.
Interesting excerpt from the resolution of a complaint filed 9/20/2001 by one of Lloyd Dotson's clients while "Bigg" was employed as a broker with A.G. Edwards & Sons, Inc.

The complaint went to arbitration and was settled 1/29/2003 when the claimants and respondents entered into a confidential agreement.



https://adviserinfo.sec.gov/IAPD/Sup...dvl_pk=2551716

SD

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