Business Continuity Plan (BCP)

Business Continuity Plan (BCP) 1

I. Emergency Contact Persons Our firm s two Emergency Contact Persons designated under Rule 3520 are Steve Chmielewski and Will Geyer. Their contact information is: Steve Chmielewski Office Phone 781.416.2896 Office Fax 781.416.2899 steve@jonestrading.com Mobile Phone 617.592.3615 Home Phone 781.433.0082 Will Geyer Office Phone 818.575.1059 Office Fax 818.575.1026 willg@jonestrading.com Mobile Phone 917.319.5114 Home Phone 805.545.5654 These names will be updated in the event of a material change, and our Executive Representative will review them annually or within 17 business days of the end of each quarter if there is a material change. II. Firm Policy Our firm s policy is to respond to a Significant Business Disruption (SBD) by safeguarding employees lives and firm property, making a financial and operational assessment, quickly recovering and resuming operations, protecting all of the firm s books and records, and allowing our customers to transact business. In the event that we determine we are unable to continue our business, our customers will be directed to Pershing LLC (Pershing), JonesTrading s clearing firm for instructions on access to the customers funds and securities. A. Significant Business Disruptions (SBDs) Our plan anticipates two kinds of SBDs, internal and external. Internal SBDs affect only our firm s ability to communicate and do business, such as a fire in our building. External SBDs prevent the operation of the securities markets or a number of firms, such as a terrorist attack, a city flood, or a wide-scale, regional disruption. Our response to an external SBD relies more heavily on other organizations and systems, especially on the capabilities of our clearing firm. Our policy is to provide uninterrupted service to our customers and uninterrupted access to customer s funds or securities. JonesTrading does not maintain custody of customer s funds or securities. JTIS and JTIL clear all transactions through Pershing LLC ( Pershing ). JTC clears all transactions through Penson Financial Services Canada Inc. ( Penson ) The Contacts for Pershing are listed in Appendix 4, and the contacts for Penson are listed in Appendix 5. B. Approval and Execution Authority 2

Lawrence Harasym, Chief Compliance Officer, a registered principal, is responsible for approving the plan and for conducting the required annual review. Steve Chmielewski, Chief Operating Officer has the authority to execute this BCP. C. Plan Location and Access Our firm will maintain copies of its BCP plan and the annual reviews, and the changes that have been made to it for inspection. An electronic copy of our plan is located on: \\newbudjones\bigdrive\dept shared\business_continuity_plan III. Business Description By way of background, the JonesTrading Group of companies consists of JonesTrading Institutional Services LLC ( JTIS ), JonesTrading International Limited ( JTIL ), and JonesTrading Canada Inc. ( JTC ) (herein the JonesTrading Group or the Group ). The JonesTrading Group specializes in agency executions and crossing blocks of equities, debt, and options for our customer base, which is primarily comprised of institutional money managers and corporate accounts. JonesTrading Institutional Services LLC has an Investment Banking/Capital Markets Department that engages in underwritings, private placements and corporate advisory activities. The JonesTrading Group of companies are introducing firms and do not perform any type of clearing function for itself or others. The JonesTrading Group does not hold customer funds or securities, our focus is the execution of orders. All transactions are compared and allocated by JonesTrading operations. Our clearing firms Pershing and Penson clear and settle the trades. Pershing and Penson maintain our customers accounts, can grant customers access to them, and delivers funds and securities. Contact information for Pershing personnel is located in Appendix 4 to this BCP. Pershing has posted its Business Contingency Plan at www.pershing.com. The contact information for Penson personnel is located in Appendix 5 and has posted its Business Continuity Plan at www.penson.com. IV. Office Locations The Group currently has 12 offices locations: Main Office: Westlake Village, CA Our Main Office is located at 32133 Lindero Canyon Road, Suite 208, Westlake Village, CA 91361-4226. Its main telephone number is 800.423.5933 or 818.991.5500. Books and records for JTIS, JTC, and JTIL are maintained at this office. Our employees may travel to that office by means of foot, car or bicycle. We engage in order taking and entry, trade reporting, settlement and operations, Information Technology, Accounting and Finance, and Human Resources at this location. Mill Valley Branch Office Our Mill Valley Branch Office is located at 655 Redwood Highway, Suite 101, Mill Valley, CA 94941. Its main telephone number is 800.784.6270 or 415.388.1082. Our employees may travel to that office by means of foot, car or bicycle. We engage in order taking and entry at this location. 3

Portsmouth Branch Office Our Portsmouth Branch Office is located at 28 Deer Street, Suite 401, Portsmouth, NH 03801. Its main telephone number is 800.345.6080 or 603.334.6690. Our employees may travel to that office by means of foot, car or bicycle. We engage in order taking and entry at this location. Heathrow (Orlando) Branch Office Our Heathrow Branch Office is located at 250 International Parkway, Suite 208, Heathrow, FL 32746. Its main telephone number is 800.407.5890 or 407.333.7958. Our employees may travel to that office by means of foot, car or bicycle. We engage in order taking and entry at this location. New York Branch Office Our New York Branch Office is located at 780 Third Avenue, 3 rd Floor New York, NY 10017. Its main phone number is 800.409.9001 or 212.267.0777. The office is the primary location for JTIS s Capital Markets, Convertible Trading and Debt Trading. Our employees may travel to that office by means of foot, car, bicycle, train, boat, or bus. We engage in order taking and entry at this location, administrative functions, and our Investment Banking/Capital Markets business is located here. Dallas Branch Office Our Dallas Branch Office is located at 300 Crescent Court, Suite 150, Dallas, TX 75201. Its main telephone number is 800.810.5290 or 214.969.9450. Our employees may travel to that office by means of foot, car or bicycle. We engage in order taking and entry at this location. Boston Branch Office Our Boston Branch Office is located at 265 Franklin St. 18 th Floor, Boston, MA 02110. Its main telephone number is 888.797.2859 or 617.261.1828. Our employees may travel to that office by means of foot, train, car or bicycle. We engage in order taking and entry at this location as well as administrative functions. Atlanta Branch Office Our Atlanta Branch Office is located at 3290 Northside Parkway, Suite 325, Atlanta, GA 30327. Its main telephone number is 866.441.2916 or 404.467.4725. Our employees may travel to that office by means of foot, car or bicycle. We engage in order taking and entry at this location. Aspen Branch Office Our Aspen Branch Office Location is located at 602 E Cooper Avenue, Suite 201, Aspen, CO 81611. Its main telephone number is 800.747.9551 or 970.925.1977. Our employees may travel to that office by means of foot, car or bicycle. We engage in order taking and entry at this location. Greenwich Branch Office Our Greenwich Branch Office Location is located at One Fawcett Place, Suite 290, Greenwich, CT 06830. Its main telephone number is 800.334.8989 or 203.629.3377. Our employees may travel to that office by means of foot, car, train, or bicycle. We engage in order taking and entry at this location. 4

Chicago Branch Office Our Chicago Branch Office Location is located at 223 West Erie St., Suite 4SW, Chicago, IL 60610. Its main telephone number is 800.835.6637 or 312.335.4012. This office is the primary location of the JTIS Derivatives Department. Our employees may travel to that office by means of foot, train, car, or bicycle. We engage in order taking and entry at this location. Charleston Branch Office Our Charleston Branch Office Location is located at 360, Concord Street, Suite 202, Charleston, South Carolina 29403. Its main telephone number is 888.566.3757 or 843.720.5991. Our employees may travel to that office by means of foot, car, or bicycle. We engage in order taking and entry at this location London Office Our wholly owned subsidiary JonesTrading International Limited has its registered office at 1 Liverpool Street, London, England EC2M 7QD. Its main telephone number is (001) 877.566.3785. For purposes of this BCP JonesTrading International will be treated as a branch office for the Group. The operations for the JonesTrading International are conducted at 38 Belchamps Way, Hawkwell, Essex United Kingdom SS5 4NU. Toronto Office This is the Main office for JonesTrading Canada Inc. (JonesTrading Canada or JTC) and its registered office at 148 Yorkville Avenue York Square 2 nd Floor, Suite 5, Toronto, ON M5R 1C2. Its main telephone number is 416.961.4674 or 877.566.3710. Our employees may travel to that office by means of foot, train, car, or bicycle. We engage in order taking and entry at this location. V. Alternative Physical Location(s) of Employees In the event of an SBD in which we do not have either access or working access to one of our offices, we will evaluate the anticipated amount of down time for that office. If necessary we can move our Trading personnel from affected office(s) to the closest of our unaffected office locations. Key operational staff members are equipped with laptop computers so that they can connect to the company network from their homes or any place with an Internet connection including another JonesTrading office. VI. Customers Access to Funds and Securities The Group of companies does not maintain custody of customers funds or securities, which are maintained at our clearing firms Pershing and Penson. In the event of an internal or external SBD, if telephone service is available we will conduct business as usual, executing customer orders or and taking instructions for Pershing on their behalf. If our Web access is available, we will post on our Web site that customers may access their funds and securities by contacting Pershing at 201.413.3635 and Penson at 888.841.9665. JonesTrading will make this information available to customers through our disclosure policy. 5

If SIPC determines that JTIS is unable to meet its obligations to its customers or its liabilities exceed its assets in violation of Securities Exchange Act Rule 15c3-1, SIPC may seek to appoint a trustee to disburse our assets to customers. JTIS will assist SIPC and the trustee by providing its books and records identifying customer accounts subject to SIPC regulation. VII. Data Back-Up and Recovery (Hard Copy and Electronic) JTIS, JTIL, and JTC maintain its primary hard copy books and records and its electronic records at the Main Office: 32133 Lindero Canyon Road, Suite 208, Westlake Village, CA 91361. CCO Lawrence Harasym is responsible for the maintenance of the following records relating to orders, transactions, account documentation, customer positions, customer correspondence, employee registrations, i.e. 17a-3(1), (3), (4), (5), (6), (7), (8), (9), (10), (12), (13), (14), (15), (16); 17a-4(4), (6), (7), and (11). JTIS, JTIL, and JTC maintain the following books and records that are not transmitted to their clearing firm: 1. Order and transaction records 2. New Accounts Database and documentation 3. Email and IM 4. Bank Wire instructions CCO Lawrence Harasym has instituted with CIO Adam Graves the following procedures for backing up electronic data. At the end of each month CDs of the above listed books and records are sent to the offices of Simpson & Associates CPA located at 1155 North Central Avenue, Suite 211, Glendale, CA 91202 and the JonesTrading Boston office. An additional copy of e-mail and IM messages are stored with Global Relay Communications, Inc. A firm approved by the FINRA, SEC and the NYSE, for electronic retention services, and Business Continuity. (SEC rule 17a-4; NASD rules 3110, 3010, and 3510; NYSE rules 440, 342, and 472. JonesTrading has established a co-location facility SBC at 2681 Kelvin, Irvine, California. Access to the facility is for authorized JonesTrading personnel only: Adam Graves (CIO) David Feng (Technology Manager) Jeff Veis (IT Technician) Justin Need (IT Technician) Anthony Thompson (IT Technician) The address is: 2681 Kelvin St. Irvine, CA 92614 JonesTrading will keep its primary servers at the Irvine facilities with backup servers at the Westlake Village office and each night the following servers are incrementally backed up. Then once a week the full tape back up is made for the Library unit. Once a month a full tape back up is taken off premises by an Iron Mountain storage secure service. 6

The servers are located as follows: Primary Server Backup Server Contains APP-SQL-1-P Irvine APP-SQL-1-B WLV JonesTrading Database, Broker FIX Database, ACT Database, Cold Call Database APP-SQL-2-P Irvine APP-SQL-2-B WLV New Accounts Database, FaceTime, Trader Portal, Trackplus APP-SQL-3-P APP-SQL-3-B FIX Drop copy for the NOW system Irvine NEWBUDJONES Irvine WL- FILESERVER1 Irvine WLV EMAILP Irvine JOURNALING Irvine WEB-IIS-1-P Irvine IM-MONITOR Irvine BOSQL Irvine PRODBOSQL Irvine FINANCE WLV DocumentServer Irvine WLV BUNEWBUDJONES WLV Irvine EMAILB WLV WEB-IIS-1-B WLV BUFINANCE Irvine BUDocumentServer WLV File server, Time Server File Server Email Servers Email Journaling Internal web server FaceTime Server Servicedesk MS Queue, backup server to Facetime MAS90 Accounting system New Account scanned documentation, P&S scanned documentation JTIS, JTIL and JTC store hard copy account documentation and bank wire instructions received from Customers at the Westlake Village office. These documents are scanned and stored on DocumentServer via the LaserFiche application in an electronic format. For the loss of electronic records, we will either physically recover the storage media or electronically recover data from our back-up records, or, if our primary site is inoperable, operations will continue from the nearest unaffected alternate branch office location. CFO Alan Hill is responsible for the maintenance of the company s financial records, i.e. 17a-3(2), (11); 17a-4(2), (3), (5), (8), and (10). 7

JTIS maintains the following books and records that are not transmitted to our clearing firm: 1. General Ledger 2. Trial Balance 3. Soft dollar paperwork 3. Bank Statements 5. Clearing Firm statements 6. Bills payable 7. Billing contracts CFO Alan Hill has instituted with CIO Adam Graves the following procedures for backing up electronic data. The Server below is backed up to a server in the Irvine facility and each night the following servers are incrementally backed up. Then once a week a full tape back up is made for the Library unit. Once a month a full tape back up is taken off premises by an Iron Mountain storage secure service. Primary Server Backup Server Contains FINANCE WLV BUFINANCE Irvine MAS90 files (general ledger, trial balance, vendor lists), Trader blotter files, soft dollar paperwork Hard copy account documents include: bank statements, clearing firm statements, bills payable and billing contracts. In the event of an internal or external SBD that causes the loss of our paper records, we will be able to request duplicate documentation from the vendor or counter party through internet access. If our Main Office is inoperable, we will continue operations from an alternate branch office location. For the loss of electronic records, we will either physically recover the storage media or electronically recover data from our back-up records, or, if our primary site is inoperable, operations will continue from the nearest unaffected alternate branch office location. JTIL has a contract for off site storage with Secure Data Management Ltd. The premises are known as Data Centre F1, Kemble Business Park, Kemble Gloucestershire GL7 6BA. JTIL keeps the following at this location: Office Bills, Stationary, Disaster Recovery Disks, Compliance Monitoring Programme, and old Client Files. VIII. Financial and Operational Assessments A. Operational Risk In the event of an SBD, we will immediately identify what means will permit us to communicate with our customers, employees, critical business constituents, critical banks, critical counter-parties, and regulators. Although the effects of an SBD will determine the means of alternative communication, the communications options we will employ will include our public website located at www.jonestrading.com, an alternate website at www.jonestradingbcp.com, telephone, and secure email. In addition, we will retrieve our key activity records as described in the section above, Data Back-Up and Recovery (Hard Copy and Electronic). 8

B. Financial and Credit Risk In the event of an SBD, Management will determine the value and liquidity of our investments and other assets to evaluate our ability to continue to fund our operations and remain in capital compliance. We will contact our clearing firms, critical banks, and investors to apprise them of our financial status. If we determine that we may be unable to meet our obligations to those counter-parties or otherwise continue to fund our operations, we will request additional financing from our bank or other credit sources to fulfill our obligations to our customers and clients. If we cannot remedy a capital deficiency, we will file appropriate notices with our regulators and immediately take appropriate steps, including informing customers that we will no longer accept orders and referring customers to Pershing for information regarding access to funds as well as order and trade processing. IX. Mission Critical Systems Our firm s mission critical systems are those that ensure prompt and accurate processing of securities transactions, including order taking, entry, execution, comparison, allocation, clearance and settlement of securities transactions, the maintenance of customer accounts, access to customer accounts, and the delivery of funds and securities. We have the primary responsibility for establishing and maintaining our business relationships with our customers and have sole responsibility for our mission critical functions of order taking, entry, and execution. Our clearing firms provide, through contract, clearance and settlement of securities transactions, the maintenance of customer accounts, access to customer accounts, and the delivery of funds and securities. Our clearing firms maintain a business continuity plan and the capacity to execute that plan. Our clearing firms represent that they will advise us of any material changes to its plan that might affect our ability to maintain our business and have presented us with an executive summary of its plan, which is attached to this BCP as an Appendix. In the event our clearing firms execute their plan, they represent that they will notify us of such execution and provide us equal access to services as its other customers. If we reasonably determine that our clearing firms have not or cannot put its plan in place quickly enough to meet our needs, or is otherwise unable to provide access to such services, our clearing firms represent that they will assist us in seeking services from an alternative source. Our clearing firms represent that they back up our records at an out of region site. Our clearing firms represents that they operates a back-up operating facility in a geographically separate area with the capability to conduct the same volume of business as its primary site. Our clearing firms have also confirmed the effectiveness of its back-up arrangements to recover from a wide scale disruption by testing and have confirmed that theytest back-up arrangements annually. Recovery-time objectives provide concrete goals to plan for and test against. They are not, however, hard and fast deadlines that must be met in every emergency situation, and various external factors surrounding a disruption, such as time of day, scope of disruption, and status of critical infrastructure particularly telecommunications can affect actual recovery times. Recovery refers to the restoration of clearing and settlement activities after a wide-scale disruption; resumption refers to the capacity to accept and process new transactions and payments after a wide-scale disruption. Our clearing firms have the following SBD recovery time and resumption objectives: recovery time period of 24 hours and resumption time defined as soon as possible depending on the scope and magnitude of the SBD. 9

Our Firm s Mission Critical Systems Trading Department System Usage Contingency Fidessa Order Management and execution Each Branch has redundant direct connections to Fidessa s primary and redundant site. For FIX orders, customers will be instructed to send in order telephonically or through email. Orders can be entered directly into DMA or Algorithmic services Bloomberg MIXIT Quotation and news vendor Order Management and executions Each office has redundant direct connections Each office has Bloomberg connections. Connectivity is also available via the internet. Each Branch has redundant direct connections to MIXIT s primary and redundant site. For FIX orders, customers will be instructed to send in order telephonically or through email. Orders can be entered directly into applicable exchanges ACT Weblink ACT reporting If the SBD is only affecting the Westlake Office the functions will be performed in the Portsmouth Office. The Fidessa OMS has some NW II functions built in. If the SBD has taken down all connectivity to ACT Weblink, paper records will be made and input when ACT Weblink is functional. JTIS has an agreement with CSFB whereby JTIS can all in orders to their desk (212.325.0800).CSFB will print the trades in compliance with Reg NMS. TRACE Weblink TRACE Reporting If the SBD is only affecting the New York Office the functions will be performed in the Wesltake Office. The Operations Manager and CCO have access to report to TRACE. Internet access Internet access Instant Messenger Each office has redundant lines Customers can be contacted through voice services or email Email Communication Each office is connected to the primary and back up server Customers can be contacted by voice services or Instant Messenger Customer FIX connections Electronic orders Customers can communicate orders through voice services, email, or Instant Messenger Voice Services General communication Each office has redundant services Inbound calls can be forwarded to another office Electricity Computer usage Each office has battery UPS back ups The Main Office has a back up generator 10

Currently, JTIS, JTC, and JTIL receive orders from customers via FIX, telephone, e-mail and Instant Message. During an SBD, either internal or external, we will continue to take orders through any of these methods that are available and reliable, and in addition, as communications permit, we will inform our customers when communications become available to tell them what alternatives they have to send their orders to us. Customers will be informed of alternatives by calling our Customer Business Continuity Information line or visiting our public website at www.jonestrading.com. As soon as an office becomes unavailable the following steps will be taken: Phone traffic will be routed to another office. The Agency Desk in the Main office will handle automated order flow. The affected Office Manager and Executive Staff will determine whether to relocate staff to other offices. If the Main office becomes unavailable the following steps will be taken: Phone traffic will be routed to another office. The Portsmouth Office will be responsible for ACT reporting A branch office will be designated to handle automated order flow. All Traders have access to execution services in Fidessa. DOT execution limits will be increased to limits used by the Agency Desk. The Executive Staff will determine whether to relocate staff to other offices. Operations Department System Usage Contingency Fidessa Trade processing The Main Office has redundant direct connections to Fidessa s primary and redundant site. Trades can be processed through Net Exchange Pro Net Exchange Pro Pershing Trade processing system The Main Office has redundant direct connections to Pershing Net Exchange Pro can be accessed via internet Oasys Trade allocation Trades can be processed manually Global Oasys Trade allocations Trades can be processed manually Arrowlite Trade status update Penson will provide updates Penson IBM Trade status update Penson will provide updates Mixit Allocator Trade allocations Trades can be processed manually MS Office All computers have MS office installed Voice Services General communication The Main Office has redundant services Inbound calls can be forwarded to another office or site that Operations Staff is relocated to. Key personnel can be contacted by cell phone. Email Each office is connected to the primary and back up server Communication can be conducted through voice services or Instant Messenger Key personnel can be contacted by cell phone Electricity Computer usage Each office has battery UPS back ups The Main Office has a backup generator. In the event of an SBD that results in the Main Office not being available, the following steps will be taken: 11

Phone traffic will be routed to another office. The Pershing and Penson operations staff will be notified. The Executive Staff will determine whether to relocate staff to other offices. Even if the Operations Staff is unable to complete their regular work on a given day, an automated process is in place whereby transaction records are sent from Royal Blue to Pershing. The Operations staff will need to process breaks on the day following the unavailability of the Main Office or customers will be directed to speak to Pershing s and Penson s Operations directly. If Royal Blue is affected by an SBD, they will initiate their BCP plan. If all communications are lost with the OMS system, all executions will be retrieved from the executing venues by recovery of the electronic file that will be imported into the JonesTrading database. These real time execution files are received daily. Finance Department System Usage Contingency MAS90 All back up computers for finance personnel are installed with MAS 90 MS Office All backup computers for finance personnel are installed with MS Office Voice Services The Main Office has redundant services Inbound calls can be forwarded to another office or site that Finance Staff is relocated to Key personnel can be contacted by cell phone Email Each office is connected to the primary and back up server Communication can be conducted through voice services or Instant Messenger Key personnel can be contacted by cell phone Electricity Computer usage Each office has battery UPS back ups The Main Office has a backup generator. In the event of an SBD that results in the Main Office not being available, the following steps will be taken: Phone traffic will be routed to another office or location where the Finance staff is located. The Executive Staff will decide determine whether to relocate staff to other offices. IT System Usage Contingency Voice Services The Main Office has redundant services Inbound calls can be forwarded to another office or site that IT Staff is relocated to. Key personnel can be contacted by cell phone. Electricity Computer usage Each office has battery UPS back ups The Main Office has a backup generator Email Each office is connected to the primary and back up server Communication can be conducted through voice services or Instant Messenger Key personnel can be contacted by cell phone 12

In the event of an SBD that results in the Main Office not being available, the following steps will be taken: Phone traffic will be routed to another office or location where the Finance staff is located. The Executive Staff will decide determine whether to relocate staff to other offices. Automated processes will ensure critical system availability. Royal Blue Help Desk will support Jones users Pershing and Penson Help desks will support clearing and operations systems. Administration System Usage Contingency Voice systems General communication The Main Office has redundant services Inbound calls can be forwarded to another office or site that Administration Staff is relocated to. Key personnel can be contacted by cell phone. Electricity Computer usage Each office has battery UPS back ups The Main Office has a backup generator Email General communication Each office is connected to the primary and back up server Communication can be conducted through voice services or Instant Messenger Key personnel can be contacted by cell phone In the event of an SBD that results in the Main Office not being available, the following steps will be taken: Phone traffic will be routed to another office. The Executive Staff will decide determine whether to relocate staff to other offices. A. Mission Critical Systems Provided by Our Clearing Firms Our firm relies, by contract, on our clearing firms to provide the maintenance of customer accounts, delivery of funds and securities, and access to customer accounts. X. Alternate Communications between JonesTrading and Customers, Employees, and Regulators A. Customers We now communicate with our customers using the telephone, e-mail, instant message, our public website, fax, U.S. mail, and in person visits at our firm or at the other branch locations. In the event of an SBD, we will assess which means of communication are still available to us, and use the means closest in speed and form (written or oral) to the means that we have used in the past to communicate with the other party. For example, if we have communicated with a party by e-mail but the Internet is unavailable, we will call them on the telephone and follow up where a record is needed with paper copy in the U.S. mail. Customer Business Continuity Information Line: 800.700.6160 Password: See Appendix 1 13

You ve reached the JonesTrading Customer Business Continuity Information Line. All offices and operations are functioning according to normal business practices. Please do not leave any account or trading instructions on this line. In the event that an office is closed because of a SBD, the office s main telephone numbers will be forwarded to another office. The 8XX numbers automatically follow the local number. See Appendix 2 for Call Forwarding procedures. B. Employees We now communicate with our employees using the telephone, e-mail, and in person. In the event of an SBD, we will assess which means of communication are still available to us, and use the means closest in speed and form (written or oral) to the means that we have used in the past to communicate with the other party. We have also distributed a business card to all employees containing a toll free number for all employees to call in the event of a SBD that will contain a message with updated instructions from senior management. Employee Business Continuity Information Line: 800.893.3317 Password: See Appendix 1 The following message will be left under normal business conditions. You ve reached the JonesTrading Employee Business Continuity Information Line. All offices and operations are functioning according to normal business practices. Employees are able to coordinate during an SBD by using the Employee Business Continuity Conference Call: 800.861.4084 or 972.512.0704 (international) Access Code: 9958716 PIN: 1980 All Managing Directors and Executive Board members contact information is located in Appendix 3. C. Regulators JonesTrading Institutional Services LLC is registered with the SEC and the Ontario Securities Commission and is currently a member of FINRA, the NASDAQ Stock Market. We communicate with our regulators using the telephone, e-mail, fax, U.S. mail, and in person. In the event of an SBD, we will assess which means of communication are still available to us, and use the means closest in speed and form (written or oral) to the means that we have used in the past to communicate with the other party. JonesTrading Canada Inc. is a member of the Investment Industry Regulatory Organization of Canada ( IIROC ). We communicate with our regulators using the telephone, e-mail, fax, U.S. mail, and in person. In the event of an SBD, we will assess which means of communication are still available to us, and use the means closest in speed and form (written or oral) to the means that we have used in the past to communicate with the other party. 14

JonesTrading International Limited is currently a member of the Financial Services Authority ( FSA ). We communicate with our regulators using the telephone, e-mail, fax, U.S. mail, and in person. In the event of an SBD, we will assess which means of communication are still available to us, and use the means closest in speed and form (written or oral) to the means that we have used in the past to communicate with the other party. XI. Critical Business Constituents, Banks, and Counter-Parties A. Business constituents We have contacted our critical business constituents (businesses with which we have an ongoing commercial relationship in support of our operating activities, such as vendors providing us critical services), and determined the extent to which we can continue our business relationship with them in light of the internal or external SBD. We will quickly establish alternative arrangements if a business constituent can no longer provide the needed goods or services when we need them because of a SBD to them or our firm. Our major suppliers are: Pershing LLC One Pershing Plaza Jersey City, New Jersey 07399 Penson Financial Services Canada 330 Bay Street, Suite 711 Toronto, Ontario M5H 2S8 Nasdaq Stock Market 80 Merritt Blvd. Trumbell, CT 06611 800.219.4861 Fidessa 17 State Street New York, NY 10004 212.269.9000 or 212.520.4407 Mixit, Inc. 917.254.4042 RealTick 800.997.9630 CS First Boston 212.325.0800 15

Instinet 30 Hudson Street, 9 th Floor Jersey City, NJ 07302 212.357.6230 INET Technologies Inc. 3 Times Square New York, NY 10006 212.310.9550 Archipelago (ARCA) 100 South Wacker Suite 2000 Chicago, IL 60606 888.513.9873 Thompson Financial (ILX) 11661 San Vicente Blvd., Suite 710 Los Angeles, CA 90049 310.207.7900 Bloomberg 731 Lexington Avenue New York, NY 10022 212.318.2000 Omgeo (Oasys/Alert) 55 Thomson Place Boston, MA 02210 877.664.3625 TelePacific 515 South Flower Street, 47 th Floor Los Angeles, CA 90071-2201 877.487.8722 G2 (long distance telecommunications) 1475 Powell Street, Suite 202 Emeryville, CA 94608 800.240.1800 Southern California Edison P.O. Box 900 Rosemead, CA 91771 800.655.4555 16

AT&T P.O. Box 203370 Austin, TX 78720 800.463.8724 Savvis Communications (data lines) One Savvis Parkway Town and Country, MO 63017 888.638.6771 Bell South 1155 Peach Tree Street Atlanta, GA 30309 800.247.2020 IPC Network Services LTD. 1 State Street Plaza, 12 th Floor New York, NY 10004 888.286.2343 B. Banks We have contacted our banks and lenders to determine if they can continue to provide the financing that we will need in light of the internal or external SBD. If our bank is unable to provide financing we will seek alternative financing from Pershing as well as our shareholders. The banks maintaining our operating accounts are: Wells Fargo 3965 E Thousand Oaks Blvd Westlake Village, CA 91361 805.497.7832 Primary contact: Nancy Buckle (805.716.3246). Canadian Imperial Bank of Commerce Commerce Court Toronto, Ontario M5L 1G9 1.800.465.2255 Lloyd s TSB Threadneedle Street Branch 39 Threadneedle Street London, EC2R 8AU +207.797.2269 17

The clearing firm maintaining our Proprietary Account of Introducing Brokers/Dealer (PAIB accounts) is: Pershing LLC One Pershing Plaza Jersey City, New Jersey 07299 Penson Financial Services Canada 330 Bay Street, Suite 711 Toronto, Ontario M5H 2S8 888.841.9665 C. Counter-Parties We have contacted our critical counter-parties, such as other ECN s, broker-dealers and institutional customers, to determine if we will be able to carry out our transactions with them in light of the internal or external SBD. Where the transactions cannot be completed, we will work with our clearing firm or contact those counter-parties directly to make alternative arrangements to complete those transactions as soon as possible. XII. Regulatory Reporting JTIS is subject to regulation by: FINRA, SEC, OSC, and various state jurisdictions. JTIS now files FOCUS reports with its regulator using electronic submission and a Certified Annual Audit using paper copies in the US mail. In the event of an SBD, JTIS will check with the SEC, FINRA, and other regulators to determine which means of filing are still available to us, and use the means closest in speed and form (written or electronic) to our previous filing method. In the event that we cannot contact our regulators, we will continue to file required reports using the communication means available to us. FINRA 300 South Grand Avenue, Suite 1600 Los Angeles, CA 90071-3126 FINRA 9509 Key West Avenue Rockville, MD 20879 United States Securities and Exchange Commission 5670 Wilshire Boulevard, 11 th Floor Los Angeles, CA 90036-3648 United States Securities and Exchange Commission 450 5 th Street, NW Mail Stop 5-I Washington, DC 20549 18

The Ontario Securities Commission 20 Queen Street West, Suite 1903 Toronto, ON M5H 3S8 877.785.1555 JonesTrading International Limited is authorized and regulated by the Financial Services Authority. Financial Services Authority The Financial Services Authority 25 The North Colonnade Canary Wharf London England E14 5HS 044 207 066 1000 JonesTrading Canada Inc. is regulated by the Investment Industry Regulatory Organization of Canada IIROC Suite 1600, 121 King Street West Toronto, Ontario, M5H 3T9 Tel: (416) 364-6133 Fax: (416) 364-0753 XIII. Disclosure of Business Continuity Plan JonesTrading discloses in writing a summary of its BCP to customers at account opening. JonesTrading also posts the summary on www.jonestrading.com and mails it to customers upon request. The BCP summary states that instead of attempting to plan for every possible situation that could occur, JonesTrading has established baseline requirements and strategies to keep our business operating during a variety of emergencies. The BCP summary discloses the existence of back-up facilities and arrangements. XIV. Updates and Annual Review JonesTrading will update this plan whenever we have a material change to our operations, structure, business or location or to those of our clearing firm. In addition, our firm will review this BCP annually, on January 1 to modify it for any changes in our operations, structure, business, or location or those of our clearing firms. 19

XV. Senior Manager Approval I have approved this Business Continuity Plan as reasonably designed to enable our firm to meet its obligations to customers in the event of an SBD. Signed: Title: Chief Operating Officer Date: September 16, 2009 20

APPENDIX 1 Telephone PINs Customer Business Continuity Information Line: 800.700.6160 Enter: * then Password: 56637227 (JONESBCP) Employee Business Continuity Information Line: 800.893.3317 Enter: * then Password: 56637227 (JONESBCP) Conference Call.com (readycall.com) 800.861.4084 or 972.512.0704 (international) Note: *0 - gets operator Business Interruption (all personnel) Access Code: 9958716# PIN: 1980# Branch Managers II (all trading personnel) Access Code: 3648187# PIN: 6552# 21

APPENDIX 2 Office Telephone Forwarding Procedures Westlake Village Activating Remote Access to Call Forwarding Variable from outside the office: 1. Dial the Special Access Number: 818.735.0099. 2. Dial the 818.865.3733 (main trading number) followed by #, i.e.: 818.865.3733#. 3. If this is correct, dial the Personal Identification Number 1234 (see note 1). 4. Dial the Call Forwarding activation code: 72#. 5. Dial 1# to confirm that you want to activate the call forwarding activation feature. 6. Dial the number to which you want your calls forwarded to. If you must dial "1" plus an Area Code to reach this number from your office, then you will need to dial 1 plus the area code and number the calls are to be forwarded to, i.e.: XXX.XXXX or 1.XXX.XXX.XXXX. 7. The forward-to telephone number dialed will be repeated (to allow for correction if dialed incorrectly). 8. If this is correct, dial 1# confirming that the repeated number is the number to which you want your calls forwarded. 9. You will be advised that you have activated the call forwarding feature (see note 2) (see note 3). 10. Hang up, and Call Forwarding is now active. 11. From a line other than the one calls are forwarded to, dial 1.818.865.3733, the call should ring to the forwarded number. 12. Hang up, you have verified that Call Forwarding service is now forwarding calls correctly. Activating Remote Access to Call Forwarding Variable from inside the office: 1. Pick up the phone and access the main incoming line button, i.e.: the line with the Call Forwarding feature (818.865.5733). 2. Dial the Call Forwarding Activation code 72# 3. You will hear a new dial tone. 4. Dial the number to which you want your calls forwarded to. If you must dial "1" plus an Area Code to reach this number from your office, then you will need to dial 1 plus the area code and the number the calls are to be forwarded to, i.e.: XXX.XXXX or 1.XXX.XXX.XXXX. 5. You will hear two (2) short tones followed by ringing. a. The call will be answered by the person at the forward-to number,, which indicates that Call Forwarding has been activated successfully (see note 2) (see note 3); or b. The call will continue to ring, in which case, you will need to: i. Hang up. ii. Pick up the phone and access the same main incoming line button, i.e.: the line with the Call Forwarding feature. iii. Dial the Call Forwarding activation code 72#. iv. You will hear two (2) short tones followed by a new dial tone, indicating that Call Forwarding has been activated. 6. Hang up, and Call Forwarding is now active (see note 2) (see note 3). 7. From a line other than the one calls are forwarded to, dial 1.818.865.3733 to ensure calls are being forwarded. 22

Activating Call Redirect for 818.991.5500 (this is the general office number) from inside or outside the office: 1. Contact TelePacific Customer Service at 877.487.8722 and advise the TelePacific representative that: a. You are calling regarding 818.575.1000 and 818.991.5500, JonesTrading/Jones & Associates (not all business offices have updated their records with the new name) b. You have a temporary situation and require TelePacific to either: i. Busy-out the four (4) PRI s so that all inbound calls follow the Redirect Plan on file with TelePacific (i.e.: in the event of a PRI failure) or ii. Redirect all your inbound calls from the above two (2) numbers to 818.865.3733 as soon as possible c. The representative will then provide you an Order Confirmation Number and timeframe when the Redirect will be activated 2. At the time the representative quoted, do the following to confirm that the calls are redirecting to 818.865.3733 correctly: a. From a line other than the one calls are forwarded to, dial (1.818) 991.5500, the call should ring in to, and be answered Jones b. Hang up, you have verified that the calls are being redirected correctly Activating Call Redirect for 800.423.5933 and 888.423.5933 and the other twenty-six (26) 8XX s from inside or outside the office: 1. Contact G2 Customer Service at 800.240.1800 and request to speak to Sally or Mannie, and advise the that: a. You are calling regarding 800.423.5933 and 888.423.5933, JonesTrading/Jones & Associates (not all business offices have updated their records with the new name) b. You have a temporary situation and require G2/Qwest to either: i. Busy-out the T1 so that all inbound 8XX calls follow the Redirect Plan on file with G2 (i.e.: in the event of a T1 failure) or ii. Redirect all your inbound 8XX calls to 818.865.3733 as soon as possible The representative will then provide you an Order Confirmation Number and timeframe when the Redirect will be activated. At the time the representative quoted, do the following to confirm that the calls are redirecting to 818.865.3733 correctly: a. From a line other than the one calls are forwarded to, dial 1.800.423.5933, the call should ring in to, and be answered at the forwarded number. b. From a line other than the one calls are forwarded to, dial 1.888.423.5933, the call should ring in to, and be answered at the forwarded number. Deactivating Remote Access to Call Forwarding Variable from outside the office: 1. Dial the Special Access Number 818.735.0099. 2. Dial the 10-digit office telephone number that you previously activated call forwarding on 818.865.3733 followed by #, i.e.: 818.865.3733#. 3. If this is correct, dial the Personal Identification Number 1234 (see note 1). 4. Dial the Call Forwarding deactivation code 73#. 5. Dial 1# to confirm that you want to deactivate the call forwarding feature. 6. Your call forwarding service has been deactivated. 7. Hang up, and test to ensure calls are ringing in the office. Deactivating Remote Access to Call Forwarding Variable from inside the office: 1. Pick up the phone and access the main incoming line button, i.e., the line with the Call Forwarding feature 23

2. Dial the Call Forwarding deactivation code 73# 3. You will hear two (2) short tones confirming that you have deactivated the feature 4. Hang up, and test to ensure calls are ringing in the office. Deactivating Call Redirect for 818.991.5500 from inside or outside the office: 1. Contact TelePacific Customer Service at 877.487.8722 and advise the TelePacific representative that: a. You are calling regarding 818.575.1000 and 818.991.5500, JonesTrading/Jones & Associates (not all business offices have updated their records with the new name) b. The temporary situation has been resolved and you require TelePacific to place the four (4) PRI s back in service so that all inbound calls ring in as they did before the Redirect request c. The representative will then provide you an Order Confirmation Number and timeframe when the four (4) PRI s services will be restored to normal. 2. At the time the representative quoted, do the following to confirm that the calls are now ringing in normally: a. From a line other than the one calls are forwarded to, dial (1.818) 991.5500, the call should ring in the office Deactivating Call Redirect for 800.423.5933 and 888.423.5933 and the other twenty-six (26) 8XX s from inside or outside the office: 1. Contact G2 Customer Service at 800.240.1800 and request to speak to Sally or Mannie, and advise the that: a. You are calling regarding 800.423.5933 and 888.423.5933, JonesTrading/Jones & Associates (not all business offices have updated their records with the new name) b. The temporary situation has been resolved and you require G2/Qwest to place the T1 back in service so that all inbound calls ring in as they did before the Redirect request c. The representative will then provide you an Order Confirmation Number and timeframe when the T1 services will be restored to normal 2. At the time the representative quoted, do the following to confirm that the calls are redirecting to 818.865.3733 correctly: a. From a line other than the one calls are forwarded to, dial 1.800.423.5933, the call should ring in the office b. From a line other than the one calls are forwarded to, dial 1.888.423.5933, the call should ring in the office. NOTE 1: You have three chances to enter the correct telephone number that has Remote Access to Call Forwarding Variable and the Personal Identification Number. After three attempts, you will be disconnected from the Remote Access to Call Forwarding Variable. You must hang up and try again. NOTE 2: In the instance where your office normally receives inbound DID and/or 8XX calls via a T1 or PRI, if the Remote Access To Relay Service has been activated or there is a power failure in the building, all inbound calls will now ring into the forward-to number. Mill Valley: Activating Remote Access to Call Forwarding Variable from outside the office: 1. Dial the Special Access Number: 415.389.0099. 2. Dial the 10-digit (out of area) office telephone number (415.388.1810) that you want to forward, followed by the Personal Identification Number : 6353 (see note 1). 24

3. Dial the Call Forwarding activation code 72# 4. Dial the number to which you want your calls forwarded to. If you must dial "1" plus an Area Code to reach this number from your office, then you will need to dial 1 plus the area code and number the calls are to be forwarded to, i.e.: XXX.XXXX or 1.XXX.XXX.XXXX 5. The forward-to telephone number dialed will be repeated (to allow for correction if dialed incorrectly) 6. If this is correct, dial 1 confirming that the repeated number is the number to which you want your calls forwarded. 7. You will hear two (2) short tones confirming that you have activated the call forwarding feature (see note 2) (see note 3). 8. Hang up, and Call Forwarding is now active for all calls to 414.388.1810 and the 8XX number. 9. From a line other than the one calls are forwarded to, dial 1.415.388.1810, the call should ring in to, and be answered at the forwarded number. 10. From a line other than the one calls are forwarded to, dial 1.800.784.6270, the call should ring in to, and be answered at the forwarded number. Activating Remote Access to Call Forwarding Variable from inside the office: 1. Pick up the phone and access the main incoming line button, i.e.: the line with the Call Forwarding feature. 2. Dial the Call Forwarding Activation code 72#. You will hear a new dial tone. 3. Dial the number to which you want your calls forwarded to. If you must dial "1" plus an Area Code to reach this number from your office, then you will need to dial 1 plus the area code and the number the calls are to be forwarded to, i.e.: XXX.XXXX or 1-XXX.XXX.XXXX. 4. You will hear two (2) short tones followed by ringing and the call ring at the forwarded number Call Forwarding is active (see note 2 and note 3). The call will be answered by the person at the forward-to number, i.e.:, which indicates that Call Forwarding has been activated successfully (see note 2) (see note 3); or the call will continue to ring, in which case, you will need to: a. Hang up. b. Pick up the phone and access the main incoming line button, i.e.: the line with the Call Forwarding feature. c. Dial the Call Forwarding Activation code 72#. d. You will hear two (2) short tones followed by a new dial tone. e. Hang up, and Call Forwarding is now active (see note 2) (see note 3). 5. From a line other than the one calls are forwarded to, dial 1.415.388.1810, the call should ring at the forwarded number. 6. From a line other than the one calls are forwarded to, dial 1.800.784.6270, the call should ring at the forwarded number. Deactivating Remote Access to Call Forwarding Variable from outside the office: 1. Dial the Special Access Number: 415.389.0099. 2. Dial the 10-digit (out of area) office telephone number that you want to forward, followed by the Personal Identification Number : 415.388.1810 6353 (see note 1). 3. Dial the Call Forwarding deactivation code 73# 4. You will hear two (2) short tones confirming that you have deactivated the feature. 5. Hang up, and calls will now ring in the office. Deactivating Remote Access to Call Forwarding Variable from inside the office: 1. Pick up the phone and access the main incoming line button, i.e.: the line with the Call Forwarding feature 25

2. Dial the Call Forwarding Deactivation code 73# 3. You will hear two (2) short tones confirming that you have deactivated the feature 4. Hang up, and calls will now ring in the office NOTE 1: You have three chances to enter the correct telephone number that has Remote Access to Call Forwarding Variable and the Personal Identification Number. After three attempts, you will be disconnected from the Remote Access to Call Forwarding Variable. You must hang up and try again. NOTE 2: In the instance where your office normally receives inbound DID calls via a T1 or PRI, if the Remote Access To Relay Service has been activated or there is a power failure in the building, all inbound calls will now ring into the forward-to number. Portsmouth: Activating Call Forwarding from outside the office: 1. Contact Verizon Customer Service at 800.914.9900 and advise the Verizon representative that: a. You are calling regarding 603.334.6690, JonesTrading/Jones & Associates (not all business offices have updated their records with the new name) b. You are currently unable to access your offices to activate Call Forwarding and need Call Forwarding activated immediately. c. You require Verizon to activate the Call Forwarding on your behalf as soon as possible d. Provide the number to which you want your calls forwarded to. If you must dial "1" plus an Area Code to reach this number from your office, then you will need to include 1 plus the area code and the number the calls are to be forwarded to, i.e.: 1.XXX.XXX.XXXX (1) e. Be sure that the Verizon representative repeats the forward-to number to insure it is the same number you just gave them f. The Verizon representative will then provide you an Order Confirmation Number and timeframe when the Call Forwarding will be activated 2. At the time the Verizon representative quoted, do the following to confirm that the Call Forwarding is functioning correctly: a. From a line other than the one calls are forwarded to, dial 1.603.334.6690, the call should ring in to, and be answered at the forwarded number. b. From a line other than the one calls are forwarded to, dial 1.800.345.6080, the call should ring in to, and be answered at the forwarded number. c. Hang up, you have verified that Call Forwarding is now forwarding calls correctly Activating Call Forwarding Variable from inside the office: 1. Pick up the phone and access the main incoming line button, i.e.: the line with the Call Forwarding feature 2. Dial the Call Forwarding Activation code 72# 3. You will hear a new dial tone 4. Dial the number to which you want your calls forwarded to. If you must dial "1" plus an Area Code to reach this number from your office, then you will need to dial 1 plus the area code and the number the calls are to be forwarded to, i.e.: 1.XXX.XXX.XXXX 5. You will hear two (2) short tones followed by ringing, then one of two scenarios will occur: a. The call will be answered by the person at the forwarded number which indicates that Call Forwarding has been activated successfully; or 26

b. The call will continue to ring, in which case, you will need to: i. Hang up ii. Pick up the phone and access the main incoming line button, i.e.: the line with the Call Forwarding feature iii. Dial the Call Forwarding Activation code 72# iv. You will hear two (2) short tones followed by a new dial tone v. Hang up, and Call Forwarding is now active 6. From a line other than the one calls are forwarded to, dial (1.603) 334.6690, the call should ring in to, and be answered at the forwarded number. 7. From a line other than the one calls are forwarded to, dial 1.800.345.6080, the call should ring in to, and be answered at the forwarded number. 8. Hang up, you have verified that Call Forwarding is now forwarding calls correctly Deactivating Call Forwarding from outside the office: 1. Contact Verizon Customer Service at 800.914.9900 and advise the Verizon representative that: a. You are calling regarding 603.334.6690, JonesTrading/Jones & Associates (not all business offices have updated their records with the new name) b. You are now ready for them to deactivate Call Forwarding and need them to deactivate Call Forwarding immediately. c. Be sure that the Verizon representative confirms that they will deactivate Call Forwarding. d. The Verizon representative will then provide you an Order Confirmation Number and timeframe when the Call Forwarding will be deactivated. 2. At the time the Verizon representative quoted, do the following to confirm that the Call Forwarding has been deactivated: a. From a line other than the one calls were forwarded to, dial (1.603) 334.6690, the call should ring in the office. b. From a line other than the one calls were forwarded to, dial 1.800.345.6080, the call should ring in the office. c. Hang up, you have verified that Call Forwarding is now deactivated. Deactivating Call Forwarding Variable from inside the office: 1. Pick up the phone and access the main incoming line button, i.e.: the line with the Call Forwarding feature. 2. Dial the Call Forwarding Deactivation code 73#. 3. You will hear two (2) short tones confirming that you have deactivated the feature. 4. Hang up, and calls will now ring in the office. Heathrow: Activating Remote Access to Call Forwarding Variable from outside the office: 1. Dial the Special Access Number: 407.333.2550. Dial the Personal Identification Number 0507 (see note 1). 2. Dial the Call Forwarding Activation code 72#. 3. Dial the number to which you want your calls forwarded to. If you must dial "1" plus an area code, i.e.: 1.XXX.XXX.XXXX 4. The forwarded to telephone number dialed will be repeated to allow for correction if dialed incorrectly (see note 2) 5. Dial 1 if the repeated number to which you want your calls forwarded to is correct. 27

6. You will hear two (2) short tones confirming that you have activated the feature. 7. Hang up, and Call Forwarding is now active. 8. From a line other than the one calls are forwarded to, dial 1.407.333.7958, the call should ring in to, and be answered at the forwarded number. 9. From a line other than the one calls are forwarded to, dial 1.800.407.5890, the call should ring in to, and be answered at the forwarded number. 10. Hang up, you have verified that Call Forwarding is now forwarding calls correctly Activating Remote Access to Call Forwarding Variable from inside the office: 1. Pick up the phone and access the main incoming line button, i.e.: the line with the Call Forwarding feature 2. Dial the Call Forwarding Activation code 72# 3. You will hear a new dial tone 4. Dial the number to which you want your calls forwarded to. If you must dial "1" plus an area code, i.e.: 1.XXX.XXX.XXXX 5. You will hear two (2) short tones followed by ringing, then one of two scenarios will occur: a. The call will be answered by the person at the forward-to number. b. The call will continue to ring, in which case, you will need to: i. Hang up ii. Pick up the phone and access the main incoming line button, i.e.: the line with the Call Forwarding feature. iii. Dial the Call Forwarding Activation code 72#. iv. You will hear two (2) short tones followed by a new dial tone. 6. Hang up, and Call Forwarding is now active 7. From a line other than the one calls are forwarded to, dial 1.407.333.7958, the call should ring in to, and be answered at the forwarded number. 8. From a line other than the one calls are forwarded to, dial 1.800.407.5890, the call should ring in to, and be answered at the forwarded number. 9. Hang up, you have verified that Call Forwarding is now forwarding calls correctly Deactivating Remote Access to Call Forwarding Variable from outside the office:. 1. Dial the Special Access Number: 407.333.2550. 2. Dial the 10-digit office telephone number that you want to deactivate 407.333.7958. 3. Dial the Personal Identification Number 0507 (see note 1) 4. Dial the Call Forwarding Deactivation code 73# 5. You will hear two (2) short tones confirming that you have deactivated the feature 6. Hang up, and calls will now ring in normally Deactivating Remote Access to Call Forwarding Variable from inside the office: 1. Pick up the phone and access the main incoming line button, i.e.: the line with the Call Forwarding feature 2. Dial the Call Forwarding Deactivation code 73# 3. You will hear two (2) short tones confirming that you have deactivated the feature 4. Hang up, and calls will now ring in normally 28

NOTE 1: You have three chances to enter the correct telephone number that has Remote Access to Call Forwarding Variable and the Personal Identification Number. After three attempts, you will be disconnected from the Remote Access to Call Forwarding Variable. You must hang up and try again. New York: Activating Call Forwarding from outside the office: 1. Contact Verizon Customer Service at 212.890.2700 and advise the Verizon representative that: a. You are calling regarding 212.682.0307, JonesTrading/Jones & Associates (not all business offices have updated their records with the new name) b. You are currently unable to access your offices to activate Call Forwarding and need Call Forwarding activated immediately c. You require Verizon to activate the Call Forwarding on your behalf as soon as possible. To initialize remote call forwarding you need to call this number one time only from New York office 1.888.294.1618 d. To activate call forwarding features access from any touch-tone phone 1.888.294.1618 i. The service will welcome you and ask you to enter a 10 digit phone # 212.682.0307 ii. Then you will need to enter your 4 digit password 8585 iii. Once you have been confirmed as a call forward customer, you may follow the prompts to activate, deactivate, change your password, or utilize all call forwarding features from the main menu. e. Provide the number to which you want your calls forwarded to. If you must dial "1" plus an area code, i.e.: 1.XXX.XXX.XXXX. f. Be sure that the Verizon representative repeats the forward-to number to insure it is the same number you just gave them. g. The Verizon representative will then provide you an Order Confirmation Number and timeframe when the Call Forwarding will be activated 2. At the time the Verizon representative quoted, do the following to confirm that the Call Forwarding is functioning correctly: a. From a line other than the one calls are forwarded to, dial (1.212) 682.0307, the call should ring in to, and be answered at the forwarded number. b. From a line other than the one calls are forwarded to, dial 1.800.409.4001, the call should ring in to, and be answered at the forwarded number. c. From a line other than the one calls are forwarded to, dial 1.888.409.4001, the call should ring in to, and be answered at the forwarded number. d. Hang up, you have verified that Call Forwarding is now forwarding calls correctly Activating Call Forwarding Variable from inside the office: 1. Pick up the phone and access the main incoming line button, i.e.: the line with the Call Forwarding feature 2. Dial the Call Forwarding Activation code 72# 3. You will hear a new dial tone 4. Dial the number to which you want your calls forwarded to. If you must dial "1" plus an area code, i.e.: 1.XXX.XXX.XXXX ) 5. You will hear two (2) short tones followed by ringing. : 29

a. The call will be answered by the person at the forward-to number, i.e.: which indicates that Call Forwarding has been activated successfully; or b. The call will continue to ring, in which case, you will need to: i. Hang up ii. Pick up the phone and access the main incoming line button, i.e.: the line with the Call Forwarding feature iii. Dial the Call Forwarding Activation code 72# iv. You will hear two (2) short tones followed by a new dial tone v. Hang up, and Call Forwarding is now active 6. From a line other than the one calls are forwarded to, dial 1.212.682.0307, the call should ring in to, and be answered at the forwarded number. 7. From a line other than the one calls are forwarded to, dial 1.800.409.4001, the call should ring in to, and be answered at the forwarded number. 8. From a line other than the one calls are forwarded to, dial 1.888.409.4001, the call should ring in to, and be answered at the forwarded number. 9. Hang up, you have verified that Call Forwarding is now forwarding calls correctly Activating Call Redirect for 212.267.0777 and 212.682.0303 from inside or outside the office: 1. Contact Focal Customer Service at 888.362.2522 and advise the Focal representative that: a. You are calling regarding 212.267.0777 and 212.682.0303, JonesTrading/Jones & Associates (not all business offices have updated their records with the new name) b. You have a temporary situation and require Focal to either: i. Busy-out the T1 so that all inbound calls follow the Redirect Plan on file with Focal (i.e.: in the event of a T1 failure) or ii. Redirect all your inbound calls from the above two (2) numbers to 212.682.0307 as soon as possible. The Focal representative will then provide you an Order Confirmation Number and timeframe when the Redirect will be activated 2. At the time the Focal representative quoted, do the following to confirm that the calls are redirecting to 212.862.0307 correctly: a. From a line other than the one calls are forwarded to, dial 1.212.267.0777, the call should ring in to, and be answered at the forwarded number. b. From a line other than the one calls are forwarded to, dial 1.800.409.4001, the call should ring in to, and be answered at the forwarded number. c. From a line other than the one calls are forwarded to, dial 1.888.409.4001, the call should ring in to, and be answered at the forwarded number. d. Hang up, you have verified that the calls have been redirected correctly Deactivating Call Forwarding from outside the office: 1. Contact Verizon Customer Service at 212.890.2700 and advise the Verizon representative that: a. You are calling regarding 212.682.0307, JonesTrading/Jones & Associates (not all business offices have updated their records with the new name) b. You are now ready for them to deactivate Call Forwarding and need them to deactivate Call Forwarding immediately c. Be sure that the Verizon representative confirms that they will deactivate Call Forwarding d. The Verizon representative will then provide you an Order Confirmation Number and timeframe when the Call Forwarding will be deactivated 30

2. At the time the Verizon representative quoted, do the following to confirm that the Call Forwarding has been deactivated: a. From a line other than the one calls were forwarded to, dial 1.212. 682.0307, the call should ring in the office. b. From a line other than the one calls were forwarded to, dial 1.800.409.4001, the call should ring in the office. c. From a line other than the one calls are forwarded to, dial 1.888.409.4001, the call should ring in the office. d. Hang up, you have verified that Call Forwarding is now deactivated. Deactivating Call Forwarding Variable from inside the office: 1. Pick up the phone and access the main incoming line button, i.e.: the line with the Call Forwarding feature. 2. Dial the Call Forwarding Deactivation code 73#. 3. You will hear two (2) short tones confirming that you have deactivated the feature. 4. Hang up, and calls will now ring in normally. Deactivating Call Redirect from inside or outside the office: 1. Contact Focal Customer Service at 888.362.2522 and advise the Focal representative that: a. You are calling regarding 212.267.0777 and 212.682.0303, JonesTrading/Jones & Associates (not all business offices have updated their records with the new name) b. You require Focal to restore the T1 service to normal as soon as possible, thus, cancel the Redirect of all inbound calls, i.e.: restore the service as it was before they made the temporary changes you requested c. The Focal representative will then provide you an Order Confirmation Number and timeframe when the services will be restored to normal 2. At the time the Focal representative quoted, do the following to confirm that the calls are ringing in normally: a. From a line other than the one calls are forwarded to, dial 1.212.267.0777, the call should ring in the office. b. From a line other than the one calls are forwarded to, dial 1.800.409.4001, the call should ring in the office. c. From a line other than the one calls are forwarded to, dial 1.888.409.4001, the call should ring in the office. d. Hang up, You have verified that the calls are now ringing in normally. Dallas: Activating Remote Access to Call Forwarding Variable from outside the office: 1. Dial the Special Access Number: 214.720.7722. 2. Dial the 10- digit (out of area) office telephone number that you want to forward 214.969.9450. 3. If this number is correct, dial the Personal Identification Number 5400 (see note 1). 4. Dial the Call Forwarding Activation code 72#. 5. Dial 1 to confirm this feature. 6. Dial the number to which you want your calls forwarded to. If you must dial "1" plus an area code, i.e.: 1.XXX.XXX.XXXX. 7. The forwarded to telephone number dialed will be repeated to allow for correction if dialed incorrectly (see note 2). 8. Dial 1 if the repeated number to which you want your calls forwarded to is correct. 31

9. Your Call Forwarding service is now activated. 10. Hang up, and Call Forwarding is now active. 11. From a line other than the one calls are forwarded to, dial 1.214.969.9450, the call should ring at the forwarded number. 12. From a line other than the one calls are forwarded to, dial 1.800.810.5290, the call should ring at the forwarded number. 13. Hang up, you have verified that Call Forwarding is now forwarding calls correctly Activating Remote Access to Call Forwarding Variable from inside the office: 1. Pick up the phone and access the main incoming line button, i.e.: the line with the Call Forwarding feature. 2. Dial the Call Forwarding Activation code 72#. 3. You will hear a new dial tone. 4. Dial the number to which you want your calls forwarded to. If you must dial "1" plus an area code, i.e.: 1.XXX.XXX.XXXX. 5. You will hear two (2) short tones followed by ringing, then one of two scenarios will occur: a. The call will be answered by the person at the forward-to number; or b. The call will continue to ring, in which case, you will need to: i. Hang up ii. Pick up the phone and access the main incoming line button, ie: the line with the Call Forwarding feature. iii. Dial the Call Forwarding Activation code 72#. iv. You will hear two (2) short tones followed by a new dial tone. 6. Hang up, and Call Forwarding is now active 7. From a line other than the one calls are forwarded to, dial 1.214.969.9450, the call should ring at the forwarded number. 8. From a line other than the one calls are forwarded to, dial 1.800.810.5290, the call should ring at the forwarded number. 9. Hang up, you have verified that Call Forwarding is now forwarding calls correctly Deactivating Remote Access to Call Forwarding Variable from outside the office: 1. Dial the Special Access Number: 214.720.7722. 2. Dial the 10-digit (out of area) office telephone number that you want to forward 214.969.94. 3. If this number is correct, dial the Personal Identification Number 5400 (see note 1). 4. Dial the Call Forwarding Deactivation code 73#. 5. Dial 1 to confirm this feature. 6. Call Forwarding service is now deactivated. 7. Hang up, and calls will now ring in normally. Deactivating Remote Access to Call Forwarding Variable from inside the office: 1. Pick up the phone and access the main incoming line button, i.e.: the line with the Call Forwarding feature. 2. Dial the Call Forwarding Deactivation code 73#. 3. You will hear two (2) short tones confirming that you have deactivated the feature. 4. Hang up, and calls will now ring in the office. 32

NOTE 1: You have three chances to enter the correct telephone number that has Remote Access to Call Forwarding Variable and the Personal Identification Number. After three attempts, you will be disconnected from the Remote Access to Call Forwarding Variable. You must hang up and try again. Atlanta: Activating Remote Access to Call Forwarding Variable from outside the office: 1. Dial the Special Access Number: 404.842.0998. 2. Dial the 10-digit (out of area) office telephone number that you want to forward 404.467.4725. 3. Dial the Personal Identification Number 0423 (see note 1). 4. Dial the Call Forwarding Activation code 72#. 5. Dial the number to which you want your calls forwarded to. If you must dial "1" plus an area code, i.e.: 1.XXX.XXX.XXXX. 6. The forwarded to telephone number dialed will be repeated to allow for correction if dialed incorrectly (see note 2). 7. Dial 1 if the repeated number to which you want your calls forwarded to is correct. 8. You will hear two (2) short tones confirming that you have activated the feature 9. Hang up, and Call Forwarding is now active. 10. From a line other than the one calls are forwarded to, dial 1.404.467.4725, the call should ring at the forwarded number. 11. From a line other than the one calls are forwarded to, dial 1.866.441.2916, the call should ring at the forwarded number. 12. Hang up, you have verified that Call Forwarding is now forwarding calls correctly. Activating Remote Access to Call Forwarding Variable from inside the office: 1. Pick up the phone and access the main incoming line button, i.e.: the line with the Call Forwarding feature. 2. Dial the Call Forwarding Activation code 72#. 3. You will hear a new dial tone. 4. Dial the number to which you want your calls forwarded to. If you must dial "1" plus an area code, i.e. 1XXX.XXX.XXXX. 5. You will hear two (2) short tones followed by ringing, then one of two scenarios will occur: a. The call will be answered by the person at the forward-to number, which indicates that Call Forwarding has been activated successfully; or b. The call will continue to ring, in which case, you will need to: i. Hang up. ii. Pick up the phone and access the main incoming line button, i.e.: the line with the Call Forwarding feature. iii. Dial the Call Forwarding Activation code 72#. iv. You will hear two (2) short tones followed by a new dial tone. 6. Hang up, and Call Forwarding is now active 7. From a line other than the one calls are forwarded to, dial 1.404.467.4725, the call should ring at the forwarded number. 8. From a line other than the one calls are forwarded to, dial 1.866.441.2916, the call should ring at the forwarded number. 9. Hang up, you have verified that Call Forwarding is now forwarding calls correctly. 33

Deactivating Remote Access to Call Forwarding Variable from outside the office: 1. Dial the Special Access Number: 404.842.0998. 2. Dial the 10-digit (out of area) office telephone number that you want to forward 404.467.4725. 3. Dial the Personal Identification Number 0423 (see note 1). 4. Dial the Call Forwarding Deactivation code 73#. 5. You will hear two (2) short tones confirming that you have deactivated the feature. 6. Hang up, and calls will now ring in the office. Deactivating Remote Access to Call Forwarding Variable from inside the office: 1. Pick up the phone and access the main incoming line button, i.e.: the line with the Call Forwarding feature. 2. Dial the Call Forwarding Deactivation code 73#. 3. You will hear two (2) short tones confirming that you have deactivated the feature. 4. Hang up, and calls will now ring in normally. NOTE 1: You have three chances to enter the correct telephone number that has Remote Access to Call Forwarding Variable and the Personal Identification Number. After three attempts, you will be disconnected from the Remote Access to Call Forwarding Variable. You must hang up and try again. Greenwich: Activating Call Forwarding from outside the office: 1. Contact Verizon Customer Service at 212.890.2700 and advise the Verizon representative that: a. You are calling regarding 203.629.3377, JonesTrading/Jones & Associates (not all business offices have updated their records with the new name). b. You are currently unable to access your offices to activate Call Forwarding and need Call Forwarding activated immediately. a. You require Verizon to activate the Call Forwarding on your behalf as soon as possible. b. Provide the number to which you want your calls forwarded to. If you must dial "1" plus an area code, i.e.: 1.XXX.XXX.XXXX. c. Be sure that the Verizon representative repeats the forward-to number to insure it is the same number you just gave them d. The Verizon representative will then provide you an Order Confirmation Number and timeframe when the Call Forwarding will be activated 2. At the time the Verizon representative quoted, do the following to confirm that the Call Forwarding is functioning correctly: a. From a line other than the one calls are forwarded to, dial 1.203.629.3377, the call should ring at the forwarded number. b. From a line other than the one calls are forwarded to, dial 1.800.334.8989, the call should ring at the forwarded number. c. Hang up, you have verified that Call Forwarding is now forwarding calls correctly. Activating Call Forwarding Variable from inside the office: 1. Pick up the phone and access the main incoming line button, i.e.: the line with the Call Forwarding feature 2. Dial the Call Forwarding Activation code 72# 3. You will hear a new dial tone 34

4. Dial the number to which you want your calls forwarded to. If you must dial "1" plus an area code, i.e.: 1.XXX.XXX.XXXX ) 5. You will hear two (2) short tones followed by ringing, then one of two scenarios will occur: a. The call will be answered by the person at the forward-to number, which indicates that Call Forwarding has been activated successfully; or b. The call will continue to ring, in which case, you will need to: i. Hang up. ii. Pick up the phone and access the main incoming line button, i.e.: the line with the Call Forwarding feature. iii. Dial the Call Forwarding Activation code 72#. iv. You will hear two (2) short tones followed by a new dial tone. v. Hang up, and Call Forwarding is now active. 6. From a line other than the one calls are forwarded to, dial 1.203.629.3377, the call should ring at the forwarded number. 7. From a line other than the one calls are forwarded to, dial 1.800.334.8989, the call should ring at the forwarded number. 8. Hang up, you have verified that Call Forwarding is now forwarding calls correctly. Deactivating Call Forwarding from outside the office: 1. Contact Verizon Customer Service at 212.890.2700 and advise the Verizon representative that: a. You are calling regarding 203.629.3377, JonesTrading/Jones & Associates (not all business offices have updated their records with the new name). b. You are now ready for them to deactivate Call Forwarding and need them to deactivate Call Forwarding immediately. c. Be sure that the Verizon representative confirms that they will deactivate Call Forwarding. d. The Verizon representative will then provide you an Order Confirmation Number and timeframe when the Call Forwarding will be deactivated. 2. At the time the Verizon representative quoted, do the following to confirm that the Call Forwarding has been deactivated: a. From a line other than the one calls were forwarded to, dial (1.203) 629.3377, the call should ring in the office. b. From a line other than the one calls were forwarded to, dial 1.800.334.8989, the call should ring in the office. c. Hang up, you have verified that Call Forwarding is now deactivated Deactivating Call Forwarding Variable from inside the office: 1. Pick up the phone and access the main incoming line button, i.e.: the line with the Call Forwarding feature 2. Dial the Call Forwarding Deactivation code 73# 3. You will hear two (2) short tones confirming that you have deactivated the feature 4. Hang up, and calls will now ring in normally Aspen: Activating Remote Access to Call Forwarding Variable from outside the office: 1. Dial the Special Access Number: 1.888.970.8052 (from any area code). 2. Dial the 10-digit office telephone number that you want to forward followed by #, i.e.: 970.925.1977#. 35

3. Dial the Personal Identification Number (Security Code): 1234 followed by #, (see note 1). 4. Dial 1 for Remote Access to Call Forwarding. 5. Dial 1 to forward calls. 6. Dial the number to which you want your calls forwarded to. If you must dial "1" plus an Area Code to reach this number from your office, then you will need to dial 1 plus the area code and the number the calls are to be forwarded to followed by #, i.e.: 1.XXX.XXX.XXXX#. 7. Within 30 seconds your calls will be forwarded to (telephone number dialed will be repeated) (see note 2). 8. Hang up, and Call Forwarding is now active. 9. From a line other than the one calls are forwarded to, dial 1.970.925.1977, the call should ring at the forwarded number. 10. From a line other than the one calls are forwarded to, dial 1.800.747.9551, the call should ring at the forwarded number. 11. Hang up, you have verified that Call Forwarding is now forwarding calls correctly. Activating Remote Access to Call Forwarding Variable from inside the office: 1. Pick up the phone and access the main incoming line button, i.e.: the line with the Call Forwarding feature. 2. Dial the Call Forwarding Activation code 72#. 3. You will hear a new dial tone. 4. Dial the number to which you want your calls forwarded to. If you must dial "1" plus an Area Code to reach this number from your office, then you will need to dial 1 plus the area code and the number the calls are to be forwarded to, i.e.: 1.XXX.XXX.XXXX. 5. You will hear two (2) short tones followed by ringing, then one of two scenarios will occur: a. The call will be answered by the person at the forward-to number, i.e.: which indicates that Call Forwarding has been activated successfully; or b. The call will continue to ring, in which case, you will need to: i. Hang up. ii. Pick up the phone and access the main incoming line button, i.e.: the line with the Call Forwarding feature. iii. Dial the Call Forwarding Activation code 72#. iv. You will hear two (2) short tones followed by a new dial tone. 6. Hang up, and Call Forwarding is now active. 7. From a line other than the one calls are forwarded to, dial 1.970.925.1977, the call should ring at the forwarded number. 8. From a line other than the one calls are forwarded to, dial 1.800.747.9551, the call should ring at the forwarded number. 9. Hang up, you have verified that Call Forwarding is now forwarding calls correctly. Deactivating Remote Access to Call Forwarding Variable from outside the office: 1. Dial the Special Access Number: 1.888.970.8052 2. Dial the 10-digit office telephone number that you want to forward followed by #, i.e.: 970.925.1977# 3. Dial the Personal Identification Number (Security Code): 1234 followed by #, i.e. (see note 1) 4. Dial 1 for Remote Access to Call Forwarding. 5. The telephone number dialed will be repeated. 6. Dial 1 to cancel call forwarding. 36

7. Within 30 seconds your forwarding will be cancelled. 8. Hang up, and calls will now ring in normally. Deactivating Remote Access to Call Forwarding Variable from inside the office: 1. Pick up the phone and access the main incoming line button, i.e.: the line with the Call Forwarding feature. 2. Dial the Call Forwarding Deactivation code 73#. 3. You will hear two (2) short tones confirming that you have deactivated the feature. 4. Hang up, and calls will now ring in the office. NOTE 1: You have three chances to enter the correct telephone number that has Remote Access to Call Forwarding Variable and the Personal Identification Number. After three attempts, you will be disconnected from the Remote Access to Call Forwarding Variable. You must hang up and try again. Chicago: Activating Call Forwarding from outside the office: 1. Contact SBC Customer Service at 1.800.253.6262 and advise the SBC representative that: a. You are calling regarding 1.312.335.4012, JonesTrading/Jones & Associates (not all business offices have updated their records with the new name). b. You are currently unable to access your offices to activate Call Forwarding and need Call Forwarding activated immediately. c. You require SBC to activate the Call Forwarding on your behalf as soon as possible. d. Provide the number to which you want your calls forwarded to. If you must dial "1" plus an Area Code to reach this number from your office, then you will need to include 1 plus the area code and the number the calls are to be forwarded to, i.e.: 1.XXX.XXX.XXXX. e. Be sure that the SBC representative repeats the forward-to number to insure it is the same number you just gave them. f. The SBC representative will then provide you an Order Confirmation Number and timeframe when the Call Forwarding will be activated. Activating Remote Access to Call Forwarding Variable from inside the office: 1. To activate; from touch-tone phone equipment with Touch-Tone service, push 72 then # wait 5 seconds for dial tone. 2. Dial the number that will be accepting the calls. You will hear 2 short tones then normal ringing when the call forwarding is in effect. 3. If the line is busy or there is no answer, hang up and repeat the first two steps. Deactivating Call Forwarding from outside the office: 1. Contact SBC Customer Service at 800.253.6262 and advise the Verizon representative that: a. You are calling regarding, 312.335.4012 JonesTrading/Jones & Associates (not all business offices have updated their records with the new name). b. You are now ready for them to deactivate Call Forwarding and need them to deactivate Call Forwarding immediately. 37

c. Be sure that the SBC representative confirms that they will deactivate Call Forwarding. c. The SBC representative will then provide you an Order Confirmation Number and timeframe when the Call Forwarding will be deactivated. 2. At the time the SBC representative quoted, do the following to confirm that the Call Forwarding has been deactivated: a. From a line other than the one calls were forwarded to, dial 312.335.4012, the call should ring in the office. Deactivating Call Forwarding Variable from inside the office: 1. Pick up the phone and access the main incoming line button, i.e.: the line with the Call Forwarding feature. 2. Dial the Call Forwarding Deactivation code 73#. 3. You will hear two (2) short tones confirming that you have deactivated the feature. 4. Hang up, and calls will now ring in the office. Boston: Activating Call Forwarding from outside the office: 1. Contact Verizon Customer Service at 800.838.9426 and advise the Verizon representative that: a. You are calling regarding 617.261.1828, JonesTrading/Jones & Associates (not all business offices have updated their records with the new name). b. You are currently unable to access your offices to activate Call Forwarding and need Call Forwarding activated immediately. i. You require Verizon to activate the Call Forwarding on your behalf as soon as possible. ii. Provide the number to which you want your calls forwarded to. If you must dial "1" plus an area code, i.e.: 1.XXX.XXX.XXXX. iii. Be sure that the Verizon representative repeats the forward-to number to insure it is the same number you just gave them. iv. The Verizon representative will then provide you an Order Confirmation Number and timeframe when the Call Forwarding will be activated. 3. At the time the Verizon representative quoted, do the following to confirm that the Call Forwarding is functioning correctly: a. From a line other than the one calls are forwarded to, dial 1.617.261.1828, the call should ring at the forwarded number. b. From a line other than the one calls are forwarded to, dial 1.888.797.2859, the call should ring at the forwarded number. c. Hang up, you have verified that Call Forwarding is now forwarding calls correctly. Activating Remote Access to Call Forwarding Variable from inside the office: 1. To activate; from touch-tone phone equipment with Touch-Tone service, push 72 then # wait 5 seconds for dial tone. 2. Dial the number that will be accepting the calls. You will hear 2 short tones then normal ringing when the call forwarding is in effect. 3. If the line is busy or there is no answer, hang up and repeat the first two steps. Deactivating Call Forwarding from outside the office: 1. Contact Verizon Customer Service at 800.838.9426 and advise the Verizon representative that: 38

a. You are calling regarding, 617.261.1828 JonesTrading/Jones & Associates (not all business offices have updated their records with the new name). b. You are now ready for them to deactivate Call Forwarding and need them to deactivate Call Forwarding immediately. c. Be sure that the Verizon representative confirms that they will deactivate Call Forwarding. i. The Verizon representative will then provide you an Order Confirmation Number and timeframe when the Call Forwarding will be deactivated. 2. At the time the Verizon representative quoted, do the following to confirm that the Call Forwarding has been deactivated: a. From a line other than the one calls were forwarded to, dial 617.261.1828, the call should ring at the forwarded number. b. From a line other than the one calls were forwarded to, dial 888.797.2589, the call should ring at the forwarded number. c. Hang up, you have verified that Call Forwarding is now deactivated Deactivating Call Forwarding Variable from inside the office: 1. Pick up the phone and access the main incoming line button, i.e.: the line with the Call Forwarding feature. 2. Dial the Call Forwarding Deactivation code 73#. 3. You will hear two (2) short tones confirming that you have deactivated the feature. 4. Hang up, and calls will now ring in normally. Charleston: AT&T CUSTOMER SERVICE 866.620.6000 or 225.2952800 Activating Remote Access to Call Forwarding Variable from inside the office: 1. Pick up the phone and access the main incoming line button, i.e.: the line with the Call Forwarding feature. (843.720.5991 ). 2. Dial the Call Forwarding Activation code 72#. 3. You will hear a new dial tone. 4. Dial the number to which you want your calls forwarded to. If you must dial "1" plus an area code to reach this number from your office, then you will need to dial 1 plus the area code and the number the calls are to be forwarded to, i.e.: XXX.XXXX or 1-XXX.XXX.XXXX. 5. You will hear two (2) short tones followed by ringing. 6. Test by calling the main number 843.720.5991 and ensure the call is answered by someone at the forwarded number. De-activating Remote Access to Call Forwarding Variable from inside the office: 1. Dial the Call Forwarding deactivation code 73# 2. You will hear two (2) short tones confirming that you have deactivated the feature 3. Test by calling the main number 843.720.5991 rings in the office. Activating Remote Access to Call Forwarding Variable from outside the office: 1. Dial the Special Access Number: 843.853.5000. 2. Dial the: office telephone number 843.720.5991, followed by the Personal Identification Number: 1894. 39

3. Dial the 10-digit telephone number that you want to forward, followed by the Personal Identification Number: (1 XXX.XXX.XXXX ) 1894. 4. Test by calling the main number 843.720.5991 and ensure the call is answered by someone at the forwarded number. De-activating Remote Access to Call Forwarding Variable from outside the office: 1. Dial the Special Access Number: 843.853.5000. 2. Dial the: office telephone number 843.720.5991, followed by the Personal Identification Number: 1894. 3. Dial the 10-digit telephone number that you want to forward, followed by the Personal Identification Number: (1 843.720.5991) 1894. 4. Test by calling the main number 843.720.5991 and ensure the call rings in the office. Toronto: Activating Remote Access to Call Forwarding Variable from inside the office: 1. Pick up the phone and access the main incoming line that has Call Forwarding feature (416.961.4674) and dial the Call Forwarding Activation Code *72 and wait for a dial tone. 2. Dial the number to forward the calls to using 1 plus the area code 1.xxx.xxx.xxxx. You will hear 2 short tones then normal ringing.. 3. Test by calling the main number 416.961.4674 and ensure that the phone is answered by someone at the forwarded number. Deactivating Call Forwarding from inside the office: 1. Pick up the phone and access the main incoming line that has Call Forwarding feature (416.961.4674) and dial the Call Forwarding De-Activation Code *73. 2. You will hear 2 short tones. 3. Test by calling the main number 416.961.4674 and ensure that the phone rings in the office. Activating Call Forwarding from outside the office: 1. Contact Bell Canada at 866.686.2661 and advise as to what number the main number 416.961.4674 should be forwarded. 2. Test by calling the main number 416.961.4674 and ensure that the phone is answered by someone at the forwarded number. Deactivating Call Forwarding Variable from outside the office: 1. Contact Bell Canada at 866.686.2661 and request call forwarding be turned off. 2. Test by calling the main number 416.961.4674 and ensure that the phone rings in the office. London: Activating Call Forwarding: Contact AMERITEL Customer services at 818.734.7400. Request that the Customer Service Representative forward 877.566.3785 ( 877 JONES UK ) which is on the Westlake Village T1with DEENACE 375 to the required telephone number. 40

Deactivating Call Forwarding: Contact AMERITEL Customer services at 818.734.7400. Request that the Customer Service Representative forward 877.566.3785 ( 877 JONES UK ) which is on the Westlake Village T1with DEENACE 375 to the JTIL mobile phone number (011.44.7515.708.505) maintained by Stephen Ponto. 41

APPENDIX 3 Andrews, Rick Office Phone 214.969.9450 Office Fax 817.810.9272 randrews@jonestrading.com Mobile Phone 817.781.7442 Home Phone 817.926.3574 Bell, Jeremy Office Phone 818.865.1424 Office Fax 818.540.3155 jeremyb@jonestrading.com Mobile Phone 805.338.8403 Home Phone 805.376.2997 Brown, Clint Office Phone 203.629.3377 Office Fax 203.629.4306 clintb@jonestrading.com Mobile Phone 203.246.7219 Home Phone 203.655.2911 Carter, Tom Office Phone 818.865.8349 Office Fax 818.991.7464 tom@jonestrading.com Mobile Phone 626.487.8037 Home Phone 626.403.6087 Chen, William Office Phone 818.991.0320 Office Fax 818.889.9646 williamc@jonestrading.com Mobile Phone 818.264.8184 Home Phone 718-310-8600 Chmielewski, Steve Office Phone 781.416.2896 Office Fax 781.416.2899 steve@jonestrading.com Mobile Phone 617.592.3615 Home Phone 781.433.0082 Cohen, Moe Office Phone 212.907.5332 Office Fax 212.907.5365 moec@jonestrading.com 42

Mobile Phone 917.880.2243 Home Phone 516.837.9304 DiChiacchio, Joe Office Phone 212.267.0777 Office Fax 212.267.0797 joed@jonestrading.com Mobile Phone 914.396.4233 Home Phone 914.834.3837 Farrington, Paul Office Phone 404.467.4725 Office Fax 404.816.9226 paulf@jonestrading.com Mobile Phone 770.317.4872 Home Phone 678.624.7615 Fouladian, Fred Office Phone 818.879.6173 Office Fax 818.575.1072 fred@jonestrading.com Mobile Phone 805.431.6070 Home Phone none Geyer, Will Office Phone 818.575.1059 Office Fax 818.575.1026 willg@jonestrading.com Mobile Phone 917 319 5114 Home Phone 805 845 5646 Gibbs, Elly Office Phone 800.784.6270 Office Fax 415.388.2534 ellyg@jonestrading.com Mobile Phone 415.948.7931 Home Phone 415.331.1050 Graves, Adam Office Phone 818.879.8499 Office Fax 818.991.4553 adam@jonestrading.com Mobile Phone 818.266.8198 Home Phone 818.707.4456 Harasym, Lawrence Office Phone 407.732.5421 Office Fax 407.732.5422 43

lawrenceh@jonestrading.com Mobile Phone 818.297.8189 Home Phone 407-732-4145 Harrington, George Office Phone 617.261.1828 Office Fax 617.261.7763 gharrington@jonestrading.com Mobile Phone 978.973.5050 Home Phone 978.922.5404 Hill, Alan Office Phone 818.879.8478 Office Fax 818.879.5481 alanh@jonestrading.com Mobile Phone 818.915.2236 Home Phone 818.223.8270 Hirshorn, Scott Office Phone 843.263.5964 or 843.720.5991 Office Fax 843.720.5996 scotth@jonestrading.com Mobile Phone 646.717.4035 Home Phone none Hutcherson, Van Office Phone 312.335.4012 Office Fax 866.606.9845 van@jonestrading.com Mobile Phone 630.209.2711 Home Phone 630.789.2711 Jones, Packy Office Phone 818.991.6038 Office Fax 818.879.1984 packy@jonestrading.com Mobile Phone 805.217.7518 Home Phone 805.372.5045 Mattoon, David Office Phone 603.334.6690 Office Fax 603.334.6271 dmattoon@jonestrading.com Mobile Phone 603.781.9435 Home Phone 603.431.1758 Mazzullo, David Office Phone 203.629.3377 44

Office Fax 203.629.4306 david@jonestrading.com Mobile Phone 917 922 1507 Home Phone 203 637 3114 McBride, Charlie Office Phone 407.333.7958 Office Fax 407.339.6107 cmcbride@jonestrading.com Mobile Phone 407.312.2060 Home Phone 407.333.8067 McKnight, Robert Office Phone None Office Fax None None Mobile Phone 714.889.4277 Email bob.mcknight@quiksilver.com Miller, Patti Office Phone 818.991.4550 Office Fax 818.706.8334 pmiller@jonestrading.com Mobile Phone 818.317.2197 Home Phone 818.991.6790 O'Neil, Tim Office Phone 818.874.9762 Office Fax 818.991.7464 timoneil@jonestrading.com Mobile Phone 310.309.7519 Home Phone 310.589.2065 Pears, Brian Office Phone 818-575-1024 Office Fax 818 707 2095 brianp@jonestrading.com Mobile Phone 310-266-7095 Home Phone 310-317-6907 Piscitello, Frank Office Phone 818.991.4488 Office Fax 818.991.8325 frank@jonestrading.com Mobile Phone 818.917.2834 Home Phone 818.879.1886 Ponto, Stephen 45

Office Phone 877.566.3785 Office Fax 011.44.207.430.9421 stephenp@jonestrading.com Mobile Phone 011.44.7515-708.505 Home Phone 011.44.170.220.2369 Spaeth, Ron Office Phone 818.879.0477 Office Fax 818.991.8428 ron@jonestrading.com Mobile Phone 805.402.5593 Home Phone 805.373.3995 Steen, Tom Office Phone 888.566.3713 Office Fax 416.961.4816 toms@jonestrading.com Mobile Phone 516.761.5659 Home Phone 416.920.4243 Stein, Kerry Office Phone 212.907.5319 Office Fax 212.267.0797 kerrys@jonestrading.com Mobile Phone 914-409-2411 Home Phone 914-381-0483 Tesoro, Phil Office Phone 818.707.7114 Office Fax none philtesoro@jonestrading.com Mobile Phone 818.419.2630 Home Phone 818.865.0683 Tesoro, Tony Office Phone none Office Fax none Mobile Phone 805.551.7825 Home phone: 805.374.7928 Email ttesoro636@aol.com Tullar, Chris Office Phone 970.925.1977 Office Fax 970.925.1293 ctullar@jonestrading.com Mobile Phone 970.309.1333 Home Phone 970.920.6573 46

Tullar, Steve Office Phone 970.925.1977 Office Fax 970.925.1293 st@jonestrading.com Mobile Phone 970.710.9687 Home Phone 970.925.7255 47

APPENDIX 4 Department Contact Phone No. Cell phone Home Fax Number E-mail Rich Brueckner 201-413-3070 rbrueckner@pershing.com Frank LaSalla 201-413-3334 917-459-2223 914.245.6223 flasalla@prershing.com Craig Messenger 201.413.2205 cmessinger@pershing.com Jim Crowley 201.413.2564 jcrowley@pershing.com Suresh Kumaar 201.413.2896 skumar@pershing.com Joe Dattolo 201.413.2158 201.338.6729 201.395.9567 jdattolo@pershing.com Legal Tres Arnett 201.413.3401 garnett@pershing.com Relationship Gina Jurecki Manager 201-413-4806 201-681-1705 201-413-2448 gjurecki@pershing.com Neal Berry 415-288-2002 925-785-1636 nberry@pershing.com Dan O'Brien 415-288-2000 415-987-3547 dobrien@pershing.com Account Manager Susan Kelly 201-413-2360 201-413-2448 skelly@pershing.com Sumit Mahay 415.398.3565 smahay@pershing.com Technology Michael Turner 201.413.3114 201.954.2087 mturner@pershing.com John Butcher 201 413 2874 516.233.8447 201.309.1008 jbutcher@pershing.com Pat Difeo 201.395.1907 908.247.0966 201.309.1008 pdifeo@pershing.com Imaging Fax Server 866-355-5572 Money Desk Banking & Funds Recon. 201-413-4700 201-309-1044 (Retail) Check Processing & Wired Funds 201-413-3315 201-413-5273 Check Processing (LA) 213-624-6100 213-624-0829 Treasury Issues 201-413-2025 201-413-5307 Clearance Buy-Ins 201-413-2210 201-413-9069 (DVP/RVP) Deliveries 201-413-4931 201-451-9069 DTC Recieves/Physicals 201-413-3270 201-521-1539 Government/GNMA 201-413-2516 201-521-1539 Syndicates 201-413-2627 201-413-9069 COD/ID Customer Service 201-413-2247 201-413-1158 (DVP/RVP) Jim Brennan (AVP) 201-395-1855 201-413-1158 COD Assocaite Johanna Flores 201-413-2255 201-413-1158 Corporate Actions Voluntary 201-413-3822 201-413-5263 Reorganization Santos Ortiz (Voluntary Manager) 201-413-4042 201-413-5263 James Ciccolella (Voluntary *call to confirm fax received Manager) 201-413-3172 201-413-5263 Lou Santiago (Voluntary Manager) 201-413-2856 201-413-5263 Mandatory Redemptions Joseph LaVara (Mgr.) Proxy 201-413-2418 201-413-5263 201-413-2688 201-413-5263 201-413-2486 201-413-5263 201-413-3090 201-413-5263 48

Margin George Quiroz (Mgr.) Associate: Mark C Martinez Manager: David Chabolla 201-413-2495 201-413-5263 213-624-6100 x261 213 489 7157 213-624-6100 x233 213 489 7157 Firm Trading Margin Related issues Kathy Liano 201-413-3664 N/A Reporting Related issues Jeff Kugler 201-413-4767 N/A P & S Martin Dolaldson (VP) 201-413-2191 N/A (DVP/RVP) Bernadette Selby (VP) 201-413-2685 N/A William Carroll (VP) 201-396-1859 N/A Municipal Bonds 201-413-2512 option2 N/A Corporates Bonds and UIT's 201-413-2570 option 3 N/A Government Bonds 201-413-2801 option 5 N/A Equity Exclearing 201-413-2971 option 1 N/A Customer Corrections (Equities, Listed/Regionals/OTC) 201-413-2532 iption 1 N/A Security Master (for setting up new cusips) Tax Information Options 201-413-4000 N/A All Bonds(including Municipals) 201-413-2051 201-435-2131 Equity / Symbols Options Pricing General Inquiries Vilma King (Mgr.) 201-413-3112 N/A 201-413-3112 N/A 201-413-2927 or 201-413-3676 N/A 201-413-2220 201-433-4199 201-413-2029 201-433-4199 Stock Loan 201 413 4400 N/A Tech. Cust. Svc. Prep Reloads/Reports 201-413-2001 N/A Help Desk- Computers,Printers etc. 201-413-3900 N/A Net Exchange Help Desk 888-878-3142 or 201-413-2476 N/A TRADING Marty Rogan DESKS 201.413.4899 631.365.2628 631.661.6055 mrogan@pershing.com Listed Equities- (support) 201-413-3575 Retail Orders (options, listed equitites) 201-413-3575 Options (support) 201-413-3575 Equites-OTC 201-413-4920 Equites-OTC (support) 201-413-2222 Options - Exercise/Assignment / PNS 201-413-4000 Fixed Income Sales 201-413-4880 Corporate Bonds 201-413-4110 Gov't 201-413-4240 Muni 201-413-4860 49

CD Mutual Fund Trading UIT Foreign Exchange 201-413-4243 800-266-1864 201-413-4868 201-413-3450 pershingfx@pershing.com 50

APPENDIX 5 PENSON S TEAM FINANCE Name Title Telephone # François Gervais Senior Vice-President & CFO (514) 841-4006 Daniel Girardeau Controller (514) 841-9665 Marie-Andrée Deziel Accounting Clerk (514) 841-9665 Mariette Godbout Team Leader, Payroll and Accounts Payable (514) 841-4007 Tel.: (514) 841-9665 Fax: (514) 841-3743 Chantal Zotti Accounts Payable Clerk (514) 841-9665 Luc Southiere Chief Financial Accounting (514) 841-3694 Josée Brouillette Supervisor Billing (514) 841-9665 Jacques Madzou Billing Administrator (514) 841-9665 Zhi-Dan Shao Billing Administrator (514) 841-9665 Jordan Lamaire Accounting Clerk (514) 841-9665 Carole Robichaud Reconciliation (514) 841-9665 Marie-Claude Garant Financial Analyst (514) 841-4044 Sylvain Lambert Financial Analyst (514) 841-9665 BANKING Name Title Telephone # Tel.: (514) 841-1326 / Vu Tran Manager (416) 943-4304 (416) 814-2560 Alain Coulombe Administrator (514) 841-1326 Fax: (514) 841-3759 / Denise Black Reconciliation (514) 841-4065 (514) 841-3778 Robert Miller Administrator (416) 814-2560 Email: banking@penson.ca Beatrice Inarukundo Banking Clerk (514) 841-9665 CLIENT RELATIONS FOR INTRODUCING BROKERS AND PENSONPRIME Name Title Telephone Sanam Raza Manager, Client Account Management (416) 943-4305 Patrizia Greco Manager (514) 841-6185 CLIENT PRODUCT Rosie Martino Implementation Specialist (514) 841-9665 MANAGEMENT Chelsea Barrett- Tel.: (514) 841-4049 Dunford Implementation Specialist (514) 841-4049 Fax: (514) 841-3749 Jessica Beckett- Email: Campbell Administrator (514) 841-4049 clientrelations@penson.ca Ben Wu Administrator (514) 841-4049 Account Manager(Maternity Han Tran Leave) (514) 841-3693 Connie Chin Account Manager (514) 841-3693 Jacqueline Gordon Account Manager (416) 943-4330 ACCOUNT MANAGEMENT Amy Fang Chen Account Manager 514-841-9665 888-472-6612 Lise Catterall Account Manager (Calgary) cell 403-589-1644 Mimi Cheng Account Manager (Vancouver) 1.866.606.2053 Theresa Blonde Account Manager (416) 943-4317 Scott Gordon Account Manager (416) 943-1543 51

52

COMMUNICATION AND INFORMATION SERVICES Name Title Telephone # Ray Hori Senior VP, CTO (416) 943-4325 INFORMATION TECHNOLOGY Tel.: (514) 841-4000 Toll Free: 1 (866) 435-7010 Fax: (514) 841-3740 Email: support@penson.ca Eric Sauve Manager, IT (514) 841-1333 Simon Benzekri Manager, IS (514) 841-4013 Christine Rolland Manager, Application Development (514) 841-9665 INFORMATION SYSTEMS Tel.: (514) 841-9665 Fax: (514) 841-3750 Denis Vadnais Stephane Auger François Drainville Manager Core Processing & Infrastructure (514) 841-4043 Team Leader, Core Processing & Infrastructure (514) 841-9665 Team Leader, Client Applications & Integration (514) 841-4025 COMPLIANCE Name Title Telephone # Senior Vice President & Chief Susie Rafael Compliance Officer (514) 841-4040 Tel.: (514) 841-9665 Fax: (514) 841-3791 Linda Fortin V-P, Compliance (514) 841-6175 Jean Luc Nguyen Compliance Officer (514) 841-9665 Sophie Tremblay V-P, Sales Compliance (514) 841-9665 Neil Morton Compliance Officer (514) 841-9665 NAME & ADDRESS Name Title Telephone # Daisy Thierry Manager(Maternity Leave) (514) 841-4058 Tel.: (514) 841-4001 Fax: (514) 841-3741 Email: name&address@penson.ca Nancy Brien Team Leader (514) 841-4001 Manon Généreux Administrator (514) 841-4001 Geneviève Campeau Administrator (514) 841-4001 Christine Morin Administrator (514) 841-4001 Jessica Lamy Administrator (514) 841-4001 Jason White Administrator (514) 841-4001 Danielle Croteau Filing Clerk (514) 841-4001 RISK MANAGEMENT Name Title Telephone # Tel.: (416) 943-1546 Fax: (514) 841-3755 Email: credit@penson.ca Sylvain Racine Kostas Dapolias V-P, Integrated Risk Management Manager (514) 841-9665 (514) 841-9665 OPERATIONS Name Title Telephone # Robert McPherson Senior Vice President, National Operations (416) 943-1473 Mark Robinson Vice-President, Montreal Operations (514) 841-6190 Deborah Ferguson Senior Manager of Operations, Toronto (416) 814-2564 53

OPERATIONS Name Title Telephone # Annie Lebel Manager (514) 841-4030 Robert Stangle Supervisor (514) 841-4052 Connie Roccaro Administrator, In (514) 841-4052 ACCOUNT TRANSFERS Tel.: (514) 841-4052 Fax: (514) 841-3752 Email: tsfaccount@penson.ca CREDIT Email: credit@penson.ca DIVIDEND & INTEREST AND DPP Tel.: (514) 841-4033 Fax: (514) 841-3758 Email: div&int@penson.ca MAILING SERVICES Tel.: (514) 841-9665 Fax: (514) 841-3769 / (514) 841-3776 MUTUAL FUNDS Tel.: (514) 841-4060 Fax: (514) 841-3760 Email: mutualfunds@penson.ca PHYSICAL CERTIFICATES Tel.: (514) 841-6178 Fax: (514) 841-3757 Email: certificate@penson.ca PURCHASE & SALES Tel.: (514) 841-9665 Fax: (514) 841-3768 Email: p&s@penson.ca Daphne Briffault Administrator, In (514) 841-4052 Johanne Sage Administrator, Out (514) 841-4052 Amanda Papadopoli Administrator, In (514) 841-4052 Lise Brossard Administrator, In (514) 841-4052 Lucy Blanch Administrator (514) 841-4052 Ronald Bonheur Administrator, Out (514) 841-4052 Jean-Sebastien (514) 841-4052 Trudeau GIC Administrator Paul Milton Administrator (514) 841-4052 Richard Hughes Filling Clerk (514) 841-9665 (514) 841-9665 Jeffrey Barron Supervisor, Credit and Risk x.320 Louis-Phillipe Cantin Risk Analyst (416) 943-1546 (514) 841-9665 Jessica Boudreau Senior Risk Analyst x.303 Nathalie Charette Manager (514)-841-1323 Carole Joe Team Leader (514) 841-4033 Maryse Jutras Analyst (514) 841-4033 Cheryl Downie Administrator (514) 841-4033 Javier Aracena Administrator (514) 841-4033 Damien Canovas Administrator (514) 841-4033 Sara Pelletier Administrator (514) 841-4033 Supervisor, Montreal Mailroom Thomas Watson and Archives (514) 841-9665 Alexander Yoanidis Messenger Toronto (416) 814-2558 Darren Rankine Messenger Toronto (416) 943-4319 Sebastien Gonzalez Messenger Montreal (514) 841-9665 Vickie Normandeau Manager (514) 841-4034 Marie-Helene Martin Team Leader (514) 841-4060 Nadia Tapia Administrator (514) 841-4060 Mélanie Morin Administrator (514) 841-4060 Richard Lacroix Administrator (514) 841-4060 Frederic Lussier Administrator (514) 841-4060 Aicha Zampalegre Administrator (514) 841-4060 Steve Desroches- Ranco Administrator (514) 841-4060 Mario Benoit Manager (514) 841-4009 Brent Carter Team Leader (514) 841-6178 Beatrice Guerrera Administrator (514) 841-6178 Elaine Walter Administrator (514) 841-6178 Susan Farrow Administrator (514) 841-6178 Rita Marks-Gagnon Administrator (514) 841-6178 Sidney Collett Administrator (514) 841-6178 Hélène Tremblay Manager (514) 841-4005 Josie Rizzo Team Leader (514) 841-4048 Pim Manirath Reconciliation Administrator (514) 841-6177 Donna Fiorilli Administrator (514) 841-4036 Frédéric Pruneau Administrator (514) 841-6188 Keith Fisher Administrator (514) 841-1334 Mathieu Desrochers Administrator (514) 841-4047 Michel Monette Administrator (514) 841-4023 54

OPERATIONS Name Title Telephone # Stephen Hislop Manager, Global Reconciliation (416) 943-4331 RECONCILIATION Patricia Jewell-Larsen Supervisor (416) 814-2571 Fax: (514) 841-3777 Ana Domingos Administrator (416) 814-2557 Email: Deborah Walters Administrator (416) 814-2571 reconciliations@penson.ca REGISTERED PLANS Tel.: (514) 841-6179 Fax: (514) 841-3779 Email: rrsp@penson.ca REORGANIZATION Tel.: (514) 841-1332 / (514) 841-4029 Fax: (514) 841-3756 Email: reorg@penson.ca SEGREGATION AND BUY-INS Email: seg@penson.ca Nancy Kolodzie Administrator (416) 943-1538 Mario Benoit Manager (514) 841-4009 Suzanne de Jonge Supervisor (514) 841-4053 Josée Lavoie Analyst (514) 841-6179 Joanne Vermette RIF Agent (514) 841-6179 Guillaume Sauvé RIF Agent (514) 841-6179 Evelyne Latraverse RRSP Agent (514) 841-6179 Sonia Sonny RRSP Administrator (514) 841-6179 Monica Livingstone Manager (on Maternity Leave) (514) 841-4029 Marie-France Dorais Team Leader (514) 841-1332 Caroline Corbin Administrator (514) 841-9665 Geneviève Bégin Administrator (514) 841-9665 Jacqueline Richer Administrator (514) 841-9665 Lorraine Guerin Administrator (514) 841-9665 Marc Bouchard Administrator (514) 841-9665 Nicole Fraser Administrator (514) 841-9665 Angela Navarole Administrator (514) 841-9665 Trevor Hill Supervisor (514) 841-4037 Freddy Huynh Administrator (514) 841-9665 Sarah Quesnel Administrator (514) 841-4003 Ian Sinclair Administrator (416) 814-2569 Rachel Chartrand Adminsitrator (416) 814-2559 Maria Ong Administrator (416) 814-2556 Ivan Chavez Team Leader (416) 814-2553 Heather Richards Administrator (416) 814-2554 SETTLEMENTS (US) Fax: (416) 943-9800 Email: ussettle@penson.ca Julie Bourne DTC Administrator (416) 814-2568 SETTLEMENTS Ana Domingos Administrator (416) 814-2557 (INTERNATIONAL) Jennifer Kowalyshen Administrator (416) 814-2565 Fax: (416) 943-9800 Email: intlsettlements@penson.ca Ben Koeslag Sharon Aliry Administrator Administrator (416) 814-2565 (416) 814-2555 YEAR END Tel.: (514) 841-1324 Fax: (514) 841-3781 Email: yearend@penson.ca Jean-François Blouin Stephane Perreault Supervisor Analyst (514) 841-1324 (514) 841-1324 55

SALES Name Title Telephone # Kevin Vanderheyden SVP, Canadian Business 1 (877) 273-7486 Stephen Cosburn VP, Business Development (416) 943-4332 Chris Chen VP, Business Development (416) 943-4323 Shelly Blum Administrative Assistant 1 (877) 273-7486 Peadar Duignan VP, Product Development (416) 943-1548 TRADING & TREASURY SERVICES Name Title Telephone # BOND DESK Yves Therrien Manager (514) 841-6173 Tel.: (514) 841-6173 / Anna Cosentini Trading Assistant (514) 841-6173 1 (866) 841-6173 Debbie Cisowski Assistant (514) 841-6173 Fax: (514) 841-4051 Email: bonddesk@penson.ca Claude Cyrenne Mathieu Cousineau Trader Trader (514) 841-6173 (514) 841-6173 Equity, options, Trading Desk EXECUTION SERVICES Kelly Chong Manager 416-943-1544 Tel.: (416) 814-2563 / Farah Kamal Trader (416) 814-2563 1 (866) 660-6697 Joseph Skaf Trader (416) 814-2563 Fax: (514) 841-3794 (416) 943-9700 Email: Carol Trieu Trading Administrator #515 tortrading@penson.ca Rolando Garcia Trading Analyst (416) 814-2567 Vincent Joe Trading Analyst (416) 814-2567 FOREIGN EXCHANGE DESK Jean-François Giguère Senior Trader (514) 841-4014 Tel.: (514) 841-4055 / Philip Perenne Junior Trader (514) 841-4014 1 (866) 841-4888 Dmitry Evseev Trader (514) 841-4014 Fax: (514) 841-3763 Alexandre Beauregard Assistant Trader (514) 841-4014 Email: fx@penson.ca Guillaume Payment Assistant Trader (514) 841-4014 INTERNATIONAL EQUITY Jean Quesnel VP, International Equity Sales (514) 841-9101 SALES AND TRADING Tel.: (514) 841-4045 Thierry Carrenard Trader (Global Execution and Integration) (514) 841-9101 Fax: (514) 841-3767 Alexei Arias Trader (Global Execution) (514) 841-9101 NEW ISSUES Tel.: (416) 943-1541 Fax: (514) 841-3748 Deborah Ferguson Manager, Toronto Operations 416 814-2564 SECURITIES LENDING Tel.: (416) 943-1474 Fax: (514) 841-3774 Email: seclending@penson.ca Steve Harvison David Jeffrey Manager Manager (416) 943-1474 (416) 943-1474 SYNDICATION Fax: (514) 841-3796 Ginette Vadnais Syndication Coordinator (416) 943-4320 56