§551.32(1)(b), Wis. Stats. and 5.01(2), Wis. Adm. Code COURT COUNTY .OF. . . . . . . . . . . . . . . . . . . . STATE .OF WISCONSIN . . . . ......... .. ..... ............ DEPARTMENT OF FINANCIAL INSTITUTIONS : Index No. DIVISION OF SECURITIES : Plaintiff(s) -against- : : th 345 West Washington Ave., 4 Fl. Calendar No. PO Box 1768 Madison, WI 53701-1768 JUDICIAL SUBPOENA (608) 266-3693 TTY: (608) 266-8818 Internet: www.wdfi.org : WISCONSIN INVESTMENT ADVISORY ACTIVITY OF APPLICANT Pursuant to §551.31(3), Wis. Stats., it is unlawful for any person to transact business in Wisconsin as an investment : adviser unless so licensed or licensed as a broker-dealer whose activities in Wisconsin include investment advisory services under §551, Wis. Stats., except that licensing is not required under : the following circumstances: any Defendant(s) ...................................................... 1. The person effects transactions or provides investment advice in this state exclusively for the account of persons specified in s. 551.23(8), Wis. Stats. 2. The person has no place of business in Wisconsin and in the last twelve months has had fewer than 6 THE PEOPLE OF Wisconsin. clients in THE STATE OF NEW YORK 3. The person is now, or was at the time of the transactions in question, a federal covered adviser and not subject to state licensing requirements. TO The fact that a person may have transacted business as an investment adviser in Wisconsin in violation of §551.31(3), Wis. Stats., does not mean that a person’s Wisconsin license application will automatically be denied. GREETINGS: As part of the Wisconsin Investment Adviser License Application, the applicant must respond as to whether or not the applicantWE COMMAND YOU, that all business andin Wisconsin without beingyou and each of you To has engaged in investment advisory business excuses being laid aside, properly licensed. attend before facilitate your response, please complete the questionnaire below and return the completed form to this Division. , the Honorable at the Court located at County of in room , on the day of , 20 , at o'clock in the noon, and at any recessed ❒ NO, this applicant and give evidence as and has never transacted investment advisory or adjourned date, to testify is not now transacting a witness in this action on the part of the business in Wisconsin. ❒ YES, this applicant has transacted investment advisory business in Wisconsin prior to this application. (Do failure to services performed during any punishable the contempt of registered will make Yournot include comply with this subpoena is period when as aapplicant was court and as a federalyou liable to covered adviser and not subject to was issued for the party on whose behalf this subpoena state regulation.) a maximum penalty of $50 and all damages sustained as a result of your failure to comply. If yes, list all transactions effected in Wisconsin: Witness, Honorable Name & Address Date of of Customer Transaction Court in County, Description of Transaction day of Date of Client , Agreement 20 , one Name of of the Justices of the Total Advisory IA Rep Fees Charged ____________________________________________________________________________________________ (Attorney must sign above and type name below) ____________________________________________________________________________________________ ____________________________________________________________________________________________ (Attach additional pages if space provided is insufficient.) Attorney(s) for ____________________________________________________________________________________________ Name of Applicant _________________________________________________________ Office and P.O. Address ______________________________ Firm’s Authorized Signatory Date ____________________________________________________________________________________________ Telephone No.: Typed Name and Title of Signatory Facsimile No.: E-Mail request This document can be made available in alternate formats uponAddress:to qualifying individuals with disabilities. Mobile Tel. No.: DFI/DOS/IAAA(WI)(R09/00) American LegalNet, Inc. www.USCourtForms.com