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Case 0:16-Cv-60284-WPD Document 38 Entered on FLSD Docket 08/08

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Case 0:16-Cv-60284-WPD Document 38 Entered on FLSD Docket 08/08 Case 0:16-cv-60284-WPD Document 38 Entered on FLSD Docket 08/08/2018 Page 1 of 23 Case 0:16-cv-60284-WPD Document 38 Entered on FLSD Docket 08/08/2018 Page 2 of 23 Case 0:16-cv-60284-WPD Document 38 Entered on FLSD Docket 08/08/2018 Page 3 of 23 Case 0:16-cv-60284-WPD Document 38 Entered on FLSD Docket 08/08/2018 Page 4 of 23 Case 0:16-cv-60284-WPD Document 38 Entered on FLSD Docket 08/08/2018 Page 5 of 23 Case 0:16-cv-60284-WPD Document 38 Entered on FLSD Docket 08/08/2018 Page 6 of 23 Case 0:16-cv-60284-WPD Document 38 Entered on FLSD Docket 08/08/2018 Page 7 of 23 Case 0:16-cv-60284-WPD Document 38 Entered on FLSD Docket 08/08/2018 Page 8 of 23 Case 0:16-cv-60284-WPD Document 38 Entered on FLSD Docket 08/08/2018 Page 9 of 23 Case 0:16-cv-60284-WPD Document 38 Entered on FLSD Docket 08/08/2018 Page 10 of 23 Case 0:16-cv-60284-WPD Document 38 Entered on FLSD Docket 08/08/2018 Page 11 of 23 Case 0:16-cv-60284-WPD Document 38 Entered on FLSD Docket 08/08/2018 Page 12 of 23 Case 0:16-cv-60284-WPD Document 38 Entered on FLSD Docket 08/08/2018 Page 13 of 23 Case 0:16-cv-60284-WPD Document 38 Entered on FLSD Docket 08/08/2018 Page 14 of 23 Case 0:16-cv-60284-WPD Document 38 Entered on FLSD Docket 08/08/2018 Page 15 of 23 Case 0:16-cv-60284-WPD Document 38 Entered on FLSD Docket 08/08/2018 Page 16 of 23 Case 0:16-cv-60284-WPD Document 38 Entered on FLSD Docket 08/08/2018 Page 17 of 23 Case 0:16-cv-60284-WPD Document 38 Entered on FLSD Docket 08/08/2018 Page 18 of 23 Case 0:16-cv-60284-WPD Document 38 Entered on FLSD Docket 08/08/2018 Page 19 of 23 Case 0:16-cv-60284-WPD Document 38 Entered on FLSD Docket 08/08/2018 Page 20 of 23 Case 0:16-cv-60284-WPD Document 38 Entered on FLSD Docket 08/08/2018 Page 21 of 23 Case 0:16-cv-60284-WPD Document 38 Entered on FLSD Docket 08/08/2018 Page 22 of 23 Case 0:16-cv-60284-WPD Document 38 Entered on FLSD Docket 08/08/2018 Page 23 of 23 Case 0:16-cv-60284-WPD Document 38-1 Entered on FLSD Docket 08/08/2018 Page 1 of 9 EXHIBIT "A" Case 0:16-cv-60284-WPD Document 38-1 Entered on FLSD Docket 08/08/2018 Page 2 of 9 Passport Non-Discretionary Client Agreement —RJFSA J~g'sset Managemen(Services 0 1 3 5 3J I I~M~ Perm ¹ Aededlii ¹ FINANCIAL SERVICES ADVISORS, INC A Ilesfsleied Isveslmesl savis ~ i . is * iv, ~TLV I TLN I(af82 ¹ Sisnen FA ¹ Speed bisi ¹ THls AGREEMENT is between Caleb C Wistar 8 Linda J Wlstar „('client") and Raymond James Rnancial Services Advisors, Inc. (hereinafter referred to as "RJFSA"). Client acknowledges that the services prowded under this Agreement will be provided by an investment adviser representative of RJFSA, who may also be registered as a securities agent of Raymond James Financial Services, Inc ("RJFS"),RJFS Is a registered broker-dealer, and RJFSA is a registered investment adviser with the Sscuritles and Exchange Commission T5esP4((2%S;:HSFS'to,AS)rd.*s as Ff)j(GWS: ~ Execution snd Administrative Services —By signing this Agreemsnl and upon lhe deposit of cash and/or securities in the RJFS custodial account, RJFSA shell establish an investment advisory account in the name of Client ("Account" ) in accordance viith the terms of this Agreement. RJFS is hereby appointed by Ghent as sole and exclusive broker with respect to the Account for the execution of purchase and sale transactions Raymond James & Assowates, Inc ("RJA'), a corporate affiliate of RJFSA and RJFS and a member of the New York Stock Exchange, acts as the cleansing agent in the execution of said transactions. RJA will not act as an investment adviser on the Account. RJFS and)or RJA will provide various administrative services which include determining the fair market value of assets held in Client's Account snd, at least quarterly, produce a statement for Client detailing Account assets, transactions, receipt and disbursement of funds, interest and dividends received and gain or loss by secunty as well as for the total Account, Duties of RJFSA —RJFSA, through its Investment Adviser Representative(s), will provide Client non-discretionary investment advisory services, including portfolio reviews and recommendations. Investments which will be included in the asset vatue of Client's Account for the purpose of calculating the fee compensation to RJFsA for advisory services are hereinafter referred to as eFse Investments" These Investments include openwnd mutual funds offered with no sales commission or load, pubkcly traded closed-end mutual funds, exchange-traded products, common snd preferred stocks, American Depository Receipts, options contracts, real estate investment trusts, corporate bonds, U.S, Government and Government agency bonds, mortgage backed and municipal bonds, and any other investment that may, from time to time, be designated as a Fee investment, For the purposes of this Agreemsnt, the term "Account Value" shall moon the total absolute vacua of Fea Invesimsnts and AdmtntstrattvtvOnty Investments in the Account, long or short, plus all credit balances, with no offset for any margin or debit balances. Please refer to RJFSA's Form ADV Part 2A for additional information Other investments may be bought or sold by Chant in the Account but will be defined as "Fee Exempt investments". These Fee Exempt Investments generally include nsw or secondary securities offerings, inrfudlng brokered certificates of deposit Should Client buy any of these securities, Client will pay, directly or indirectly, a commission which is defined by the terms of the offering as stated in the prospectus or trade confirmation for the security. Unless otherwise agreed to by Client and RJFSA, said investmsnts will be exempt from Inclusion ln the Account Value subject to Advisory Fees for a period of twelve {12)months from date of purchase. After a twelve (12) month perio from the date of purchase, the applicable Fee Exempt Investmenls will revert to Fee Invsstrnsnts. Certain investments, when transferred mto or held within ths Account, or as otherwise agreed to by Ghent and RJFSA, will be designated "Administrative.Only Investments". Said investments are held for administrative purposes only, and will be exempt from the Advisory Fse. The total Account Value will be used when determining the respective billable rate fcr Fee Investments. Please refer to RJFSA's Form ADV Part 2A for additional information; Securities Custodv —At no additional charge, RJFS shall facihtate the maintenance of custody of securities positions for the Account through RJA, includmg holding securities m nominee name and crediting interest and dividends received on said securities to C!ient's Account Securities Srokeraae Remuneration —Ckent agrees to pay RJFS for transaction execution and cleanng services 4 flat fee psr transaction in Fse Investments based on the type of secunty involved, hereinafter referred to as "Processing Fee". Commissions will be charged on the sale of any investments which are Fee Exempt Investments, with the exception of the sale of any securities originally purchased as new or secondary offerings. 10M 01353RJFSA DCT 3I14 Page I of 8 Case 0:16-cv-60284-WPD Document 38-1 Entered on FLSD Docket 08/08/2018 Page 3 of 9 Account s j'Sct/bdg)b of Chastise fqr Execution snd Clearing of Transactions In Passport Fee investrhbn'ts Security Type Processing Fee Stocks: Listed snd OTC/Cltx;ed End and Exchange Traded Funds $9.95 Mutuel Funds (applicable to purchases only) $30.00 Participating Funds Waived Partner Funds $30.00 Non-Partner Funds $40,00 Unit Investment Trust/Real Estate Investmsnt Trust $9,95 Preferred Stock $9.95 Option Contracts $30.00 Bonds Govemmenb Corporate, Municipal 3i Mortgage Backed $30.00 I Select fund companies have agreed to pay RJFS administratws fees in consideration for RJFS's waiver of the above $30 Prccessmg Fee on certain mutual fund purchases ("Participating Funds" ). Select fund companies have agreed to psy marketing service and support fees tc RJFS ("Partner Funds" ). "Non-Partner Funds" do not participate in RJFS's Education and Marketing Support program. Effective May 5, 2014, ths above Processing Fees will be applied to purchases of Partner and Non-Partner Funds. ERISA Plan and SIMPLE IRA Accounts will be charged $30 for Partner and Non-Partner Fund purchases, Please note that funds may change their Participating, Partner or Non-Partner elatus at any time, so please consult with your Investment Adviser Representative to verify their status periodically. You may request a list of Participating Funds and Partner Funds from your Investment Adviser Representative or msy refer to RJFSA's Form ADV Part 2A for additional information In addition to the foregoing Processing Fess, Client will incur a charge per transaction for handling. Client may also incur charges for other services provided by RJFS, through RJA, not directly related to the execution and clearing of transactions including, but not limited to, IRA custodial fees, safekeeping tees, Interest charges on margin loans, and fess for legal or courtesy transfers of securities Client undemtands the investment Adviser Representative will not shaie in any prorssslng Fse. Processing Fees are not commissions, but are to defray the expenses incurred in facllitai/ng the executlOn and cleanng of Client's portfolio transactions The actual expense incurred by RJFS for any given transaction may be less thaii or greater than the Prorxrsslng Fes.
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