULIVISED
REPRESENTATIVE. PROCESSED ORDERS WITHOUT MEETING CLIENT.
FALSE ALLEGATION OF VIOLATING INVESTMENT RULE OF RAISING CAPITAL FOR PUBLIC COMPANY.
CASE #25430
THAT I SIGNED CLIENT'S NAMES TO DOCUMENTS IN DECEMBER 1993
INTERNAL INVESTIGATION REGARDING POTENTIAL VIOLATION OF THE FIRMS INTERNAL COMPLIANCE PROCEDURES. INVESTIG
ALLEGED THAT I WAS NOT TRUTHFUL IN COMPLETING INTERNAL AUDIT QUESTIONAIRE
NONE.
COMPLAINT WAS THAT I HAD GIVEN THEM ERRONEOUS
COMMODITY PRICE REPORTS IN REFERENCE TO THEIR POSITIONS IN
COMMODITY MARKETS.
VIOLATION OF FIRM POLICIES - OBTAINING BLANK PRE-SIGNED FORMS
NASD ARBITRATION #906-02221
NOMURA COMMENCED AN INTERNAL REVIEW OF THE
WAY I WAS VALUING MY PORTFOLIO AND TERMINATED MY EMPLOYMENT
AFTER I REFUSED TO RESIGN. I THEN COMMENCED AN ARBITRATION
AGAINST NOMURA FOR WRONGFUL TERMINATION.
##################################################################################
I DIDN'T FOLLOW MANAGERS' INSTRUCTIONS.


##################################################################################
REVIEW OF MR. BROKAW'S ROLE IN QUESTIONABLE TRADING OF ONE STOCK IN CLIENT'S ACCOUNT. INTERNAL REVIEW IS ON
INVEST ALLEDGES THAT ORLER ENGAGED IN INSIDER TRADING ACTIVITIES IN ABCL.




##################################################################################
91701-2-S
COMPLAINT FOR INJUNCITVE RELIEF AND DAMAGES
FOR UNFAIR COMPETITION
Not Provided
ON MY EDUCATION BACKGROUND, I STATED THAT AN
"AA" DEGREE WAS ATTAINED AFTER TWO YEARS OF EDUCATION AT A
UNIVERSITY THAT ONLY ISSUED FOUR YEAR DEGREE.

N/A
ACCUSED OF SHOWING SECURITIES NOT APPROVED BY
FIRM
N/A
IN A U5 RECEIVED, MR. SHAPIRO'S FORMER
EMPLOYERS ALLEGED THAT MR. SHAPIRO WAS SUSPENDED FROM CMI
DURING AN "INVESTIGATION OF IRREGULARITIES" REGARDING MR.
SHAPIRO'S EMPLOYMENT WITH CMI.
I WAS INFORMED THAT I WAS TERMINATED BECAUSE I WAS AWARE THAT MY ADMINISTRATIVE ASSISTANT HAD SUBMITTED
N/A
WHILE WORKING AT MERRILL LYNCH, I SIGNED IRA
DISTRIBUTION FORMS FOR CERTAIN CUSTOMERS.
UNAUTHORIZED TRANSACTIONS IN CUSTOMERS ACCOUNT
NONE
USING FIRM FACILITIES IN THE COURSE OF
PURSUING AN OUTSIDE ACTIVITY WHICH HAD NOT BEEN APPROVED BY THE
FIRM.
N/A
TERMINATION DUE TO FAILURE TO PAY FOR
REGISTRATION FEES AND E&O INSURANCE AND FAILURE TO REPORT
OUTSIDE EMPLOYMENT WHILE EMPLOYED AT SELECT CAPITAL
CORPORATION.


Not Provided
CLIENTS ALLEGED THEY WERE UNAWARE OF THE RISK
OF OPTIONAL EVEN THOUGH THEY HAD BEEN TRADING FOR SEVERAL YRS.
N/A
PERMITTED TO RESIGN FOLLOWING A VIOLATION OF
TRADING LIMITS SET BY BRANCH MANAGEMENT. MERRILL LYNCH LOST
$1,220.000.
TERMINATED FOR DISHONESTY AND FALSIFICATION OF COMPANY DOCUMENTS.
NA
THE INITIAL U-5 STATED THAT HE WAS PERMITTED
TO RESIGN BY ADVEST BECAUSE THEY ALLEGE THAT HE RECEIVED
INSURANCE COMMISSIONS WITHOUT HAVING RECEIVED PRIOR APPROVAL.
A CONFLICT OVER LIFE INSURANCE COMMISSIONS
NONE
NONE
Not Provided
UNAUTHORIZED TRADES ALLEGATION BY FORMER
EMPLOYER.

Not Provided
INSUFFICIENT CHECK ISSUED ON MARGIN ACCOUNT.
NO LOSSES.
N/A
MISREPRESENTATION OF FIRMS POLICIES, SALES
MATERIALS AND QUESTIONABLE ADVERTISING.
ALLEGED THAT OUTSIDE BUSINESS ACTIVITY WAS NOT DISCLOSED
NONE
SEE ITEM 9
NONE
UNDISCLOSED ACCOUNT WITH ANOTHER BROKERAGE
FIRM
  LOANING MONEY TO A CLIENT
N/A
DURING THE COURSE OF THE INTERNAL REVIEW, IT
WAS LEARNED THAT MR. WHEELER VIOLATED FIRM POLICY WITH REGARD
TO HIS HANDLING OF CLIENT'S ACCOUNTS. THERE ARE NO CUSTOMER
COMPLAINTS.
NONE
I WAS DISCHARGED FOR ASSISTING ONE OF MY
CLIENTS IN WRITING A COMPLAINT LETTER ON EMERALD MORTGAGE
INVESTMENTS.
##################################################################################
NOT PROVIDED
N/'A
TWO UNREGISTERED CALLERS USED UNAPPROVED
SCRIPTS ALLEGEDLY PROVIDED BY MR CANTONE
NONE
WHEN IT WAS LEARNED THAT CONNELLY HAD FORGED
THE INITIALS OF MANAGER, KEVIN WARD ON A NUMBER OF CORRECTION
NOTICES, AT LEAST ONE OF WHICH WAS FOR HIS OWN PERSONAL
SECURITIES ACCOUNT RESULTING IN THE REMOVAL OF A 6,000.00 LOSS
POSITION.
N/A
PERMITTED TO RESIGN FOR VIOLATING FIRM POLICY
BY USING UNAUTHORIZED COMPUTER ACCESS CODE TO ACCESS CLIENT
INFORMATION.
N/A
PRIVATE CONVERSATION WITH A REPORTER AND HE
QUOTED ME IN A NEWSPAPER STORY, MAKING PERSONAL COMMENTS ABOUT
A NEW OFFERING.
ALLEGED THAT AGENT WAS CONDUCTING BROKER DEALER ACTIVITY ON BANK PREMISES WITHOUT BROKER DEALER APPROV

Not Provided
MAY HAVE PREPARED AND SENT LETTERS TO CERTAIN
INDIVIDUALS AND/OR ENTITIES IN WHICH FALSE AND MISLEADING
FINANCIAL INFORMATION WAS CONTAINED

TERMINATED FOR CAUSE: SELLING AWAY NON-APPROVED INVESTMENT


##################################################################################


##################################################################################

NONE
ALLEGEDLY TURNING IN CALL DOCUMENTS ON
PHYSICIANS BY REPORTING SALES CALLS HE HAD NOT ACTUALLY
PERSONALLY CONTACTED.
prncplProd
NOPROD
OTHER
NOPROD
OTHER
NOPROD
OTHER

OTHER
OTHER
OTHER
OTHER
OTHER
OTHER
DIRECTINV
NOPROD
OTHER
OTHER
NOPROD
OTHER
OTHER
OTHER
NOPROD
NOPROD
EQUITOTC
NOPROD
DEBTMUNI
OTHER
MTUALFND
MTUALFND
OTHER
OTHER
MTUALFND
EQUITLST
INSUR
OTHER
NOPROD

OTHER
OTHER
OTHER
OTHER
OTHER
NOPROD
EQUITLST
NOPROD
EQUITOTC
MTUALFND
OTHER
DEBTCORP
FUTFIN
NOPROD
NOPROD
NOPROD
NOPROD
MTUALFND
EQUITLST
OTHER
EQUITLST
MTUALFND
NOPROD
NOPROD




OTHER




OTHER
NOPROD
OTHER
MTUALFND
OPTIONS
MTUALFND
MTUALFND
MTUALFND


OTHER
NOPROD
NOPROD
EQUITOTC
EQUITOTC
OTHER
OTHER


EQUITOTC
NOPROD
NOPROD
NOPROD




NOPROD
NOPROD
EQUITOTC
INSUR
NOPROD
EQUITLST
NOPROD




NOPROD
OTHER




OTHER
NOPROD
MTUALFND
OTHER
NOPROD
NOPROD
EQUITOTC
EQUITOTC
NOPROD

OTHER
NOPROD




OTHER

EQUITLST
NOPROD
FUTFIN
MTUALFND
OTHER


OTHER
EQUITLST
OTHER
NOPROD
NOPROD
MTUALFND
INSUR
NOPROD


OTHER
NOPROD
EQUITOTC
NOPROD




EQUITLST
INSUR
NOPROD
CDMNYMKT




NOPROD
NOPROD
OTHER
DEBTMUNI
NOPROD
OTHER
OTHER
EQUITOTC




OTHER
NOPROD
EQUITLST
MTUALFND
NOPROD

NOPROD
EQUITOTC


NOPROD
NOPROD
EQUITLST
MTUALFND
OPTIONS

EQUITLST




NOPROD




VARANNUT


OTHER




EQUITOTC
NOPROD
NOPROD
NOPROD
MTUALFND




EQUITOTC
OTHER
EQUITOTC
OTHER

NOPROD


OTHER
VARANNUT
EQUITOTC
OTHER
EQUITLST
NOPROD


NOPROD


OTHER




EQUITOTC


NOPROD
EQUITOTC




NOPROD
INSNONA
OTHER


MTUALFND
EQUITLST

EQUITOTC
INSUR
EQUITLST


EQUITLST


EQUITLST




EQUITLST
EQUITOTC
NOPROD
NOPROD
BANKPROD
OTHER
OTHER

NOPROD




NOPROD
EQUITOTC
NOPROD




NOPROD


MTUALFND




NOPROD


NOPROD


NOPROD




NOPROD




EQUITLST
EQUITOTC
OTHER




COMODFUT




NOPROD




OTHER
NOPROD
VARANNUT
EQUITOTC
NOPROD




NOPROD
DIRECTINV
EQUITLST
NOPROD


DIRECTINV




NOPROD
INSUR




NOPROD
OTHER




OTHER
EQUITOTC




NOPROD
NOPROD
OTHER




NOPROD




OPTIONS
NOPROD




OTHER
DEBTCORP




OTHER
NOPROD




OPTIONS
OTHER




EQUITOTC




OTHER




INSUR
NOPROD




DEBTCORP
OTHER
OTHER




NOPROD
OTHER




EQUITLST




OTHER




MTUALFND




NOPROD
OTHER




MTUALFND
NOPROD
NOPROD

EQUITOTC


EQUITOTC


DEBTCORP




VARANNUT




NOPROD
OTHER
MTUALFND
NOPROD




OTHER




OTHER




OPTIONS
OTHER

NOPROD
MTUALFND
DEBTMUNI




INSNONA
NOPROD
OTHER
NOPROD
NOPROD




OTHER
MTUALFND

NOPROD
NOPROD




NOPROD
NOPROD
NOPROD




MTUALFND
EQUITLST
MONMARK
NOPROD
OTHER




NOPROD




OTHER
OTHER
NOPROD
INSUR
NOPROD




EQUITOTC
MONMARK




INSUR


OTHER




INSUR
NOPROD




EQUITLST
NOPROD
OTHER

NOPROD
OTHER




NOPROD




NOPROD
MTUALFND




NOPROD
EQUITOTC




NOPROD
EQUITLST




NOPROD


OTHER
OTHER
NOPROD


OTHER
EQUITOTC




EQUITOTC

MTUALFND
EQUITOTC
NOPROD




OTHER




COMODOPT
MTUALFND


NOPROD
OTHER
EQUITOTC




DEBTGOVT


NOPROD




NOPROD
NOPROD




OTHER




OTHER
NOPROD
MTUALFND




NOPROD
NOPROD




NOPROD
OTHER
OTHER


NOPROD
NOPROD




EQUITLST
NOPROD




OTHER


NOPROD


NOPROD
othrProd

BEER.

CLOTHING.

BEER/WINE/SPIRITS

SPORTS MEMORABILIA AND MERCHANDISE
NONE, THERE WAS NO MONEY OR ANYTHING OTHER THAN A FEW PACKS OF CIGARETTES.
CLOTHING
ELECTRONICS
CASH
MUNICIPAL BONDS


I TOOK A BLANKET.
FURNITURE

CLOTHING
SKIN CARE PRODUCTS
LIFE INSURANCE




EYESHADOW
COMMON STOCK

NO SPECIFIC PRODUCT INVOLVED
COMPACT DISCS (CDS)
VARIABLE ANNUITIES


PRIVATE PLACEMENTS


LIFE INSURANCE
CUSTOMER CONFIRMATIONS, AND PHYSICAL CERTIFICATES OF STOCK
NOT RELATED TO ANY PRODUCT
PHYSICAL PROPERTY
CHECK
MUTUAL FUNDS




MERCHANDISE




NOTES, LEADS, RESEARCH REPORTS

EQUITIES FIXED INCOME

NON SECURITIES PRODUCT-CREDIT CARD APPLICATION




NONE

PROMISSARY NOTE
PRIVATELY MANAGED ACCOUNTS


INSURANCE




THIS WAS NOT INVESTMENT RELATED OR BUSSINESS RELATED




CLOTHING
$6.00 (SIX PACK OF BUDWEISER)
NOT PRODUCT RELATED




LIF, HEALTH & ANNUITY




MOSTLY BONDS, BUT ALL ASSETS IN ACCOUNT WERE AFFECTED.




CLIENT FILES


EQUITY IN PRIVATE COMPANY.




HIGH YIELD NOTE




LIFE INSURANCE.




FEE BASED ACCT
N/A




RIA CLIENT FILES




STOCKS


INVESTMENT FUNDS
INVESTMENT FUNDS
PRIVATE PLACEMENTS




VARIABLE ANNUITIES




STOCKS
EQUITY




SERVICE WAS LASER LIGHT SHOWS
MUTUAL FUNDS
MUTUAL FUNDS
LIMITED PARTNERSHIP




VARIABLE LIFE




N/A




STOCKS
INSURANCE ANNUNITIES
FINANCIAL ADVISOR
BONDS
TERM & DISABILITY, WHOLE LIFE, UNIVERSAL LIFE




VARIABLE ANNUITIES, BONDS, EQUITY OTC
ACTIVA L.C. - PROMISSORY NOTE
N/A
MUTUAL FUNDS




CLOTHING (2 SHIRTS, 2 TIES)
GENERAL INVESTMENTS
STOCKS
BONDS
VARIABLE ANNUITIES
VARIABLE UNIVERSAL LIFE




STOCK
HEDGE FUNDS




LIFE INSURANCE




CORPORATE CONVERTIBLE BONDS
WEBSITE CONTENT ONLY. NO SALES TO CUSTOMERS AND NO PRODUCTS WERE INVOLVED IN THIS ACCUSATION. THE SITE W
NO PRODUCTS WERE SOLICITED OR SOLD DURING THE TIME THAT I WORKED WITH THIS COMPANY.




PROPERTY & CASUALTY




THE $10-12,000 OF PROPERTY THAT I WAS WRONGFULLY ACCUSED OF TAKING INCLUDED BUSINESS FILES, A LEASE CAR, AND




ASSET BACKED SECURITIES
JAPANESE EQUITY
OPEN END INVESTMENT COMPANIES




INSTITUTIONAL EQUITY SALES


VARIABLE ANNUITIES
N/A GOOD FAITH DETERMINATION NO PRODUCT TYPE




HEDGE FUNDS




EQUITY -OTC
EURODOLLAR INVESTMENT




PROMISSORY NOTES
EQUITY LISTED
FIXED INCOME
MUTUAL FUNDS
AND OTHER SIMILAR INSTRUMENTS




MUNI -EQUITY




NO PRODUCT TYPE
MIXED EQUITIES- MUTUAL FUNDS & BONDS
EQUITY OTC, MUTUAL FUNDS, MUNICIPALS, GOVERNMENTS




FAILURE TO
FULLY DISCLOSE INFORMATION NEEDED FOR REGISTRATION AND BONDING
PURPOSES.
PRIVATELY HELD STOCK




STOCK




NA




MULTIPLE PRODUCT LINES




PERSONAL COMMODITY ACCOUNT
INDIVIDUAL STOCKS, ANNUITIES, OPTIONS, TERM LIFE INS., UNIVERSAL LIFE INS. FIXED INCOME, INVESTMENTS.
STOCKS




NOT PROVIDED




BONDS
NOT PROVIDED
ARRANGED LOAN FROM CLIENT TO ANOTHER PARTY
cmmnt

I WAS ALLEGED TO HAVE PROVIDED STOLEN BEER FROM MY EMPLOYER, BECAUSE I ALLEGEDLY GAVE IT TO A FRIEND AT A DI
##################################################################################
A CO-WORKER OF MINE DID NOT CHARGE ME FOR SOME ITEMS THAT I WAS TRYING TO PURCHASE.
I WAS ACCUSED OF ASSISTING FRIENDS IN STEALING STORE MERCHANDISE AND WAS DISCHARGED.
THOUGH AN ACCUSATION WAS MADE, NOTHING WAS PROVEN NOR WERE ANY LEGAL OR CIVIL REMEDIES PURSUED AGAINS


ALL LISTED ABOVE UNDER ALLEGATIONS
##################################################################################
I WAS 18 YEARS OLD AT THE TIME, AND I WAS AWARE OF A CO-WORKER SHOPLIFTING. I FAILED TO INFORM MY MANAGER O
##################################################################################

##################################################################################
##################################################################################
I WRONGFULLY TOOK A BLANKET. THE BLANKETS WERE GIVEN AWAY AS A DOOR PRIZE FOR CUSTOMERS COMING INTO THE
TERNMINATED AND CHARGED WITH THEFT, THEFT CHARGES DISMISSED
##################################################################################
##################################################################################


I FILLED OUT INSURANCE INFORMATION AND LEFT A BLANK SPOT ON ONE OF THE DUI QUESTIONS BY NOT DISCLOSING. I DID
THE BROKER CONTENDS THE PURCHASE BY CLIENT TWO WAS AUTHORIZED.


##################################################################################

##################################################################################
##################################################################################
I WAS EMPLOYED AS A COMPLIANCE EXAMINER, I WAS NEVER LISTED AS A SUPERVISOR. I WAS ACCUSED OF NOT PRINTING A

##################################################################################
I DENY THESE MERITLESS ALLEGATIONS. I EXPECT THIS MATTER TO BE EXPUNGED FROM MY RECORD.

I RESIGNED ON 9/15/2001.
##################################################################################

AFTER FURTHER REVIEW OF THIS TERMINATION, THE NASD CLOSED OUT THIS MATTER WITHOUT FURTHER INVESTIGATION.

##################################################################################
UNITED PARCEL SERVICE DISCHARGED ME FOR ALLEGATIONS OF THEFT OF MOVABLE PROPERTY. DISCHARGE WAS ENTERED
##################################################################################
##################################################################################
##################################################################################
TERMINATED ON 07/29/1999 FOR ALLEGEDLY TAKING A PAIR OF SNEAKERS.
##################################################################################
##################################################################################
THE FIRM WIRED MONEY TO THE CLIENT AND THEN CLIENT'S CHECK PREVIOUSLY SENT TO THE FIRM TO PAY FOR PURCHASES
##################################################################################

##################################################################################

I WAS ACCUSED OF WRONGFUL TAKING PROPERTY.
##################################################################################

##################################################################################
##################################################################################
##################################################################################

##################################################################################
##################################################################################




##################################################################################
I WAS CAUGHT HELPING A FRIEND STEAL A CD. NO CHARGES WERE EVER FILED AGAINST EITHER OF US. I WAS TERMINATED,


##################################################################################
I DID NOT CLEARLY UNDERSTAND THE U-4 QUESTIONS CONCERNING FELONIES. I THOUGHT IT SAID TO DISCLOSE CONVICTION

TERMINATED FOR AN ALLEGED INVOLVEMENT IN A PRIVATE SECURITIES TRANSACTION IN 2002. MY BRANCH MGR WAS FUL
VOLUNTARY RESIGNATION

ON 5/24/2000, MONIR WAS PERMITTED TO RESIGN RESULTING FROM THE FAILURE TO FOLLOW PROCEDURES REGARDING C
FAILURE TO REPORT CHARGES THAT WERE REDUCED TO A MISDEMEANOR.
FOR FOUR MONTHS THE COMPANY LET ME TRADE AWARE THAT I DIDN'T HAVE A SERIES 63. THEN SOMEONE IN A HIGHER P

##################################################################################
DUE ALLEGATIION OF EX-WIFE, PERMITTED TO RESIGN UNTIL MATTER COULD BE CLEARED. MATTER CLEARED BY 0FFICE OF D
##################################################################################
MR. CAREY RETURNED FROM HIS TIME OFF AS STATED ABOVE AND BEFORE HE COULD RESIGN, ARGON TERMINATED HIS EM
I DENY ALL SUCH ALLEGATIONS.
GEORGE VEHEMENTLY DENIES ALL ALLEGATIONS, WHICH ARE INTENDED TO DEFAME, DISPARAGE AND LIABLE GEORGE NIKO
##################################################################################
##################################################################################
I FOLLOWED THE ALLOCATION PROCEDURES PROVIDED TO ME BY CSFB BRANCH PERSONNEL WHEN
I JOINED THE FIRM.
NOTE: MATTER # 20050005181 WAS COMPLETED WITH THE NASD ON 8-5-2005.
##################################################################################
SENT E-MAIL TO PROSPECTIVE CLIENT OFFERING TO WAIVE COMMISSION ON A TRADE. OCCURRED IN 8/02, TERMINATED 8/




##################################################################################
##################################################################################
##################################################################################
##################################################################################
UNINTENTIONALLY USED A PIECE OF MARKETING MATERIAL WHICH WAS UNAPPROVED.
##################################################################################
##################################################################################




##################################################################################
##################################################################################
TERMINATION OF EMPLOYMENT/PAY BACK $50 FOR THE
VALUE OF GOODS THAT WERE TAKEN. THEY AGREED TO NO CHARGES IF I
MADE A $50 RESTITUTION
Not Provided
##################################################################################
PACIFIC CONTINENTAL MADE ALLEGATIONS TO ASSURE THAT LOAN REPAYMENT ARRANGEMENTS WERE MADE. ON 1/27/99
##################################################################################
##################################################################################
##################################################################################
"THE BROKER DENIES UNDERTAKING OR DIRECTING ANY MEMBER OF THE TEAM TO CHANGE DATA PRIOR TO HER DEPARTUR
##################################################################################

##################################################################################

##################################################################################
ON AUGUST 2, 2006 S.W. BACH CONCLUDED AN INTERNAL REVIEW AND WERE NOT ABLE TO VALIDATE THAT A BLUE SKY VIO


##################################################################################


##################################################################################
MR. ROMAN CATAGORICALY DENIES THAT HE TOOK ANYTHING FROM THE MERCER OFFICES LET ALONE TAKING APART A COM
I DID NOT VIOLATE ANY OF DEUTSCHE BANKS RULES OR POLICIES

##################################################################################

##################################################################################
##################################################################################
##################################################################################
##################################################################################
FELONY CHARGE WAS NON-INVESTMENT RELATED AND DROPPED BEFORE I APPLIED AT PRUCO SECURITIES. ON ADVICE FRO
##################################################################################
##################################################################################
VOLUNTARY - I HAD NO IDEA OF ANY PENDING INVESTIGATIONS THAT WERE OPEN AT THAT TIME. IT WAS MY DECISION TO


##################################################################################
##################################################################################
"THE BROKER DENIES UNDERTAKING OR DIRECTING ANY MEMBER OF THE TEAM TO CHANGE CLIENT DATA PRIOR TO HIS DEP
MICHAEL VEHEMENTLY DENIES ANY AND ALL ALLEGATIONS, WHICH ARE INTENDED TO DEFAME, DISPARAGE AND LIABLE MIC
##################################################################################
TERMINATED/U-5
THE ALLEGATIONS WERE NOT SECURITIES RELATED.
THROUGH THE INVESTIGATION CONDUCTED BY THE NASD DISTRICT 5, IT
WAS DERTERMINED (9/19/97) THAT NO ACTION WAS WARRANTED.

##################################################################################


TERMINATION
CLIENTS LIQUIDATED THEIR PROPRIETORY FUNDS
DIRECTLY WITH SIERRA & BROUGHT IN THE PROCEEDS FOR A NEW
INVESTMENT. THIS WAS DONE ON A NON-SOLICITED BASIS. ACCORDING
TO GREAT WESTERN IT FELL UNDER THEIR CHARGE OF INVESTMENT POLICY
MR. CAVENDER AND HIS BUSINESS PARTNER DID NOT TAKE, NOR ATTEMP TO TAKE POSSESSION OF CLIENT ACCT. #S OR INFO
##################################################################################
##################################################################################

##################################################################################
##################################################################################
##################################################################################
FURTHER INVESTIGATION FOUND NO EVIDENCE OF
WRONGDOING
AT ALL TIMES I MAINTAINED THAT I HAD NOT VIOLATED
ANY INDUSTRY STANDARDS OF CONDUCT.
##################################################################################
##################################################################################




##################################################################################




##################################################################################
##################################################################################
VERBAL COMPLAINT FROM CLIENT'S SPOUSE ALLEGING THAT THE RISKS ASSOCIATED WITH THE EQUITY MUTUAL FUND EXEC
##################################################################################

##################################################################################
##################################################################################


##################################################################################
##################################################################################


##################################################################################

I WAS NOT TERMINATED, I LEFT THE FIRM ON 12/17/1996 AND RECEIVED A U5 SAYING I WAS TERMINATED 3 YEARS LATER.




##################################################################################
TERMINATION
G.W.F.S C. ALLEGES THAT I FAILED TO FOLLOW
COMPANY POLICY IN REGARDS TO CHANGE OF INVESTMENT WHERE CLIENTS
LIQUIDATED THEIR HOLDINGS AT SIERRA DIRECTLY AND REINVESTED THE
FUNDS WITH ME.
##################################################################################


##################################################################################




NOT PROVIDED

##################################################################################
IMPROPER ENTRY ON EXPENSE REPORT. WEEKEND HOTEL STAY WAS INADVERTENTLY LEFT ON EXPENSE REPORT. THE FIRM
##################################################################################




##################################################################################

##################################################################################


##################################################################################
TERMINATION FROM FIRM
I EXERCISED VERBAL DISCRETION AS TO PRICE AND
TIMING ONLY AS PER NASD RULES. I DID NOT EXERCISE FULL
DISCRETION.
NO CUSTOMER COMPLAINT WAS INVOLVED
##################################################################################




##################################################################################

##################################################################################
##################################################################################




##################################################################################
FIRM ACCUSED ME OF MAILING AN ACCOUNT VALUE
VERIFICATION TO A CLIENT WITHOUT THE BRANCH MANAGER'S APPROVAL
##################################################################################
UPON FURTHER REVIEW DICKINSON & CO DETERMINED
THAT PROPERTY WAS RETURNED.
DISCHARGED FROM THE POSTION ASST. BRANCH MANAGER,
PERMITTED TO RESIGN AS A BROKER.

TERMINATION
CLIENT DEPOSITED $15,000 IN CASH IN WHICH TWO
$7,500 CASHIER CHECKS WERE OBTAINED IN THE CLIENTS NAME.




I ACCEPTED A CASH GIFT FROM A CUSTOMER. I WAS DISCHARGED FROM THE FIRM. I RETURNED THE MONEY TO THE CUSTO
I VOLUNTARILY RESIGNED, WHICH HAD NOTHING TO DO WITH THE COMPLAINT IN QUESTION, WHICH WAS RECEIVED ON 07
TERMINATION
~5 JUNIOR BROKERS WERE FOUND WITH SALES PITCHES.
I WAS FOUND RESPONSIBLE & TERMINATED.
I LEFT BECAUSE OF PERSONALITY CONFLICTS WITH MANAGEMENT.
##################################################################################
##################################################################################


N/A
##################################################################################
##################################################################################

##################################################################################




##################################################################################


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I VOLUNTARILY RESIGNED, SEE ITEM 4.

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TERMINATION
Not Provided

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##################################################################################
##################################################################################
##################################################################################
I SENT AN EMAIL, BY REPLYING TO A CLIENT'S PRIOR EMAIL, AND PROVIDED A REITERATION OF A CONVERSATION THAT OCCU
TERMINATED
THE OFFICE MANAGER STATED THAT THROUGH ACCOUNT
DEBITS I EXPOSED THE FIRM TO TOO MUCH RISK.


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PERMITTED TO RESIGN
THE NATURE OF MY OUTSIDE BUSINESS DID NOT AGREE
WITH G.R. PHELPS METHODS OF OPERATION.

##################################################################################

TERMINATION
Not Provided
TERMINATION
ADVEST WAS REQUIRED TO RESTATE THE U5 AND PAY
DAMAGES TO ME. THE CLIENT HAD WRITTEN THEM 2 LETTERS STATING
THIS DID NOT OCCUR.

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##################################################################################


SEE ATTACHED




##################################################################################
I WAS TERMINATED DUE TO MY SECURITIES LICENSE
BEING SUSPENDED FOR ONE (1) YEAR RESULTING IN MY INABILITY TO MARKET SECURITIES FOR
HERETH, ORR & JONES. NO ACTUAL OR
ALLEGED DAMAGES OR CLAIMS.
N/A
PRUDENTIAL REPORTED THAT I WAS TERMINATED FOR
"ISSUES" RELATED TO OUTSIDE BUSINESS ACTIVITIES. I DO NOT
BELIEVE THE ACTIVITIES REFERRED TO BY PRUDENTIAL WERE REPORTED
UNDER THE RULES.
TERMINATION - NYSE DECISION 81-99 OF OCT. 27,
1981 VIOLATION OF RULE 408(A)- FINED $2000 AND SUSPENDED FRO 1
MONTH DEEMED SERVED.
SEE# 7 ABOVE.
UNAPPROVED PURCHASE OF STOCK IN PRIVATE PLACEMENT.
UNAUTHORIZED TRADES IN ACCOUNT THAT REP HAD FOR FORTY YEARS.
JESIONOWSKI WAS DISCHARGED FROM RONEY & COMPANY BECAUSE THE
FIRM IS NOT WILLING TO EMPLOY STATUTORY DISQUALIFIED PERSONS AS
REGISTERED REPRESENTATIVES.
AS A RESULT OF THE VIOLATIONS, THE STATE OF
GEORGIA ISSUED A SUSPENSION ORDER SUSPENDING MR. SOLOMON'S
REGISTRATION FOR 30 DAYS EFFECTIVE 02/11/76 AND HE WAS
TERMINATED FOR CAUSE ON THAT DATE BY EDWARD D. JONES & CO.
Not Provided
##################################################################################




##################################################################################
SUSPENSION APRIL 21, 1997- JUNE 4, 1997
Not Provided

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##################################################################################
I WAS PERMITTED TO RESIGN
9A. FIRM AT WHICH THE TRANSACTION TOOK PLACE.
DEAN WITTER REYNOLDS
ANY POSTS I MADE IN THE 1996-2001 PERIOD WERE INTENDED TO BE HELPFUL & INFORMATIVE, NOT PROMOTIONAL, IN A F




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I WAS DISCHARGED
I STRONGLY AND VEHEMENTLY DENY ALL CHARGES. FIRM:
SMITH BARNEY

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NA
Not Provided
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DISCHARGED FOR VIOLATION OF FIRM POLICY. ACCESS AND USE OF PROPRIETARY INFORMATION ( ROLODEX)
TERMINATION; VIOLATED ARTICLE III, SEC I OF THE
NASD RULES OF FAIR PRACTICE IT WAS FOUND.
NOT PROVIDED
  9A. WHAT FIRM DID THE TRANSACTION TAKE PLACE? EDWARD D. JONES
& COMPANY
I VOLUNTARILY RESIGNED FROM CIS AFTER BEING NAMED IN LITIGATION THAT ACCUSED ME OF VIOLATING INVESTMENT RE
##################################################################################
ARBITRATION HAS BEEN FILED FOR WRONGFUL TERMINATION.
##################################################################################
##################################################################################
THE NASD DISTRICT 13 DETERMINED THAT NO FURTHER ACTION IS WARRANTED
SEE LEGACY DISCLOSURE OCCURRENCE DETAILS
PERMITTED TO RESIGN. MR KENDRICK RESIGNED FROM
EMPLOYMENT AT FIRST UNION DURING AN INTERNAL COMPLIANCE REVIEW
THAT THE FIRM CONDUCTED WITH RESPECT TO WHETHER FIRST UNION HAD
ENTERED INTO PREARRANGED TRADES WITH CERTAIN ACCOUNT.
Not Provided
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REG REP VOLUNTARILY RESIGNED BY MUTUAL AGREEMENT. REG REP NEITHER ADMITS OR DENIES ALLEGATIONS OF VIOLATI
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AS A RESULT I WAS DISCHARGED.
THE EVENT WAS AN INTERNAL REVIEW AND WAS NOT A
CUSTOMER COMPLAINT.
N/A
PERMITTED TO RESIGN

TOTAL WERE IN EXCESS OF TREASURY REPORTING AMOUNTS.
INVESTIGATED BY NYSE IN 1988 WITH NO ACTION AGAINST ME. U.S.
TREASURY DEPT. ACTED ONLY VERSUS CUSTOMERS. MATTER CLOSED AS
TO ME.
MR. NELSON AND HIS BUSINESS PARTNER DID NOT TAKE, NOR ATTEMP TO TAKE POSSESSION OF CLIENT ACCT. #S OR INFORM

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PERMITTED TO RESIGN FOR FAILIURE TO COMPLY WITH
NYSE RULE 408(A) AND FIRM POLICY INVOLVING A CUSTOMER ACCOUNT.
NO FORMAL DISCIPLINING ACTION WAS TAKEN BY ANY SECURITY
AGENCIES (NASD, NYSE OR SEC).
NOT PROVIDED
DISCHARGE FROM PRU-BACHE.
NOT PROVIDED


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TERMINATION OF EMPLOYMENT AT E.F. HUTTON
TERMINAITON
Not Provided




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RABADEAU WAS DISCHARGED FROM PEBSCO
SECURITIES CORP. A REVIEW OF THIS MATTER WAS CONDUCTED BY THE
NASD DBCC FOR DISTRICT #4. ON 2/3/83, THE DISTRICT ADVISED THAT
NO FURTHER ACTION WAS WARRANTED.

PERMITTED TO RESIGN
I INADVERTENTLY ANSWERED 22F(4) ON MY U4 AT
P-B-S,THIS QUESTION SHOULD BE ANSWERED NO.

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I WAS SUBSEQUENTLY TERMINATED.
Not Provided


MR. BRERETON WAS DISCHARGED FROM MERRILL LYNCH.
Not Provided


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N/A
MY OUTSIDE INVOLVEMENT WAS KNOWN TO THE FIRM. I
REPORTED MY INVOLVEMENT REGULARLY THROUGH THE USE OF INTERNAL
QUESTIONAIRES AND VERBALY TO THE OPERATIONS AND BRANCH MANAGER.

NO ACTION WARRANTED REGARDING ANY ACTIVITY IN
CONNECTION WITH FIRST JERSEY SECURITIES, INC. COMPLAINT.
NOT PROVIDED
THE MATTER WSA CONCLUDED, WITH MY REGISNATION
FROM LEHMAN. NO PENALITIES, NO FINE, NO SETTLEMENT OR FINE THAT
INVOLVED ME OR THAT I AM AWARE OF.
Not Provided




##################################################################################
FIRM REJECTED COMPLAINT
PLEASE ARCHIVE, COMPLAINT MORE THAN 24 MONTHS OLD
REJECTED BY FIRM, NO FURTHER ACTION. NO LONGER REPORTABLE

TERMINATION OF EMPLOYMENT
NOT PROVIDED
I TRANSFERRED FUNDS FROM THE OPERATING ACCOUNT OF MY GENERAL AGENCY INTO A CORPORATE ACCOUNT (DOING BU
##################################################################################

TERMINATION
Not Provided
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THE ALLEGATION WAS COMPLETELY UNTRUE. THIS "ONE-MAN OFFICE" WAS UPSET THAT I LEFT TO START MY OWN COMPA
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MR. LANDRY WAS TERMINATED.
AFTER ADMITTING TO DOING AN UNAUTHORIZED TRADE IN
MARK BORROW'S ACCOUNT, I WAS TERMINATED FROM THE FIRM. THIS
TERMINATION IS RELATED TO THE CUSTOMER COMPLAINT AND NASD
INVESTIGATION.
##################################################################################
FOR THE RECORD, JOHN RANDOLPH STRONGLY DISAGREES WITH CANTOR FITZGERALD'S ACCOUNT OF HIS TERMINATION.
N/A
SEE ATTACHED LEGAL SUMMARY AND STATEMENT FROM
CLIENT

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WORKED WITH NEW YORK LIFE AGENT THAT WAS LATER DETERMINED TO BE EMBEZZLING MONEY FROM CUSTOMERS FROM
I WAS TOLD I WAS TERMINATED BECAUSE I VIOLATED JPM INTERNAL POLICIES RELATING TO EXTERNAL COMMUNICATIONS.
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NO LONGER ASSOCIATED WITH IDS.
Not Provided
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UPON REVIEW BY OLDE DISCOUNT, IT WAS DETERMINED
THAT THE CUSTOMER HAD AUTHORIZED THE TRANSFER AND THAT THIS WAS
THE ONLY INCIDENT BY AN EMPLOYEE WHO OTHERWISE WAS PERFORMING
SATISFACTORILY. OLDE REHIRED ME ON 9/19/92
Not Provided




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ON 10/30/95 THE TRADES IN QUESTION WERE REVERSED
FOR A TOTAL COST TO PAINE WEBBER OF $11,000.00 MR. BERNSTEIN
WAS TERMINATED
Not Provided
CLIENT WD FUNDS FROM ONE QUALIFIED ANUITY AND THE FIRM DEPOSITED THE FUNDS INTO HIS RETIREMENT ACCT. THE F
TERMINATED/DISCHARGE
Not Provided


$200 FINE: TERMINATION EFFECTIVE 8-11-93
NOT PROVIDED
NOMURA FELT I VIOLATED SECTION 5 OF THE 1933 ACT DUE TO A EMAIL SENT TO CLIENTS ON 9/17/2002. I WAS TERMINATE
DURING A ROUTINE COMPLICANCE REVIEW MNIS FOUND AN ACCOUNT WAS REBALANCED FOUR DAYS AFTER THE MEETING




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ONE WEEK CENSURE AND BAR.
Not Provided


IT WAS DETERMINED THAT NO ACTION WAS WARRANTED
AND THE HOLD ON MY REGISTRATION WAS RELEASED.
Not Provided




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U-5 GOING TO BE AMENDED BY PAINEWEBBER
INCORPORATED FROM "DISCHARGED" TO "PERMITTED TO RESIGN"
Not Provided
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SEE HARD COPY LETTER SENT TO COURTNEY BELTZ OF WACHOVIA SECURITIES ON MAY 12, 2006. THIS LETTER WILL BE FORW

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INTERNAL REVIEW OF THE ABOVE WAS PERFORMED AND NO WRONG DOING ON MY PART WAS DISCOVERED.


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MR. DAHMER BELIEVES THAT HE WAS TREATED UNFAIRLY BY AEFA AND THAT AEFA HAS USED THE CRD IN AN ATTEMPT TO H




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TERMINATION
I WOULD LIKE TO STATE THAT AT THE TIME OF MY
DEPARTURE I WAS UNAWARE OF THE ALLEGATION OF FALSIFYING
DOCUMENTS. I MISTAKINGLY OPENED AN ACCOUNT IN A STATE MY FIRM
WAS NOT REGISTERED IN, BUT I WAS NOT INVOLVED WITH THE
FALSIFYING OF DOCUMENTS.
ON OR ABOUT 1/10/03 I MADE A SINGLE COMMENT TO A COLLEAGUE WHICH WAS DEEMED TO BE INCONSISTENT WITH THE
TERMINATED FOR ACCEPTING A LOAN FROM A CLIENT
NEGOTIATED A RESOLUTION WITH FIRM.


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INTERNAL REVIEW INITIATED ON OR ABOUT 12/01/2000
TERMINATION
RESPONSE HAS BEEN SUBMITTED. 9A) PRUDENTIAL
SECURITIES


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AN AMENDED U-5 WAS FILED
Not Provided
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TERMINATED 7/7/99 UPON MERRILL LYNCH LEARNING OF AN UNDISCLOSED FINANCIAL ARRANGEMENT WITH A CLIENT CON




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Not Provided
I DO NOT AGREE WITH THE ALLEGATIONS MADE BY PAINE
WEBBER. I INSTRUCTED MY SALES ASSISTANT TO PROCESS THE
PAPERWORK ONLY. I NEVER ASKED OR STATED THAT SHE SIGN THE
CLIENT'S NAME.
TERMINATION
MERRILL LYNCH HAS SETTLED MR RATHJENS CLAIM OF
WRONGFUL TERMINATION OUTSIDE OF ARBITRATION
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REMOVED FROM MY POSITION AS SENIOR VICE
PRESIDENT AT WILLIAMS CAPITAL.
Not Provided




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I WAS TERMINATED FROM MERRILL
Not Provided

TERMINATION.
Not Provided


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TERMINATION
Not Provided


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RESIGNED FROM ICI
CLIENT PARTICIPATED AND INVESTED AS I DID INTO A
PROJECT FUNDING JOINT VENTURE AGREEMENT TO DATE WE HAVE NOT
RECEIVED OUR MONEY BACK. CASE IS STILL UNDER INVESTIGATION.
PENDING NASD INVESTIGATION INDICATES NON-SECURITY.
##################################################################################

VOLUNTARY RESIGNATION. RESIGNATION AND THIS INCIDENT ARE NOT RELATED. I HAD BEEN SEARCHING FOR A DIFFERENT
##################################################################################
FAILURE TO DISCLOSE WAS UPON ADVICE OF PREVIOUS BROKER/DEALER. VERAVEST INVESTMENTS,INC. THESE ACTIONS WE
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N/A
22N (1) TERMINATION 6/5/96 FROM TITAL VALUE
EQUITIES.


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NO FURTHER DISCIPLINARY ACTION TAKEN
Not Provided
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SEE DRP CONCERNING NYSE INVESTIGATION.

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RESIGNATION
Not Provided




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NONE
ALLEGATIONS FOR TERMINATION WRE MADE AFTER
COORDINATED CAPITAL SECURITIES RECEIVED INFORMATION FROM SOME
SOURCE UNKNOWN TO ME THAT OUR OFFICE AN OSJ BRANCH WERE GOING
TO BE JOINING ANOTHER BROKER DEALER SECURA INVESTMENTS

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TERMINATION
Not Provided
SHEARSON ACCUSED MR. JASTREMSKI OF INAPPROPRIATE MARKETING CALLS AND OF USING UNAPPROVED CORRESPONDEN
##################################################################################

MR. VAN WYNGARDEN'S RESIGNATION WAS ACCEPTED.
NO ACTION WAS TAKEN BY MERCANTILE INVESTMENT SERVICES, INC.
NOT PROVIDED
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BROKERS COMMISSIONS WERE KEPT FOR TOTAL OF THREE
THOUSAND TWO HUNDRED AND FIFTY DOLLARS
Not Provided
30-DAY SUSPENSION; 1000.00 FINE.
BOND WAS DENIED BY DEAN WITTER'S UNDERWRITER
CAUSING TERMINATION OF BROKER.

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IN MAY THROUGH AUGUST OF THIS YEAR I TALKED WITH A FRIEND OF MINE ABOUT PEOPLE WHO MIGHT BE INTERESTED IN


N/A

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SEE ATTACHED.
Not Provided
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DURING THE TIME MR. BOGART WAS EMPLOYED AT PRUDENTIAL SECURITIES INCORPORATED, HE WAS THE SUBJECT OF SEVE

NASD FILED COMPLAINT
Not Provided
OFFICE MGR ASKED ME TO HELP HIM TO RAISE CAPITAL. HE TOLD ME HE RECEIVED AUTHORIZATION FROM HEAD OFFICE. HE

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NO FORMAL COMPLAINT OR LEGAL PROCEEDINGS; NO
SETTLEMENT THAT I AM AWARE OF.
CLIENT WAS IN OFFICE AND APPLICATION PROCESS WAS MIDSTREAM, CLIENTS PREVIOUS PLAN WAS FROZEN AND APPLICATI
NOMURAS INTERNAL REVIEW HAS BEEN CONCLUDED AND
THE ARBITRATION HAS BEEN SETTLED PURSUANT TO A CONFIDENTIAL
SETTLEMENT AGREEMENT AND RELEASE, WHICH IS AVAILABLE TO ALL
SRO'S AND POTENTIAL FUTURE EMPLOYERS UNDER CERTAIN CONDITIONS.
Not Provided
I WAS DISCHARGED FOR TRADING PERSONAL COMMODITY ACCOUNT AWAY FROM B/D-SUTRO. NYSE LOOKED INTO THIS MA
##################################################################################
TERMINATION.
THIS INFORMATION HAS BEEN PREVIOUSLY DISCLOSED BY
SHERSON LEHMAN HUTTON.
##################################################################################
I RESIGNED FROM FIRST SECURITIES. MY GROSS
COMMISSION FROM THE MONTH WAS $24,000. FIRST SECURITIES USED
THIS AMOUNT TO OFFSET THE LOSS WITH THE BALANCE BEING EATEN BY
THE FIRM.
NOT PROVIDED


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PERMITTED TO RESIGN
I WAS UNDER THE IMPRESSION THAT AN "AA" DEGREE
WAS AUTOMATICALLY ACCREDITED AFTER TWO YEARS OF ATTENDANCE-I
WAS APPARENTLY WRONG.
NYSE INVESTIGATION CONCLUDED THAT NO FURTHER
ACTION IS TO BE TAKEN AGAINST ME AND AS FAR AS I KNOW THE
MATTER HAS BEEN CLOSED BY THE NYSE.
Not Provided




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I WAS ASKED TO REVIEW MY POLICIES & PROCEDURES IN CONECTION WITH THIS MATTER AND SUBMIT WRITTEN NOTICE TO




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NO PENALTIES. DISMISSED BY DEAN WITTER
THESE ARE THE ONLY COMPLAINTS I'VE HAD. BOTH
OCCURED ON "BLACK MONDAY." DEAN WITTER HAS OFFERED TO SETTLE
AND CORRECT MY U-5 IF I WILL DROP MY LEGAL MALPRACTICE SUIT
AGAINST THEIR LAWYERS. I HAVE REFUSED THEIR OFFER.




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THE DOCUMENT IN QUESTION WAS FOR A HARDSHIP WITHDRAWAL ON MY 401K. THIS HAD NOTHING TO DO WITH ANY CUS
THIS OCCURRED 9 YEARS AGO AND THERE WAS NO
FURTHER ACTION.
Not Provided
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TERMINATION
Not Provided
TERMINATION BY DEAN WITTER.
VARIOUS ALLEGATIONS MADE BY DEAN WITTER REYNOLDS.
NASD INVESTIGATED AND I ACCEPTED A LETTER OF ACCEPTANCE, WAIVER
AND CONSENT.


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TERMINATION
Not Provided


TERMINATION
NOT PROVIDED

SIGNING CLIENT NAMES ON VARIOUS PAINEWEBBER DOCUMENTS FOR FAMILY RELATED ACCOUNT.


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DISCHARGED FROM MERRILL LYNCH
THE EXCHANGE NOTED THAT MR. CONNELLY HAD AGREED
TO PAY MERRILL LYNCH $34,823.81 TOWARDS MERRILL LYNCH'S
SETTLEMENT WITH THE CUSTOMERS.
I WAS EXONORATED WHEN DETAILS OF PROBLEM EMERGED SHOWING I WAS INNOCENT.


NOT PROVIDED
NOT PROVIDED
##################################################################################
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TERMINATION
Not Provided
I WAS TERMINATED BY TITAN DUE TO CUSTOMER
COMPLAINTS BY ALAN AND PAULA TAYLOR.
NO FINE OR ACTION WERE TAKEN. I LEFT BARNETT
BANK
NOT PROVIDED
NO FINE OR ACTION WERE TAKEN. I LEFT BARNETT
BANK
NOT PROVIDED
TERMINATION MR. WILKES WAS ACCUSED AND
DISCHARGED FROM SMITH, KLINE & FRENCH LABORATORIES. HE DENIED
CHARGES BUT WAS TERMINATED AND REQUIRED TO SIGN A STATEMENT TO
THAT FACT.
Not Provided
           termDtExp

GEDLY GAVE IT TO A FRIEND AT A DISCOUNT. I WAS CHARGED WITH ONE MISDEMEANOR COUNT OF THEFT. THE CHARGE WAS LATER DIS

           MY TERMINATION DATE WAS SHORTLY AFTER MY BIRTHDAY WHICH IS APRIL, 13.

R CIVIL REMEDIES PURSUED AGAINST ME IN SUPPORT OF THIS CLAIM. NONETHELESS IT WAS DECIDED MY TENURE WITH THE COMPANY W

           I DON'T HAVE THE EXACT DATE
           WAS REALLY CLOSE TO THIS DATE.
           ##################################################################################
AILED TO INFORM MY MANAGER OR SUPERVISOR, AND WAS ALSO FOUND TO BE GUILTY OF SHOPLIFTING.




           TERMINATION WAS IN NOVEMBER OF 1999. I WRONGFULLY TOOK A BLANKET.


           APPROXIMATE DATE


 ESTIONS BY NOT DISCLOSING. I DID ANSWER ON TWO OF THE THREE FORMS I DID HAVE DUI. I HAVE SINCE HAD DUI ESPONGED.




 WAS ACCUSED OF NOT PRINTING A BLOTTER WITHIN A TIMELY MANNER.
          NOT SURE OF EXACT DATE

MY RECORD.




 THOUT FURTHER INVESTIGATION.


 PERTY. DISCHARGE WAS ENTERED AS BREACH OF TRUST.
O THE FIRM TO PAY FOR PURCHASES BOUNCED.




           I DO NOT KNOW THE EXACT DATE.




 ITHER OF US. I WAS TERMINATED, AND GIVEN MY A WEEK OF VACATION PAY. I NEVER HEARD FROM THE COMPANY AGAIN.




 T IT SAID TO DISCLOSE CONVICTIONS, NOT CHARGES. IT WAS NOT INTENTIONAL BUT CAUSED BY MY LACK OF UNDERSTANDING THE QUE

 2002. MY BRANCH MGR WAS FULLY INFORMED OF THE CASE IN 2002. I WAS TERMINATED IN 2004 AFTER THE DEATH OF MY MANAGER


OLLOW PROCEDURES REGARDING CORRESPONDENCE.

63. THEN SOMEONE IN A HIGHER POSITION HEARD ABOUT IT. THEY FIRED ME BECAUSE THEY HAD TO COVER THEMSELVES


D. MATTER CLEARED BY 0FFICE OF DISTRICT ATT. WILLIAM R. COENEN,JR. 2/4/1999. REHIRED 2/16/99 ALL SUPPORTING DOCUMENTS PRO

SIGN, ARGON TERMINATED HIS EMPLOYMENT WITH THEIR FIRM.

PARAGE AND LIABLE GEORGE NIKOLAKAKOS.
          TERMINATED ON 8/15/2002




          REP TERMED ON 05/10/2007 - DISCLOSURE LETTER REC'D BY JP TURNER ON 06/11/2007.




          APPROXIMATE TERMINATION DATE.




EMENTS WERE MADE. ON 1/27/99 THE FIRM SUBMITTED AN AMENDED U-5 INDICATING DISPUTE WAS RESOLVED.




NGE DATA PRIOR TO HER DEPARTURE FROM THE FIRM ON HER OWN ACCORD".




TO VALIDATE THAT A BLUE SKY VIOLATION HAD OCCURED.




ES LET ALONE TAKING APART A COMPUTER FOR THE HARD DRIVE.
          I'M NOT SURE OF THE EXACT DATE
RUCO SECURITIES. ON ADVICE FROM PREVIOUS MANAGER I DID NOT DISCLOSE THE DROPPED CHARGE.


AT TIME. IT WAS MY DECISION TO MOVE MY REGISTRATION TO WADDELL & REED AND WORK WITH A FRIEND OF MINE THERE.




NGE CLIENT DATA PRIOR TO HIS DEPARTURE FROM THE FIRM ON HIS OWN ACCORD".
 FAME, DISPARAGE AND LIABLE MICHAEL MARTINO.




 SSION OF CLIENT ACCT. #S OR INFORMATION THAT WAS CONFIDENTIAL AND PROPRIETARY TO THE FIRM.


           RECEIVED NOTICE VIA DISCLOSURE LETTER ON 02/20/2008.
H THE EQUITY MUTUAL FUND EXECUTED IN OCT, 2001 WERE NOT ADEQUATELY EXPLAINED AND INCONSISTENT WITH CLIENT INSTRUCTIO




WAS TERMINATED 3 YEARS LATER.




          I RESIGNED ON OR ABOUT THE 1ST. MY BD REQUESTED THIS IN WRITING AND REQUESTED I USE 7/17/2005 AS THE DATE, SO

FT ON EXPENSE REPORT. THE FIRM STATED THEY HAVE ZERO TOLERENCE POLICY ON INCORRECT EXPENSE REPORTS.
TURNED THE MONEY TO THE CUSTOMER. I RECD A LETTER OF CAUTION FROM THE NASD.
 ION, WHICH WAS RECEIVED ON 07/22/1996.
I DO NOT RECALL SPECIFICALLY.




APPROXIMATELY 7/1977. DON'T RECALL EXACT DATE.
N OF A CONVERSATION THAT OCCURRED BETWEEN MYSELF AND A CLIENT EARLIER IN THE WEEK AS IT PERTAINED TO THE ACCEPTANCE




          DATE GIVEN WAS OCTOBER 1974
MATIVE, NOT PROMOTIONAL, IN A FEW VERY SMALL CHAT ROOMS. I HAVE NOT HAD ANY ACTIVITY OF THAT SORT SINCE & I NEVER INTEN




MATION ( ROLODEX)




 ME OF VIOLATING INVESTMENT RELATED STATUTES. I WAS DISMISSED WITH PREJUDICE FROM THE LITIGATION ON 12-27-1989, AND AFF
R DENIES ALLEGATIONS OF VIOLATING SUPERVISORY SALES PROCEDURES OF FIRM.




ION OF CLIENT ACCT. #S OR INFORMATION THAT WAS CONFIDENTIAL AND PROPRIETARY TO THE FIRM.
A CORPORATE ACCOUNT (DOING BUSINESS AS ACCOUNT) UNDER MY CONTROL AND PAID COMMISSIONS OUT OF THE CORPORATE ACCO
 I LEFT TO START MY OWN COMPANY AND TRIED TO HURT ME BY PUTTING A MARK ON MY RECORD. THE ALLEGATION WAS LATER DROP




ACCOUNT OF HIS TERMINATION.




G MONEY FROM CUSTOMERS FROM 1997 - 1999.
TO EXTERNAL COMMUNICATIONS. NO CUSTOMER COMPLAINTS OR INJURY. I DID NOT VIOLATE INVESTMENT-RELATED STATUTES, REGU
INTO HIS RETIREMENT ACCT. THE FUNDS WERE THEN WIRED TO ANOTHER ANNUITY IN HIS PLAN-QUALIFIED.




S ON 9/17/2002. I WAS TERMINATED 10/17/2002. THE DISPUTE WILL BE TAKEN TO ARBITRATION.
D FOUR DAYS AFTER THE MEETING WHERE THE TRADES HAD BEEN REVIEWED AND APPROVED. DESPITE EXTENUATING CIRCUMSTANCES
           SEE HARD COPY LETTER SENT TO COURTNEY BELTZ ON MAY 12, 2006 OF WACHOVIA SECURITIES. THIS LETTER WILL BE FORW


T WAS DISCOVERED.




USED THE CRD IN AN ATTEMPT TO HARM MR. DAHMER'S PRACTICE AND HIS REPUTATION.
ED TO BE INCONSISTENT WITH THE FIRM'S CODE OF CONDUCT.




          I DON'T REMEMBER THE EXACT DATE

RRANGEMENT WITH A CLIENT CONSISTING OF A LOAN FROM THE CLIENT.
EEN SEARCHING FOR A DIFFERENT CAREER PATH.
ESTMENTS,INC. THESE ACTIONS WERE LATER DISCLOSED AND INVESTIGATED AND FOUND TO HAVE NO INTENTION TO HIDE OR WITHHOL
NG UNAPPROVED CORRESPONDENCE, WHICH MR. JASTREMSKI DENIED.
LE WHO MIGHT BE INTERESTED IN A NEW BUSINESS. THAT BUSINESS, FIBER-TECH, CONTACTED THESE PEOPLE. I REPORTED THIS TO MY




TED, HE WAS THE SUBJECT OF SEVERAL CUSTOMER COMPLAINTS, INCLUDING ONE INVOLVING AN ANNUITY. CUSTOMER COMPLAINT IN




ORIZATION FROM HEAD OFFICE. HE LIED TO ME. NASD RULED NO ACTION AGAINST ME WAS WARRANTED.




PLAN WAS FROZEN AND APPLICATION PROCESS WAS CANCELLED.




UTRO. NYSE LOOKED INTO THIS MATTER AND WROTE IN LETTER DATED 9/3/98. THEY WERE NOT PURSUING THIS MATTER AND CLOSING
AND SUBMIT WRITTEN NOTICE TO THE NASD OF THE STEPS I HAVE TAKEN TO ASURE FUTURE COMPLIANCE.




AD NOTHING TO DO WITH ANY CUSTOMER ACCOUNT OR DOCUMENTS
          firm2                            termType3   termDt4

HEFT. THE CHARGE WAS LATER DISMISSED.




MY TENURE WITH THE COMPANY WAS FINISHED.
          SEI                              DISCHGED     6/24/2008




SINCE HAD DUI ESPONGED.




          MORGAN STANLEY                   DISCHGED     5/14/2009
          PROSPERA FINANCIAL SERVICES              DISCHGED   1/29/2009
          WRAPMANAGER, INC                         DISCHGED   1/23/2009




THE COMPANY AGAIN.




ACK OF UNDERSTANDING THE QUESTIONS.

AFTER THE DEATH OF MY MANAGER.




 COVER THEMSELVES


 ALL SUPPORTING DOCUMENTS PROVIDED AT THAT TIME.
AS RESOLVED.
A FRIEND OF MINE THERE.
NSISTENT WITH CLIENT INSTRUCTIONS. I DENY ALL ALLEGATIONS.




D I USE 7/17/2005 AS THE DATE, SO I COMPLIED.

NSE REPORTS.
T PERTAINED TO THE ACCEPTANCE OF ORDERS VIA EMAIL OR VOICEMAIL.
THAT SORT SINCE & I NEVER INTEND TO HAVE ANY IN THE FUTURE.




TIGATION ON 12-27-1989, AND AFFILIATED WITH A NEW BROKER-DEALER ON 1-10-1990.
ONS OUT OF THE CORPORATE ACCOUNT. ALL AGENTS WERE FULLY PAID.
THE ALLEGATION WAS LATER DROPPED BUT HE FAILED TO UPDATE MY U5.




STMENT-RELATED STATUTES, REGULATIONS, RULES OR INDUSTRY STANDARDS OF CONDUCT.
TE EXTENUATING CIRCUMSTANCES (MY HAVING TO GO OUT OF TOWN) THIS EXCEEDED THE TWO DAY POLICY.
URITIES. THIS LETTER WILL BE FORWARDED TO THE NASD




           FIDELITY CAPITAL MARKETS/NATIONAL FINANCIAL SERVICES   PERMTRES   10/14/2008
MISSOURI DEPT. OF CONSERVATION   DISCHGED   8/28/1997
INVEST FINANCIAL CORPORATION   PERMTRES   5/26/2009
O INTENTION TO HIDE OR WITHHOLD INFORMATION
 PEOPLE. I REPORTED THIS TO MY BRANCH MANAGER, BUT NOT IN WRITTEN FORMAT.




NUITY. CUSTOMER COMPLAINT INITIATED BY R.G. HERMAN HAS BEEN DISCLOSED. SEE RESPECTIVE DRP.




RSUING THIS MATTER AND CLOSING THE CASE.
allgtns5




THAT I FAILED TO REPORT INCOME FROM OUTSIDE BUSINESS ACTIVITY.




BROKER "SELLING AWAY ACTIVITY" AND MORGAN STANLEY "FAILURE TO SUPERVISE". MORGAN STANLEY DENIED CRAIG L. D
FINANCIAL ADVISOR WAS TERMINATED FOR FAILURE TO FOLLOW FIRM PROCEDURES REGARDING EMAIL
INVESTMENT ADVISOR REPRESENTATIVE WAS TERMINATED FOR FAILURE TO ADHERE TO FIRM POLICIES AND PROCEDURES R
DAY POLICY.
MR. CAREY WAS PERMITTED TO RESIGN FOLLOWING ALLEGATIONS REGARDING THE PROVIDING OF INFORMATION ABOUT S
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FAILURE TO FOLLOW FIRM PROCEDURES, INCLUDING FAILURE TO USE FIRM'S EMAIL.
prdctNoPrdctFl   prdctAnntyChtblFl   prdctAnntyFixedFl   prdctAnntyVrblFl




Y                N                   N                   N




N                N                   N                   N
Y   N   N   N
Y   N   N   N
N   N   N   N
Y   N   N   N
Y   N   N   N
prdctBankgPrdctNoCdFl   prdctCdFl   prdctCmdtyOptnFl   prdctDebtAssetBckdFl




N                       N           N                  N




N                       N           N                  N
N   N   N   N
N   N   N   N
N   N   N   N
N   N   N   N
N   N   N   N
prdctDebtCrprtFl   prdctDebtGovtFl   prdctDebtMncplFl   prdctDrvtFl




N                  N                 N                  N




N                  N                 N                  N
N   N   N   N
N   N   N   N
N   N   N   N
N   N   N   N
N   N   N   N
prdctDrctNvsmtDppLpIntrsFl   prdctEquipLsngFl   prdctEqtyLstdFl   prdctEqtyOtcFl




N                            N                  N                 N




N                            N                  N                 N
N   N   N   N
N   N   N   N
N   N   Y   Y
N   N   N   N
N   N   N   N
prdctFtrsCmdtyFl   prdctFtrsFnnclFl   prdctIndxOptnFl   prdctNsrnFl   prdctNvsmtCntrcFl




N                  N                  N                 N             N




N                  N                  N                 N             N
N   N   N   N   N
N   N   N   N   N
N   N   N   N   N
N   N   N   N   N
N   N   N   N   N
prdctMoneyMktFundFl   prdctMtlFundFl   prdctOilGasFl   prdctOptnFl   prdctPnnyStockFl




N                     N                N               N             N




N                     N                N               N             N
N   N   N   N   N
N   N   N   N   N
N   N   N   Y   N
N   N   N   N   N
N   N   N   N   N
prdctPrimeBankNtrmtFl   prdctPrmsyNoteFl   prdctReScrtyFl   prdctScrtyFtrsFl




N                       N                  N                N




N                       N                  N                N
N   N   N   N
N   N   N   N
N   N   N   N
N   N   N   N
N   N   N   N
prdctUnitNvsmtTrustFl   prdctVtclStlmtFl   prdctOthrPrdctFl




N                       N                  N




N                       N                  Y
N   N   N
N   N   N
N   N   N
N   N   N
N   N   N
cmmnt6




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INVEST ALLEGES NOT FOLLOWING FIRM POLICIES PERTAINING TO DELIVERY OF EMAILS TO FIRM. NO OTHER POLICIES HAVE
prdctOthrExp




EQUIMPMENT PURCHASE AND RESALE INVESTMENT
O FIRM. NO OTHER POLICIES HAVE BEEN VIOLATED AND NO OTHER POLICIES WERE STATED TO HAVE BEEN VIOLATED.
N VIOLATED.

				
DOCUMENT INFO
Description: Dispute Claim Against Independent Contractor document sample