Trading Symbol: VARIOUS
CUSIP Number: VARIOUS
TERMS OF THE SETTLEMENT: The Settlement consists of $10,276,000 in cash and will include interest on the Settlement Fund prior to distribution.
CLASS DESCRIPTION: On behalf of the mutual funds that had marketing arrangements with Southwest Securities, Inc., Daniel R. Leland, Kerry M. Rigdon, and Kevin J. Marsh, during the period from October 1, 2002 through September 30, 2003; or, in the case of mutual funds that have been merged into other mutual funds, to their successors in interest.
IMPORTANT DATES:
DATE TO SEEK EXCLUSION
FROM THE CLASS: TBD
DATE FOR SUBMISSION OF
PROOF OF CLAIM FORMS: TBD
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