Free Affidavit in Support of Motion - District Court of Arizona - Arizona

_ FINANCIAL PLANNING RECOMMENDATIONS TO CLASS REPRESENTATIVES A
Recommendations john Haritos I David and Emily Austin V
Proprietary Products Select Products* Products With Urrlcuowu Proprietary Products Select Products Products With Unknown
· Proprietaqv or Norrpropriutnry Proprietary or Norrproprietary
status status
Mugu;| Fund wrap Aggqung American Express Strategic American Express Strategic
Portfolio Services Portfolio Services (not
_ recommended in Financial Plan)
Variable Annuity Pyqduggg AXP Retirement Variable
' Annuity; IDS Retirement Advisor
Variable Annuity
“°°“ "’ __
Life lnsurange IDS Variable Universal Lili: IDS Variable Universal Life
Insurance Policy Insurance Policy (ZX)
"“` ‘“$5 _-
Cash Management or Brokerage American Express Brokerage IRA American Express Cash
Aeennnt Management Account
Stocl¢sIMutual Funds (as AXP New Dimensions Goldman Sachs VIT Core U.S. °” recommended at time ot Fidelty MidCP Portfolio
underlygng investments in VUL · Equity Fund; Janus Aspen Series signature and payment for life
insurance nnnnyyui, International Growth; Putnam insurance policy, but not
New Opportttnties Ftmd; Pttlnani specifically recommended in
VT Vista Financial Plans: IDS Life Series
N I riirirri W" Fund Money Market Portfolio;
AXP VP New Dimensions Fund
StocksIMutual Funds (as AXP New Dimensions AIM, American Century, Warburg Pincus, (unknown)
underlying investments in Calvert Group, Dreyfus, Founders Funds (unknown)
Proprietary Retirement Variable Evergreen Funds, Fidelity Neuberger Berman Funds
Annuity (RAVA) account Investments, Franklin (unknown)
Templeton, Goldman Sachs,
Invesco Funds, (unknown)
Janus, Liberty Distributors
(Stein Roe) (now Columbia),
MFS, Oppenheimer Funds,
Putnam Investments, Strong
Funds, Wells Fargo
St¤cksIMutual Funds (as
underlying investments in AEFA
Proprietary Wrap Strategic
Portfolio Services Account)
" "Select" or "Preferred" fund products are those products recommended pursuant to AEFA's undisclosed
revenue sharing relationships with outside fund families, See Flaintilfs` Opening Mem. at I6-IB.
“ during the class period, all underlying subaccounrs for VUL policies contained only proprietary or select
d . '
TIT ”“’ , , I Qase 2.02-cv-02255-PGR Document 156-3 Filed O9/29/2005 Page 1 of 2
"’ AEFA has not produced Mr. Tooleys Financial Plan, despite repeated iscovery requests.

FINANCIAL PLANNING RECOMMENDATIDNS TD CLASS REPRESENTATIVES
Recommendations Umar Shahine t ` Michael Tooley ***
Proprietary Products Select Proa'ucts Products Wirh Unknown Proprietary Products Select Products Products With Unknown
Proprietary or Nonproprictaqv Proprietary or Nouproprictary
status status
" “`“a ` i”"° “‘°"” “ -1--1-
'°°°°‘5 1-- H!
Life Insurance IDS Variable Universal Lite IDS Variable Universal Liic
Insurance Policy Insurance Policy
IRA Columbia Thermostat Fund
Roth IRA
Cash Management or Brokerage American Express ONE
Acuuunt Financial Account; American
` Express Flexible Savings
Certificate
St¤ckslMutuaI Funds (as AXP VP High Yield Fund l’l`VIP l\/lutual Shares; Alliance * recommended at time ol` signature
underlying investments in VUL Growth and Income Fund; and payment for life insurance
insurmce Poncyru, Fidelity VIP3 MidCap policy, but not specilically
Portlolio; Wangcr US Smaller recommended in Hnancial Plan
Cos; Wangcr International
Small Cap; Allianceliernstcin
Int'l Valtte;
StocksIMutuaI Funds (as I
underlying investments in
Proprietary Retirement Variable
Annuity (RAVA) account
StocksIMut:uaI Funds (as
underlying investments in AEFA
Proprietary Wrap Strategic
Portfolio Services Account)
* "Select" or "Prelerred" fund
products are those products
recommended pursuant to AEFA`s
“** during the class period, all
d I ‘ b t' VUL - '
jg jgighsu trrrun j md M Case 2.02-cv-02255-PGR Document 156-3 Filed O9/29/2005 Page 2 of 2
“" DS UUE PFD LICE V.

Case 2:02-cv-02255-PGR

Document 156-3

Filed 09/29/2005

Page 1 of 2

Case 2:02-cv-02255-PGR

Document 156-3

Filed 09/29/2005

Page 2 of 2