FILED: NEW YORK COUNTY CLERK 09/08/ :24 AM INDEX NO /2017 NYSCEF DOC. NO. 3 RECEIVED NYSCEF: 09/08/2017

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1 SUPREME COURT OF THE STATE OF NEW YORK COUNTY OF NEW YORK X EFCO PRODUCTS DEFINED CONTRIBUTION NON-UNION PLAN, EFCO PRODUCTS DEFINED CONTRIBUTION UNION PLAN, AND EFCO PRODUCTS PROFIT SHARING/401(K) PLAN, Index. No. Petitioners, AFFIRMATION OF - against - BARRY R. LAX JEANNE H. SELMER, Respondent X I, BARRY R. LAX, an attorney admitted to practice in the State of New York, affirm the following under the penalty of perjury, pursuant to New York Civil Practice Law and Rules ( CPLR ) section 2106: 1. I am an attorney admitted to practice within the State of New York and am a partner at Lax & Neville, LLP, attorneys for Petitioners, the EFCO Products Defined Contribution Non-Union Plan, the EFCO Products Defined Contribution Union Plan, and the EFCO Products Profit Sharing/401(k) Plan (collectively, the EFCO Plans or Petitioners ). As such, I am fully familiar with the facts set forth herein. 2. The EFCO Plans are claimants in an arbitration currently pending before the Financial Industry Regulatory Authority ( FINRA) Dispute Resolution, EFCO Products Defined Contribution Non-Union Plan, et al. v. C.L. King & Associates, Inc. & Candace King Weir, FINRA No , and proceeding in New York, at the FINRA New York Office, One Liberty Plaza, 165 Broadway, 27 th Floor, New York, NY (the Arbitration ). 3. On June 13, 2017, Petitioners filed a Petition, along with a supporting 1 of 28

2 Memorandum of Law and an Affidavit, for an Order to Show Cause in Aid of Arbitration compelling Joseph V. Lotano to comply with a Subpoena Ad Testificandum and Duces Tecum that was executed by the Financial Industry Regulatory Authority ( FINRA ) on September 19, See EFCO Products Defined Contribution Non-Union Plan, et al. v. Joseph V. Lotano, Index No /2017. The Petition arose out of the previously referenced Arbitration. Mr. Lotano was an independent contractor for CL King. The Court issued an Order to Show Cause on June 22, 2017 setting a hearing date and requiring service of Petitioners papers and any answering papers by dates certain. Before the hearing, the parties stipulated to withdraw the Order because Mr. Lotano agreed to appear voluntarily to provide testimony in the underlying Arbitration. On July 13, 2017, finding that the relief requested was resolved by stipulation, the Court denied the petition as moot and dismissed the proceeding. 4. I submit this Affirmation in support of the EFCO Plans second Petition for an Order pursuant to CPLR section 2308(b) compelling another individual and a former employee of CL King, Jeanne H. Selmer ( Ms. Selmer ), to comply with a Subpoena Ad Testificandum that arises out of the same Arbitration and that was executed by FINRA on June 26, 2017 (the Subpoena ). 5. An arbitration hearing in the underlying Arbitration has already begun, with hearing dates held on: July 11, 12, 18, 19, 20, 24, 26, 31, 2017, and August 1, 2, 7, 8, 9, 10, Future hearing dates are currently scheduled for November 8, 9, 10, 20, 21, 2017; December 4, 18, 19, 20, 21, 2017; February 12, 15, 16, 21, 22, 23, 2018; and April 3, 5, 16, 18, 19, 20, 2018 (all dates collectively, Arbitration Hearing ). 6. On or around June 26, 2017, Petitioners counsel spoke to Ms. Selmer via telephone and informed her that the Petitioners intended to call her to testify as a witness in the 2 2 of 28

3 Arbitration, and asked her if she would testify voluntarily. Ms. Selmer declined to testify voluntarily. She also said that she did not wish to speak to Petitioners counsel further and indicated she was not represented by counsel. 7. As a result of the call, Petitioners filed a Letter Motion on June 26, 2017, pursuant to FINRA Code 12512(b), with the Director of FINRA Dispute Resolution and the FINRA Arbitration Panel Chair, Daniel Robbins, requesting the issuance of a Subpoena Ad Testificandum to Ms. Selmer commanding her to appear as a witness at the Arbitration Hearing. Attached hereto as Exhibit A is a true and correct copy of Petitioners Letter Motion. 8. On June 26, 2017, that same day, respondents in the Arbitration, CL King and Weir, indicated they did not object to Petitioners Letter Motion for the issuance of a subpoena, but indicated that Ms. Selmer had not been a CL King employee for many years and, therefore, they did not have control over her appearance. 9. Attached hereto as Exhibit B is a true and correct copy of the Subpoena Ad Testificandum to Ms. Selmer, signed by the FINRA Arbitration Panel Chair, Daniel Robbins, dated June 26, Attached hereto as Exhibit C are true and correct copies of FINRA s Code of Arbitration Procedure for Customer Disputes, Sections 12212, 12511, and For the Court s comparison, also attached are true and correct copies of FINRA s Code of Arbitration Procedure for Industry Disputes, Section 13212, 13511, and Ms. Selmer was an employee and Senior Compliance Examiner with C.L. King, and a Registered Options Principal under FINRA, during the time that Petitioners were customers of CL King. Ms. Selmer signed the Petitioners new account documents on behalf of CL King as the CLKA Principal on the Company Retirement Account Master Account 3 3 of 28

4 Application and as the CLKA Options Principal on the Options Account Approval Form. 12. Petitioners engaged in substantial, good faith efforts to serve Ms. Selmer with the Subpoena, to notify her of her obligation to comply, and to advise her that, if she failed to comply, Petitioners would be forced to institute court proceedings against her to enforce her compliance. 13. Attached hereto as Exhibit D are true and correct copies of (i) a letter dated June 27, 2017 from counsel for Petitioners to Ms. Selmer, attaching the Subpoena Ad Testificandum; (ii) an Affidavit of Service, stating that both the letter and the Subpoena had been served on Ms. Selmer on July 10, 2017; and (iii) an Affidavit of Mailing, stating that both the letter and the Subpoena had been mailed to Ms. Selmer via Regular First Class Mail on July 10, The letter requested that Ms. Selmer immediately contact Petitioners counsel to discuss her testimony at the upcoming Arbitration Hearing. The letter cautioned Ms. Selmer that, if she failed to contact Petitioners counsel, they would be forced to institute court proceedings against her. 14. After the Arbitration Hearing had begun, the undersigned asked CL King and Weir s counsel whether they represented Ms. Selmer in connection with the Subpoena. Respondents counsel indicated that they would contact Ms. Selmer to inquire about her willingness to appear and testify voluntarily at the Arbitration Hearing. Respondents counsel later informed the undersigned that they were unable to reach Ms. Selmer and that they, therefore, do not represent her. 15. To date, Ms. Selmer has failed to respond to the Subpoena Ad Testificandum 1 Service was sought via nail and mail. Per the Affidavit of Service, the process server called upon Ms. Selmer at her last known address without success on June 30, as well as on July 5, 8, and 10. Accordingly, the process server affixed a copy of the Subpoena and letter to the door at the address provided and mailed it to the same address via regular first class mail. 4 4 of 28

5 regarding her testimony at the upcoming Arbitration Hearing. 16. Because the FINRA Code does not have any mechanism for enforcement of the Subpoena against a non-party, such as Ms. Selmer, Petitioners respectfully request that this Court issue an Order to enforce Ms. Selmer s compliance with the Subpoena. Dated: New York, New York September 8, 2017 LAX & NEVILLE LLP /s/ Barry R. Lax Barry R. Lax, Esq. Sandra P. Lahens, Esq. Robert R. Miller, Esq Broadway, 35 th Floor New York, NY Tel: (212) Attorneys for Petitioners 5 5 of 28

6 EXHIBIT A 6 of 28

7 June 26, 2017 VIA ELECTRONIC MAIL Daniel Robbins Panel Chair FINRA Dispute Resolution One Liberty Plaza 165 Broadway, 27 th Floor New York, NY Richard W. Berry c/o Northeast Processing Center EVP & Director of FINRA Dispute Resolution Re: EFCO Products Defined Contribution Non-Union Plan, the EFCO Products Profit Sharing/401(k) Plan and EFCO Products Defined Contribution Union Plan v. CL King & Associates, Inc. and Candace Weir FINRA Case No Dear Chairman Robbins and Mr. Berry: Claimants respectfully submit this Motion for the Issuance of a Subpoena Ad Testificandum to Jeanne H. Selmer pursuant to FINRA Rule 12512, requesting that the Arbitration Panel direct her appearance at the arbitration hearing. Pursuant to FINRA Rule 12512(b), this Motion is being filed with the Director of FINRA Dispute Resolution and the Chair. Claimants provided Respondents counsel with a copy of the attached subpoena and counsel does not object to it. Ms. Selmer was registered with CL King during the time Claimants were customers of the firm and has direct knowledge of the conduct alleged in the Statement of Claim. Ms. Selmer signed the Claimants new account documents, including the Company Retirement Account Master Account Application as CLKA Principal and the Options Account Approval Form as the CLKA Options Principal. She therefore reviewed and approved Claimants CL King retirement and pension accounts. She was also a Registered Options Principal during that time and a Senior Compliance Examiner at the firm. That she has knowledge relevant to Claimants claims, including suitability and supervision, is beyond dispute. 7 of 28

8 Daniel Robbins June 26, 2017 Page 2 of 2 Claimants respectfully request that the Chair issue the attached Subpoena directing Ms. Selmer to appear at the hearing. Thank you. Very truly yours, /s/ Sandra P. Lahens Sandra P. Lahens, Esq. cc: Christopher F. Robertson, Esq., counsel for Respondent (via ) Richard A. Roth, Esq., counsel for Respondent (via ) 8 of 28

9 EXHIBIT A 9 of 28

10 IN ARBITRATION PROCEEDINGS BEFORE FINRA DISPUTE RESOLUTION, INC X EFCO PRODUCTS DEFINED CONTRIBUTION NON-UNION PLAN, EFCO PRODUCTS DEFINED CONTRIBUTION UNION PLAN, AND EFCO PRODUCTS PROFIT SHARING/401(K) PLAN, - against - Claimants, FINRA Case No CL KING & ASSOCIATES, INC. and CANDACE WEIR, Respondents X SUBPOENA AD TESTIFICANDUM To: Jeanne H. Selmer 47 Hudson River Rd. Waterford, NY YOU ARE HEREBY ORDERED pursuant to of the Financial Industry Regulatory Authority Code of Arbitration Procedure for Customer Disputes, CPLR 7505 and 9 U.S.C. 7 to give in-person testimony in a hearing of the above-captioned matter at: FINRA Dispute Resolution One Liberty Plaza 165 Broadway, 27 th Floor New York, NY On July 11, 12, 18, 19, 20, 24, 26, 31, 2017, August 1, 2, 7, 8, 9, 10, 2017; November 7, 8, 9, 10, 20, 21, 2017, December 18, 19, 20, 21, 2017, January 16, 17, 18, 19, 23, 24, 25, 26, 2018, and any and all dates this hearing is thereafter scheduled, on the part of EFCO Products Defined Contribution Non-Union Plan, EFCO Products Defined Contribution Union Plan, and EFCO Products Profit Sharing/401(k) Plan, Claimants in the above-entitled matter. Dated: New York, New York June, 2017 ORDERED BY: Daniel Robbins, Panel Chair 1 10 of 28

11 EXHIBIT B 11 of 28

12 IN ARBITRATION PROCEEDINGS BEFORE FINRA DISPUTE RESOLUTION, INC X EFCO PRODUCTS DEFINED CONTRIBUTION NON-UNION PLAN, EFCO PRODUCTS DEFINED CONTRIBUTION UNION PLAN, AND EFCO PRODUCTS PROFIT SHARING/401(K) PLAN, - against - Claimants, FINRA Case No CL KING & ASSOCIATES, INC. and CANDACE WEIR, Respondents X SUBPOENA AD TESTIFICANDUM To: Jeanne H. Selmer 47 Hudson River Rd. Waterford, NY YOU ARE HEREBY ORDERED pursuant to of the Financial Industry Regulatory Authority Code of Arbitration Procedure for Customer Disputes, CPLR 7505 and 9 U.S.C. 7 to give in-person testimony in a hearing of the above-captioned matter at: FINRA Dispute Resolution One Liberty Plaza 165 Broadway, 27 th Floor New York, NY On July 11, 12, 18, 19, 20, 24, 26, 31, 2017, August 1, 2, 7, 8, 9, 10, 2017; November 7, 8, 9, 10, 20, 21, 2017, December 18, 19, 20, 21, 2017, January 16, 17, 18, 19, 23, 24, 25, 26, 2018, and any and all dates this hearing is thereafter scheduled, on the part of EFCO Products Defined Contribution Non-Union Plan, EFCO Products Defined Contribution Union Plan, and EFCO Products Profit Sharing/401(k) Plan, Claimants in the above-entitled matter. Dated: New York, New York June, 2017 ORDERED BY: Daniel Robbins, Panel Chair 1 12 of 28

13 EXHIBIT C 13 of 28

14 FILED: NEW YORK COUNTY CLERK 09/08/ :24 AM INDEX Page NO /2017 of 1 Print Sanctions (a) The panel may sanction a party for failure to comply with any provision in the Code, or any order of the panel or single arbitrator authorized to act on behalf of the panel. Unless prohibited by applicable law, sanctions may include, but are not limited to: Assessing monetary penalties payable to one or more parties; Precluding a party from presenting evidence; Making an adverse inference against a party; Assessing postponement and/or forum fees; and Assessing attorneys' fees, costs and expenses. (b) The panel may initiate a disciplinary referral at the conclusion of an arbitration. (c) The panel may dismiss a claim, defense or arbitration with prejudice as a sanction for material and intentional failure to comply with an order of the panel if prior warnings or sanctions have proven ineffective. Amended by SR-FINRA eff. Dec. 15, Adopted by SR-NASD eff. April 16, Selected Notice: 07-07, of /12/2017

15 FILED: NEW YORK COUNTY CLERK 09/08/ :24 AM INDEX Page NO /2017 of 1 Print Discovery Sanctions (a) Failure to cooperate in the exchange of documents and information as required under the Code may result in sanctions. The panel may issue sanctions against any party in accordance with Rule 12212(a) for: Failing to comply with the discovery provisions of the Code, unless the panel determines that there is substantial justification for the failure to comply; or Frivolously objecting to the production of requested documents or information. (b) The panel may dismiss a claim, defense or proceeding with prejudice in accordance with Rule 12212(c) for intentional and material failure to comply with a discovery order of the panel if prior warnings or sanctions have proven ineffective. Amended by SR-FINRA eff. Dec. 15, Adopted by SR-NASD eff. April 16, Selected Notice: 07-07, of /12/2017

16 FILED: NEW YORK COUNTY CLERK 09/08/ :24 AM INDEX Page NO /2017 of 2 Print Subpoenas (a) To the fullest extent possible, parties should produce documents and make witnesses available to each other without the use of subpoenas. (1) Arbitrators shall have the authority to issue subpoenas for the production of documents or the appearance of witnesses. (2) Unless circumstances dictate the need for a subpoena, arbitrators shall not issue subpoenas to non-party FINRA members and/or employees or associated persons of non-party FINRA members at the request of FINRA members and/or employees or associated persons of FINRA members. If the arbitrators determine that the request for the appearance of witnesses or the production of documents should be granted, the arbitrators should order the appearance of such persons or the production of documents from such persons or non-party FINRA members under Rule (b) A party may make a written motion requesting that an arbitrator issue a subpoena to a party or a non-party. The motion must include a draft subpoena and must be filed with the Director. The requesting party must serve the motion and draft subpoena on each other party. The requesting party may not serve the motion or draft subpoena on a non-party. (c) If a party receiving a motion and draft subpoena objects to the scope or propriety of the subpoena, that party shall, within 10 calendar days of service of the motion, file written objections with the Director, and shall serve copies on all other parties. The party that requested the subpoena may respond to the objections within 10 calendar days of receipt of the objections. After considering all objections, the arbitrator responsible for deciding discoveryrelated motions shall rule promptly on the issuance and scope of the subpoena. (d) If the arbitrator issues a subpoena, the party that requested the subpoena must serve the subpoena on all parties and, if applicable, on any non-party receiving the subpoena. The party must serve the subpoena on the non-party by first-class mail, overnight mail service, overnight delivery service, hand delivery, or facsimile. 16 of /12/2017

17 FILED: NEW YORK COUNTY CLERK 09/08/ :24 AM INDEX Page NO /2017 of 2 (e) If a non-party receiving a subpoena objects to the scope or propriety of the subpoena, the non-party may, within 10 calendar days of service of the subpoena, file written objections with the Director. The non-party may file the objection by first-class mail, overnight mail service, overnight delivery service, hand delivery, or facsimile. The Director shall forward a copy of the written objections to the arbitrator and all other parties. The party that requested the subpoena may respond to the objections within 10 calendar days of receipt of the objections. The party must serve the response on the non-party and file proof of service with the Director pursuant to Rule 12300(c)(5). After considering all objections, the arbitrator responsible for issuing the subpoena shall rule promptly on the objections. (f) Any party that receives documents in response to a subpoena served on a non-party shall serve notice on all other parties within five days of receipt of the documents. Thereafter, any party may request copies of such documents and, if such a request is made, the documents must be provided within 10 calendar days following receipt of the request by serving them by first-class mail, overnight mail service, overnight delivery service, hand delivery, or facsimile. Parties must not file the documents with the Director. (g) If the arbitrators issue a subpoena to a non-party FINRA member and/or any employee or associated person of a non-party FINRA member at the request of a FINRA member and/or employee or associated person of a FINRA member, the party requesting the subpoena shall pay the reasonable costs of the non-party's appearance and/or production, unless the panel directs otherwise. Amended by SR-FINRA eff. April 3, Amended by SR-FINRA eff. Feb. 18, Amended by SR-FINRA eff. Dec. 15, Adopted by SR-NASD eff. April 2, Selected Notices: 07-07, 07-13, 08-57, 13-04, of /12/2017

18 FILED: NEW YORK COUNTY CLERK 09/08/ :24 AM INDEX Page NO /2017 of 1 Print Sanctions (a) The panel may sanction a party for failure to comply with any provision in the Code, or any order of the panel or single arbitrator authorized to act on behalf of the panel. Unless prohibited by applicable law, sanctions may include, but are not limited to: Assessing monetary penalties payable to one or more parties; Precluding a party from presenting evidence; Making an adverse inference against a party; Assessing postponement and/or forum fees; and Assessing attorneys' fees, costs and expenses. (b) The panel may initiate a disciplinary referral at the conclusion of an arbitration. (c) The panel may dismiss a claim, defense or arbitration with prejudice as a sanction for material and intentional failure to comply with an order of the panel if prior warnings or sanctions have proven ineffective. Amended by SR-FINRA eff. Dec. 15, Adopted by SR-NASD eff. April 16, Selected Notice: 07-07, of /12/2017

19 FILED: NEW YORK COUNTY CLERK 09/08/ :24 AM INDEX Page NO /2017 of 1 Print Discovery Sanctions (a) Failure to cooperate in the exchange of documents and information as required under the Code may result in sanctions. The panel may issue sanctions against any party in accordance with Rule 13212(a) for: Failing to comply with the discovery provisions of the Code, unless the panel determines that there is substantial justification for the failure to comply; or Frivolously objecting to the production of requested documents or information. (b) The panel may dismiss a claim, defense or proceeding with prejudice in accordance with Rule 13212(c) for intentional and material failure to comply with a discovery order of the panel if prior warnings or sanctions have proven ineffective. Amended by SR-FINRA eff. Dec. 15, Adopted by SR-NASD eff. April 16, Selected Notice: 07-07, of /12/2017

20 FILED: NEW YORK COUNTY CLERK 09/08/ :24 AM INDEX Page NO /2017 of 2 Print Subpoenas (a) To the fullest extent possible, parties should produce documents and make witnesses available to each other without the use of subpoenas. (1) Arbitrators shall have the authority to issue subpoenas for the production of documents or the appearance of witnesses. (2) Unless circumstances dictate the need for a subpoena, arbitrators shall not issue subpoenas to non-party FINRA members and/or employees or associated persons of non-party FINRA members at the request of FINRA members and/or employees or associated persons of FINRA members. If the arbitrators determine that the request for the appearance of witnesses or the production of documents should be granted, the arbitrators should order the appearance of such persons or the production of documents from such persons or non-party FINRA members under Rule (b) A party may make a written motion requesting that an arbitrator issue a subpoena to a party or a non-party. The motion must include a draft subpoena and must be filed with the Director. The requesting party must serve the motion and draft subpoena on each other party. The requesting party may not serve the motion or draft subpoena on a non-party. (c) If a party receiving a motion and draft subpoena objects to the scope or propriety of the subpoena, that party shall, within 10 calendar days of service of the motion, file written objections with the Director, and shall serve copies on all other parties. The party that requested the subpoena may respond to the objections within 10 calendar days of receipt of the objections. After considering all objections, the arbitrator responsible for deciding discoveryrelated motions shall rule promptly on the issuance and scope of the subpoena. (d) If the arbitrator issues a subpoena, the party that requested the subpoena must serve the subpoena on all parties and, if applicable, on any non-party receiving the subpoena. The party must serve the subpoena on the non-party by first-class mail, overnight mail service, overnight delivery service, hand delivery, or facsimile. 20 of /12/2017

21 FILED: NEW YORK COUNTY CLERK 09/08/ :24 AM INDEX Page NO /2017 of 2 (e) If a non-party receiving a subpoena objects to the scope or propriety of the subpoena, the non-party may, within 10 calendar days of service of the subpoena, file written objections with the Director. The non-party may file the objection by first-class mail overnight mail service, overnight delivery service, hand delivery, or facsimile. The Director shall forward a copy of the written objections to the arbitrator and all other parties. The party that requested the subpoena may respond to the objections within 10 calendar days of receipt of the objections. The party must serve the response on the non-party and file proof of service with the Director pursuant to Rule 13300(c)(4). After considering all objections, the arbitrator responsible for issuing the subpoena shall rule promptly on the objections. (f) Any party that receives documents in response to a subpoena served on a non-party shall serve notice on all other parties within five days of receipt of the documents. Thereafter, any party may request copies of such documents and, if such a request is made, the documents must be provided within 10 calendar days following receipt of the request by serving them by first-class mail, overnight mail service, overnight delivery service, hand delivery, or facsimile. Parties must not file the documents with the Director. (g) If the arbitrators issue a subpoena to a non-party FINRA member and/or any employee or associated person of a non-party FINRA member at the request of a FINRA member and/or employee or associated person of a FINRA member, the party requesting the subpoena shall pay the reasonable costs of the non-party's appearance and/or production, unless the panel directs otherwise. Amended by SR-FINRA eff. April 3, Amended by SR-FINRA eff. Feb. 18, Amended by SR-FINRA eff. Dec. 15, Adopted by SR-NASD eff. April 2, Selected Notices: 07-07, 07-13, 08-57, 13-04, of /12/2017

22 EXHIBIT D 22 of 28

23 June 27, 2017 VIA PERSONAL SERVICE Jeanne H. Selmer 47 Hudson River Rd. Waterford, NY Re: EFCO Products Defined Contribution Non-Union Plan, the EFCO Products Profit Sharing/401(k) Plan and EFCO Products Defined Contribution Union Plan v. CL King & Associates, Inc. and Candace Weir FINRA Case No Dear Ms. Selmer: This firm represents Claimants in the above-referenced matter. Enclosed please find a Subpoena Ad Testificandum executed by the Financial Industry Regulatory Authority Panel Chairperson, Daniel Robbins. The Subpoena directs your appearance at the impending arbitration hearing dates: July 11, 12, 18, 19, 20, 24, 26, 31, 2017, August 1, 2, 7, 8, 9, 10, 2017; November 7, 8, 9, 10, 20, 21, 2017, December 18, 19, 20, 21, 2017, January 16, 17, 18, 19, 23, 24, 25, 26, 2018, and all days this hearing is scheduled thereafter. Please contact our office immediately to discuss the date of your appearance. Given that the arbitration hearing is fast-approaching, we will be forced to institute court proceedings against you to enforce your compliance with the Subpoena if you do not contact us by Thursday, July 6, of 28

24 Jeanne H. Selmer June 27, 2017 Page 2 of 2 We thank you in advance for your anticipated cooperation. questions, please do not hesitate to contact me at (212) Should you have any Thank you. Very truly yours, /s/ Sandra P. Lahens Sandra P. Lahens, Esq. cc: Christopher F. Robertson, Esq., counsel for Respondent (via ) Richard A. Roth, Esq., counsel for Respondent (via ) 24 of 28

25 EXHIBIT A 25 of 28

26 IN ARBITRATION PROCEEDINGS BEFORE FINRA DISPUTE RESOLUTION, INC X EFCO PRODUCTS DEFINED CONTRIBUTION NON-UNION PLAN, EFCO PRODUCTS DEFINED CONTRIBUTION UNION PLAN, AND EFCO PRODUCTS PROFIT SHARING/401(K) PLAN, - against - Claimants, FINRA Case No CL KING & ASSOCIATES, INC. and CANDACE WEIR, Respondents X SUBPOENA AD TESTIFICANDUM To: Jeanne H. Selmer 47 Hudson River Rd. Waterford, NY YOU ARE HEREBY ORDERED pursuant to of the Financial Industry Regulatory Authority Code of Arbitration Procedure for Customer Disputes, CPLR 7505 and 9 U.S.C. 7 to give in-person testimony in a hearing of the above-captioned matter at: FINRA Dispute Resolution One Liberty Plaza 165 Broadway, 27 th Floor New York, NY On July 11, 12, 18, 19, 20, 24, 26, 31, 2017, August 1, 2, 7, 8, 9, 10, 2017; November 7, 8, 9, 10, 20, 21, 2017, December 18, 19, 20, 21, 2017, January 16, 17, 18, 19, 23, 24, 25, 26, 2018, and any and all dates this hearing is thereafter scheduled, on the part of EFCO Products Defined Contribution Non-Union Plan, EFCO Products Defined Contribution Union Plan, and EFCO Products Profit Sharing/401(k) Plan, Claimants in the above-entitled matter. Dated: New York, New York June, 2017 ORDERED BY: Daniel Robbins, Panel Chair 1 26 of 28

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NASD CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES

NASD CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES As of September 10, 2008 2 TABLE OF CONTENTS Part I Interpretive Material, Definitions, Organization, and Authority IM-13000. Failure to Act Under