INVESTOR RIGHTS FOR THE 21st CENTURY

Maddox / Stoltmann Question #18 - Securities Disputes - Expertise and Experience This question is designed to give the PCX information about your prior experience and familiarity with issues that frequently arise in arbitration proceedings. Please indicate any areas with which you have expertise and/or experience.

Question #19 - Securities Products - Expertise and Experience Please indicate whether you have specific knowledge or familiarity with any particular product fisted. If the product is not listed in Question 19, please write it in under "Other," Question #20 - Regulatory History Please read each question carefully before answering. A "yes" answer must be fully explained, and must include the relevant dates and circumstances. Please note that an affirmative answer will not necessarily be a bar to your selection, but may be a factor in assessing your qualifications to serve as an arbitrator.

CRD History A Central Registration Depository (CRD) check will be performed on all applicant arbitrators.

Any arbitrator who has a prior or current affiliation with the securities industry will be identified by the CRD system, and any prior or pending disciplinary matters that are required to be disclosed on forms U-4 and/or U-5 are also disclosed on the CRD system.

Please note that failure to disclose material information in the arbitrator profile is grounds for denying an application to become an arbitrator.