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This excerpt taken from the C 8-K filed Oct 13, 2009. Finn v. Smith Barney, et al.: On March 21, 2008, an investor filed a
complaint against Citigroup, CGMI and Smith Barney, and his financial advisor
in the United States District Court for the Southern District of New York,
alleging violations of Sections 10 and 20 of the Securities Exchange Act of
1934 and Section 17 of the Securities Act of 1933, as well as claims for
fraud, negligent misrepresentation, suitability, breach of fiduciary duty, and
violation of applicable NASD and FINRA conduct rules, arising out of plaintiff’s
investment in ARS. This action is currently stayed.
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