§551.32(1)(b), Wis. Stats. and 5.01(2), Wis. Adm. Code COURT COUNTY . . . . . . . . . . . .OF. . . . . . . . . . . . . . . . . . . . .STATE. OF WISCONSIN . ..... .............. : Index DEPARTMENT OF FINANCIAL INSTITUTIONS No. DIVISION OF SECURITIES : Plaintiff(s) -against- Calendar No. : 345 West Washington Ave., 4 Fl. JUDICIAL SUBPOENA PO Box 1768 Madison, WI 53701-1768 (608) 266-3693 TTY: (608) 266-8818 Internet: www.wdfi.org : : th : FINANCIAL CERTIFICATION Defendant(s) : ...................................................... Pursuant to s. DFI-Sec 5.02, Wis. Adm. Code, every investment adviser whose principal office is located in Wisconsin and that collects advisory fees of $500 or more, six months or more in advance shall maintain a positive THE PEOPLE OF THE STATE OF adviser will have net worth at all times. If the investment NEW YORK custody of client funds or securities, a $35,000 net capital must be maintained. This shall be in the form of cash, securities or other liquid assets. If the investment adviser is TO an individual, the capital used to meet the net capital requirement must be segregated from the individual’s personal assets and used solely for the business for which the adviser is licensed. GREETINGS: FIRM’S NAME: _____________________________________________________________________________ WE COMMAND YOU, that all business and excuses being laid aside, you and each of you attend before _________________________________________________________________________ , at the 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 FIRM’S ADDRESS: the Honorable I, the undersigned, do hereby certify that the above mentioned firm has and will continue to maintain at all times, the net capital sufficient to meet the requirement in s. DFI-Sec 5.02, Wis. Adm. Code. 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 penaltybelief and knowledge. of $50 and all damages sustained as a I further certify that the accompanying financial statements are true to the best of my result of your failure to comply. Witness, Honorable , one of the Justices of the ___________________________________________________________________________________________ Court in County, day of , 20 Typed Name and Title of an Officer of the Company (Attorney must sign above and type name below) _________________________________________________________ _______________________________ Signature Date Attorney(s) for This document can be made available in alternate formats upon request to qualifying individuals with disabilities. Office and P.O. Address Telephone No.: Facsimile No.: E-Mail Address: Mobile Tel. No.: DFI/DOS/IAFC(WI)(R09/00) American LegalNet, Inc. www.USCourtForms.com