COURT COUNTY .OF. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ......... .. : Index No. : Calendar No. OFFICE OF THE ATTORNEY : GENERAL JUDICIAL SUBPOENA Plaintiff(s) SECURITIES DIVISION -against- 200 ST. PAUL PLACE : 20TH FLOOR : BALTIMORE, MARYLAND 21202-2020 TELEPHONE: (410) 576-6360 : Defendant(s) : . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . COMPLAINT . . . . ............ The purpose of this complaint form is to provide the Maryland Division of Securities with information necessary for the commencement of a preliminary THE PEOPLE of your allegations. investigation OF THE STATE OF NEW YORK Thus, it is important for you to furnish as much detailed information as possible. All information you provide will be deemed confidential, and neither the contents nor the source of this TO complaint will be publicly disclosed or available for public inspection unless formal proceedings are instituted. GREETINGS: It is important that you attach copies of all written materials (including checks, contracts, advertisements, pamphlets, and letters or correspondence) WE COMMAND YOU, that all business that may relate to your complaint. and excuses being laid aside, you and each of you attend before , the Honorable at the Court located at County of , on the , 20 , at o'clock in the noon, and at any recessed The in room Division appreciates day of interest and cooperation. your or adjourned date, to testify and give evidence as a witness in this action on the part of the (PLEASE TYPE OR PRINT) INFORMATION ABOUT PURCHASER OR COMPLAINANT (YOU) Your failure to comply with this subpoena is punishable as a contempt of court and will make you liable to the party on whose behalf this subpoena was issued for a maximum penalty of $50 and all damages sustained as a Mr. Mrs.result of your failure to comply. Ms. Witness, Honorable Dr. _______________________________________________ , one of the Justices of the __________________ Last First day of Middle Today's Date Court in Name County, , 20 ___________________________________________________ Home Address City State Zip (____)______________ Telephone Number ___________________________________________________ Business Address City State Zip (____)_____________ Telephone Number (Attorney must sign above and type name below) Attorney(s) for ___________________ Trade or Occupation __________ Approx. Age Single Married Widowed Divorced Are you willing to be interviewed by an investigator from this office? Office and P.O. Address ________ Yes ________ No Telephone No.: Are you willing to be a witness if formal proceedings are commenced by the Securities Commissioner? Facsimile No.: E-Mail Address: Mobile Tel. No.: American LegalNet, Inc. www.USCourtForms.com COURT COUNTY .OF. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ......... .. : : -against- Index No. Calendar No. : Plaintiff(s) ________ JUDICIAL SUBPOENA Yes ________ : No : : INFORMATION ABOUT SUBJECT OR SELLER (If unknown, please indicate) : In what. .company, . corporation, . orDefendant(s) . . . . . . .did you invest: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . association ......... ___________________________________________________________________________ Its Name Address Telephone No. THE PEOPLE OF THE STATE OF NEW YORK List persons who were involved in this transaction. ( Please use separate pages or page 6 to set forth any other available information about these TO persons.) ____________________________________________________________________________ LastGREETINGS: Name First Middle Position Telephone No ___________________________________________________________________________ WE COMMAND YOU, that all business and excuses being laid aside, you and each of you attend before Address City at the State Zip , the Honorable Court located at County of in room , on the day of , 20 , at o'clock in the noon, and at any recessed ____________________________________________________________________________ or adjourned date, to testify and give evidence as a witness in this action on the part of the Last Name First Middle Position Telephone No ____________________________________________________________________________ Address State Zip Your failure to comply with this City is punishable as a contempt of court and will make you liable to subpoena the party on whose behalf this subpoena was issued for a maximum penalty of $50 and all damages sustained as a How result of yourlearntoof the investment? (Check more than one if necessary and did you failure comply. enclose copies of pamphlets or advertisements if possible). ________ Witness, Honorable , one of the Justices of the Personal visit Court in County, day of , 20 When? _______________________________________________________ Where? ______________________________________________________ Whom? _______________________________________________________ Who else was present? _______________________________________ (Attorney must sign above and type name below) ________ Telephone call Date? _______________________________________________________ Attorney(s) for From whom? __________________________________________________ At what address/location was the call received? _____________ _____________________________________________________________ ________ Advertising pamphlet/sales letter Office and P.O. Address Mailed to you at what address/location? _____________________ _____________________________________________________________ 2 Telephone No.: Facsimile No.: E-Mail Address: Mobile Tel. No.: American LegalNet, Inc. www.USCourtForms.com COURT COUNTY .OF. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ......... .. : : Index No. Calendar No. Copy of pamphlet/sales letter enclosed?______________________ : JUDICIAL SUBPOENA Plaintiff(s) Copy of envelope attached?___________________________________ -against- ________ : Newspaper Name of paper? ______________________________________________ : Date? _______________________________________________________ Copy of advertisement enclosed?: _____________________________ Defendant(s) : ...................................................... THE PEOPLE OF THE STATE OF NEW YORK ________ TO Radio Name of station? _________________________________________________ Date? ____________________________________________________________ ________ Television Name GREETINGS: of station? _________________________________________________ Date? ____________________________________________________________ WE COMMAND YOU, that all business and excuses being laid aside, you and each of you attend before ________ Group sales presentation at the , the Honorable Court Date of presentation? ____________________________________________ located at County of Where? ___________________________________________________________ in room , day of , 20 , at o'clock in the noon, and at any recessed Others on the present? __________________________________________________ or adjourned date, to testify and give evidence as a witness in this action on the part of the ________ Other (Please specify) __________________________________________________________________ __________________________________________________________________ Your failure to comply with this subpoena is punishable as a contempt of court and will make you liable to the party on whose behalf this subpoena was issued for a maximum penalty of $50 and all damages sustained as a Listresult of your failure to comply. others who were present when the offers or sales were made to you. page 6 if necessary). (Use Witness, Honorable , one of the Justices of the ____________________________________________________________________________ County, day , 20 NameCourt in Address of Telephone Relationship to Complainant (Purchaser) or Seller (Attorney must sign above and type name below) What did you purchase or invest in? (Examples: common stock, debenture, limited partnership interest, investment contract, fractional interest in an oil and gas lease) Attorney(s) for ____________________________________________________________________________ ____________________________________________________________________________ How many units or shares did you purchase? _________________________________ Office and P.O. Address Total amount of your investment or loan? $________ Cash $________ Check Other (Please identify) __________________ (Enclose copy of both sides of 3 Telephone No.: Facsimile No.: E-Mail Address: Mobile Tel. No.: American LegalNet, Inc. www.USCourtForms.com COURT COUNTY .OF. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ......... .. : Index No. : check) Plaintiff(s) Calendar No. : JUDICIAL SUBPOENA How was the amount to -againstbe paid: (lump sum, installments, etc.) ______________ : ____________________________________________________________________________ : Who received the payment from you? _________________________________________ When? _________________________________________________________________ : Where? ________________________________________________________________ Defendant(s) : ...................................................... By Mail? ______________________________________________________________ On what dates were the units or shares purchased? __________________________ THE PEOPLE OF THE STATE OF NEW YORK TO Did GREETINGS: any type of contract? ________ If so, please enclose a copy. you sign Where was it signed (city/county)? ____________________________________ Who elseCOMMAND YOU, that all business and excuses being laid aside, you and each of you attend before WE was present? _________________________________________________ the Honorable at the Court How were your securities delivered? ________________________________________ located at County of If in person: in room , on day of , 20 , at o'clock in the noon, and at any recessed By whom? the _________________________________________________________ or adjourned date, to testify and give evidence as a witness in this action on the part of the When? ____________________________________________________________ Where? ___________________________________________________________ If by mail, please attach envelope and any cover letter. Your failure to comply with this subpoena is punishable as a contempt of court and will make you liable to Describe any prior business or personal maximum penalty of $50 and all damages sustained as a the party on whose behalf this subpoena was issued for a relationships/dealings with either the company or the salesperson who contacted you: __________________________ result of your failure to comply. ____________________________________________________________________________ Witness, Honorable one of the Justices of the Please explain in detail your previous investment ,experience (type, date, Court County, day of , 20 amount):in___________________________________________________________________ ____________________________________________________________________________ List any oral representations or promises made to you above and type salesperson: (Attorney must sign by the name below) ____________________________________________________________________________ ____________________________________________________________________________ ____________________________________________________________________________ Attorney(s) for What, if any, statements made to you were untrue? __________________________ ____________________________________________________________________________ ____________________________________________________________________________ Office and P.O. Address Who else do you know that invested with the company, corporation, or association? ______________________________________________________________ ____________________________________________________________________________ 4 Telephone No.: Facsimile No.: E-Mail Address: Mobile Tel. No.: American LegalNet, Inc. www.USCourtForms.com , COURT COUNTY .OF. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ......... .. : : Index No. Calendar No. Have you notified or filed a complaint with any of the following agencies? : JUDICIAL SUBPOENA Plaintiff(s) _____U.S. Securities -against& Exchange Commission _____Maryland Attorney General _____Other Federal Agency or Office _____County or District Attorney :_____Sheriff's Office _____Local Police Department :_____Better Business Bureau _____Local Newspaper : Have you complained to subject or seller? _____Yes _____No If yes, what offer of adjustment Defendant(s) or explanation was made? _________________ : ...................................................... ____________________________________________________________________________ ____________________________________________________________________________ HaveTHE PEOPLE OF THE STATE OF NEWfiled a lawsuit in any court? If yes, please you or any other victims YORK provide the name of the case/county/case number/ and provide a copy of the court documents. ___________________________________________________________ TO ____________________________________________________________________________ ____________________________________________________________________________ GREETINGS: WE COMMAND YOU, that all business and excuses being laid aside, you and each of you attend before , the Honorable at the Court Please provide a narrative of the transactions which gave rise to your located at County of complaint. (Use separate sheets or back of this page if necessary). in room , on the day of , 20 , at o'clock in the noon, and at any recessed ____________________________________________________________________________ or adjourned date, to testify and give evidence as a witness in this action on the part of the ____________________________________________________________________________ ____________________________________________________________________________ ____________________________________________________________________________ ____________________________________________________________________________ Your failure to comply with this subpoena is punishable as a contempt of court and will make you liable to ____________________________________________________________________________a the party on whose behalf this subpoena was issued for a maximum penalty of $50 and all damages sustained as ____________________________________________________________________________ result of your failure to comply. ____________________________________________________________________________ ____________________________________________________________________________ Witness, Honorable , one of the Justices of the ____________________________________________________________________________ Court in County, day of , 20 ____________________________________________________________________________ ____________________________________________________________________________ ____________________________________________________________________________ ____________________________________________________________________________ (Attorney must sign above and type name below) ____________________________________________________________________________ ____________________________________________________________________________ ____________________________________________________________________________ Attorney(s) for ____________________________________________________________________________ ____________________________________________________________________________ ____________________________________________________________________________ ____________________________________________________________________________ ____________________________________________________________________________ Office and P.O. Address ____________________________________________________________________________ ____________________________________________________________________________ ____________________________________________________________________________ 5 Telephone No.: Facsimile No.: E-Mail Address: Mobile Tel. No.: American LegalNet, Inc. www.USCourtForms.com COURT COUNTY .OF. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ......... .. : : Index No. Calendar No. ____________________________________________________________________________ : JUDICIAL SUBPOENA Plaintiff(s) ____________________________________________________________________________ -against____________________________________________________________________________ : What would you consider to be a satisfactory :solution? ____________________________________________________________________________ ____________________________________________________________________________ : ____________________________________________________________________________ Defendant(s) : ...................................................... _____________________________________________ Signature (Please sign in THE PEOPLE OF THE STATE OF NEW YORK ink) TO __________________________ Date PLEASE RETURN THIS COMPLETED COMPLAINT AND ALL ATTACHMENTS TO: OFFICE OF THE ATTORNEY GENERAL MARYLAND DIVISION OF SECURITIES GREETINGS: 200 St. Paul Place 20th excuses WE COMMAND YOU, that all business andFloor being laid aside, you and each of you attend before Baltimore, Maryland 21202-2020 , the Honorable at the Court Telephone: (410) 576-6360 located at County of in room , on the day of , 20 , at o'clock in the noon, and at any recessed or adjourned date, to testify and give evidence as a witness in this action on the part of the ADDITIONAL INFORMATION Your failure to comply with this subpoena is punishable as a contempt of court and will make you liable to the party on whose behalf this subpoena was issued for a maximum penalty of $50 and all damages sustained as a result of your failure to comply. Witness, Honorable Court in County, , one of the Justices of the day of , 20 (Attorney must sign above and type name below) Attorney(s) for Office and P.O. Address 6 Telephone No.: Facsimile No.: E-Mail Address: Mobile Tel. No.: American LegalNet, Inc. www.USCourtForms.com