Pennsylvania

The Securities Fraud Lawyers at Greco & Greco, P.C. are available to represent Pennsylvania residents in disputes with their financial advisors and securities salespersons, involving claims of suitability, violations of FINRA Rules, negligence, fraud, misrepresentation, ponzi schemes, breach of fiduciary duty, professional malpractice, and other claims. Please contact Scott Greco for a free attorney consultation about your case. We serve clients from all areas of Pennsylvania, including Philadelphia, Pittsburgh, Allentown, Erie, Reading, Scranton, and Bensalem.

If an individual investor has a dispute with a FINRA brokerage firm or stock broker, he/she most likely will have to arbitrate through FINRA's Dispute Resolution system. FINRA Arbitration holds arbitration hearings in two Pennsylvania cities: Philadelphia and Pittsburgh.

The Pennsylvania Department of Banking and Securities in Harrisburg, Pennsylvania regulates the sales of securities in the state of Pennsylvania. Its website provides information on state securities Statutes and Rules, and information on how to file a complaint.

Common Legal Claims by investors against their financial advisors in Pennsylvania are:

1. Suitability. Prior to recommending the purchase of specific investments or a specific investment strategy to a customer, a stock broker is required to determine that the investments are suitable to that particular investor. A suitability determination is based upon many different factors such as age, investment objectives, risk tolerance, employment situation, needs, income, assets, and investment experience. If an advisor’s recommendations of unsuitable investments result in the investor incurring significant losses, that investor may have a suitability claim against the broker and his/her firm.
2. Churning. Churning occurs when a broker exercises control over an account and allows the broker's interest in making commissions to override the investor's interests in the account. When a broker makes a buy or sell recommendation for an account, that broker should have the investor's best interests based on their investment objectives in mind. If the broker makes excessive buy and sell recommendations for the purposes of generating commissions for the broker by each buy and sell, that broker is engaged in churning the account. Excessive turnover in the assets of the account and/or a high cost to equity percentage are often a sign of churning.
3. Unauthorized Trading. Generally, an investor can have two kinds of an account, non-discretionary and discretionary. In a typical non-discretionary account, the broker must consult with and obtain the consent of the customer prior to making a trade in the account. Unauthorized trading occurs when a broker makes trades in a non-discretionary account without the consent of the customer.
4. Securities Fraud. Most of the claims in this list are subsets of securities fraud which is employing a device, scheme, or artifice to defraud, or obtaining money by means of untrue statements of material facts and failure to state material facts in violation of state blue sky / securities laws or federal law (Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5). If a broker makes false statements to an investor or fails to advise the investor of certain important facts, the investor may be able to recover losses incurred resulting from this fraud.
5. Margin Disputes. Margin trading involves borrowing money from the brokerage firm to purchase securities greater in value than the equity in an investor's account. Due to the risky nature of trading on the margin, disputes with brokers often arise as a result of significant losses. If a broker trades on the margin without the knowledge or consent of the investor, the investor may be able to recover the losses resulting from the fraud.
6. Ponzi Scheme Investment Scams. Ponzi schemes generally involve promises of high returns by salespersons over short periods of time, but in reality result in stealing from Peter to pay Paul. Because returns to investors in ponzi schemes are often paid out of new investment monies from new investors, the scheme will ultimately fall apart when the new investors dry up, leaving all investors often holding a worthless investment. Financial Advisors and their brokerage firms who sell ponzi scheme fraudulent investments may be found liable for selling unsuitable investments, securities fraud, sale of unregistered securities, failure to supervise, and other legal violations.
7. Failure to Supervise Broker. FINRA firms have a duty to supervise their registered brokers, and their failure to do so may form the basis of various legal claims against them. FINRA Rule 3110 states: Each member shall establish and maintain a system to supervise the activities of each registered representative, registered principal, and other associated person that is reasonably designed to achieve compliance with applicable securities laws and regulations, and with applicable FINRA Rules. Final responsibility for proper supervision shall rest with the member.

Examples of legal grounds for liability of Broker-Dealers in these situations include:

• Under tort and agency law, principals can be found liable for the acts of their agents even if they are entirely innocent and have received no benefit from the transaction;
• A broker's Broker-Dealer can also be found liable as a control person of that broker under state and federal securities laws; and
• Claims can be pursued in arbitration based on violations of FINRA rules including Rules related to supervision, suitability, and outside business activities.

Obviously, this list is by no means comprehensive and all of the legal requirements of the above claims stated are not completely set out. This web site is not intended to give legal advice or create an attorney-client relationship. Please contact our securities lawyers for a free consultation if you believe your financial advisor broker may be liable under one of the above claims, or for other wrongful conduct.

ABERDEEN FUND DISTRIBUTORS, LLC
1735 MARKET STREET, 32 ND FLOOR, PHILADELPHIA, PA 19103

ALLEGHENY INVESTMENTS, LTD.
STONE QUARRY CROSSING, 811 CAMP HORNE ROAD, SUITE 100, PITTSBURGH, PA 15237

AMBASSADOR FINANCIAL GROUP, INC.
1605 NORTH CEDAR CREST BOULEVARD, SUITE 508, ALLENTOWN, PA 18104

AMERICAN FINANCIAL ASSOCIATES, INC.
1700 NORTHAMPTON STREET, SUITE A, EASTON, PA 18042-1659
Mailing Address: 1700 NORTHAMPTON STREET, SUITE A, EASTON, PA 18042-1659

ANTHEM SECURITIES, INC.
1550 CORAOPOLIS HEIGHTS RD., SUITE 300, MOON TOWNSHIP, PA 15108

ARIANE CAPITAL PARTNERS LLC
501 CANDACE LANE, VILLANOVA, PA 19085

BEACONSFIELD FINANCIAL SERVICES, INC.
SOUTHPOINTE INDUSTRIAL PARK, 160 TECHNOLOGY DR., SUITE 101, CANONSBURG, PA 15317
Mailing Address: SOUTHPOINT INDUSTRIAL PARK, 160 TECHNOLOGY DR., SUITE 10, CANONSBURG, PA 15317

BEDMINSTER FINANCIAL GROUP, LIMITED
4920 YORK ROAD, SUITE 2DD1, PO BOX 295, HOLICONG, PA 18928-0295

BERWYN FINANCIAL SERVICES CORP.
1189 LANCASTER AVE, BERWYN, PA 19312-1243
Mailing Address: 1189 LANCASTER AVE., BERWYN, PA 19312-1243

BESTVEST INVESTMENTS, LTD.
600 NORTH JACKSON STREET, SUITE 305, MEDIA, PA 19063

BILL FEW SECURITIES, INC.
107 MT. NEBO POINTE, SUITE 200, PITTSBURGH, PA 15237

BIONDO ASSET MANAGEMENT LLC
540 ROUTE 6 & 209, P.O. BOX 909, MILFORD, PA 18337

BIRCHWOOD SECURITIES CORP.
1900 MARKET ST, SUITE 616, PHILADELPHIA, PA 19103
Mailing Address: 106 NORTH LAKESIDE DRIVE EAST, MEDFORD, NJ 08055

BLACKWOLF ADVISORS
222 EAST MONTGOMERY AVE., SUITE 305, ARDMORE, PA 19003

BNY MELLON DISTRIBUTORS INC.
760 MOORE ROAD, KING OF PRUSSIA, PA 19406

BOE SECURITIES INC.
2 PENN CENTER PLAZA, 1500 JFK BLVD., SUITE 430, PHILADELPHIA, PA 19102

BOENNING & SCATTERGOOD, INC.
4 TOWER BRIDGE-200 BARR HARBOR DR-NO.300, WEST CONSHOHOCKEN, PA 19428-2979

BPU INVESTMENT MANAGEMENT INC.
ONE OXFORD CENTRE, 301 GRANT STREET, SUITE 3300, PITTSBURGH, PA 15219

BRANDYWINE INVESTMENT SECURITIES, LLC
2 PONDS EDGE DRIVE, CHADDS FORD, PA 19317-9667

BRINKER CAPITAL SECURITIES, INC.
1055 WESTLAKES DRIVE, SUITE 250, BERWYN, PA 19312

BRYAN FUNDING, INC.
125 TECHNOLOGY DRIVE, SUITE 105, CANONSBURG, PA 15317-9557

BURKE, LAWTON, BREWER & BURKE, LLC
516 N BETHLEHEM PIKE, AMBLER, PA 19002
Mailing Address: P.O. BOX 950, SPRING HOUSE, PA 19477

CAMELOT INVESTMENT ADVISERS, LTD.
995 OLD EAGLE SCHOOL ROAD, SUITE 320, WAYNE, PA 19087

CMS INVESTMENT RESOURCES, LLC
308 E. LANCASTER AVENUE, SUITE 300, WYNNEWOOD, PA 19096-2145

COHEN & COMPANY SECURITIES, LLC
2929 ARCH STREET, 17TH FLOOR, PHILADELPHIA, PA 19104
Mailing Address: 2929 ARCH STREET, SUITE 1703, PHILADELPHIA, PA 19104

COMMONWEALTH ADVISORS, INC.
1017 MUMMA ROAD, SUITE 302, LEMOYNE, PA 17043

CORESTONE DISTRIBUTORS, LLC
555 EAST LANCASTER AVENUE SUITE 110, RADNOR, PA 19087

COVENTRY SECURITIES, LLC
7111 VALLEY GREEN ROAD, FORT WASHINGTON, PA 19034

CRESAP, INC.
259 N. RADNOR-CHESTER RD. STE. 230, RADNOR, PA 19087

CURTIS SECURITIES, LLC
ONE LIBERTY PLACE, 1650 MARKET STREET, SUITE 4400, PHILADELPHIA, PA 19103

CV BROKERAGE, INC
300 CONSHOHOCKEN STATE ROAD, SUITE 200, WEST CONSHOHOCKEN, PA 19428

DAUTRICH, SEILER FINANCIAL SERVICES, INC.
397 DOGWOOD LANE, NAZARETH, PA 18064

DELAWARE DISTRIBUTORS, L.P.
2005 MARKET ST, 29TH FLOOR, PHILADELPHIA, PA 19103
Mailing Address: 2005 MARKET STREET, 29TH FLOOR, PHILADELPHIA, PA 19103

DELPHX SERVICES CORPORATION
5 GREAT VALLEY PARKWAY, MALVERN, PA 19355

DIRECTED SERVICES LLC
1475 DUNWOODY DRIVE, WEST CHESTER, PA 19380

DREXEL HAMILTON, LLC
2000 MARKET STREET, SUITE 780, PHILADELPHIA, PA 19103

E. POWELL & COMPANY INC.
200 NORTHPOINTE CIRCLE, SUITE 304, SEVEN FIELDS, PA 1604

ECM SECURITIES CORP.
4740 PEACH STREET, ERIE, PA 16509-2008

EDGEWOOD SERVICES, INC.
FEDERATED INVESTORS TOWER, 1001 LIBERTY AVENUE, PITTSBURGH, PA 15222-3779

EMERGING GROWTH EQUITIES, LTD.
1150 FIRST AVE, PARK VIEW TOWER, SUITE 600, KING OF PRUSSIA, PA 19406-2816

FAIRHOLME DISTRIBUTORS, INC.
760 MOORE ROAD, KING OF PRUSSIA, PA 19406

FAIRMOUNT PARTNERS LP
100 FOUR FALLS CORPORATE CENTER, SUITE 660, WEST CONSHOHOCKEN, PA 19248

FARRELL MARSH & CO.
500 THE TIMES BLDG, SUBURBAN SQUARE, ARDMORE, PA 19003

FEDERATED SECURITIES CORP.
FEDERATED INVESTORS TOWER, 1001 LIBERTY AVENUE, PITTSBURGH, PA 15222-3779

FIDUCIARY ADVISORS, LLC
1500 MARKET STREET, SUITE 3310E, PHILADELPHIA, PA 19102

FIRST AMERICAN MUNICIPALS, INC.
606 CORPORATE DRIVE, LANGHORNE, PA 19047-8013

FORTUNE FINANCIAL SERVICES, INC.
1010 3RD AVENUE, NEW BRIGHTON, PA 15066-2012
Mailing Address: P.O. BOX 296, NEW BRIGHTON, PA 15066-0296

FS2 CAPITAL PARTNERS, LLC
2929 ARCH STREET, SUITE 675, CIRA CENTRE, PHILADELPHIA, PA 19104

FUND INVESTORS, INC.
636 SCALP AVENUE, JOHNSTOWN, PA 15904
Mailing Address: 636 SCALP AVENUE, JOHNSTON, PA 15904

GIRARD CAPITAL, LLC
555 CROTON ROAD, SUITE 210, KING OF PRUSSIA, PA 19406

GRANT STREET SECURITIES, INC.
ALLEGHENY BUILDING, 429 FORBES AVE. - SUITE 1800, PITTSBURGH, PA 15219-1604

GRANT WILLIAMS L.P.
1650 MARKET STREET, 53RD FLOOR, PHILADELPHIA, PA 19103

GREENTREE BROKERAGE SERVICES, INC.
1831 CHESTNUT STREET, SUITE 1002, PHILADELPHIA, PA 19103

GREENTREE INVESTMENT SERVICES, INC.
600 WASHINGTON AVENUE, SUITE 200, BRIDGEVILLE, PA 15017-0088
Mailing Address: P.O. BOX 88, BRIDGEVILLE, PA 15017-0088

GRIFFIN FINANCIAL GROUP, LLC
607 WASHINGTON STREET, READING, PA 19603
Mailing Address: 607 WASHINGTON STREET, READING, PA 19603

GUARDIAN INVESTOR SERVICES LLC
7 HANOVER SQUARE, NEW YORK, NY 10004
Mailing Address: 81 HIGHLAND AVE., BETHLEHEM, PA 18017

HARTFORD LIFE DISTRIBUTORS, LLC
1500 LIBERTY RIDGE DRIVE, STE 100, WAYNE, PA 19087-5592

HARVEST FINANCIAL CORPORATION
1100 SMALLMAN STREET, PITTSBURGH, PA 15222

HAVERFORD TRUST SECURITIES, INC.
THREE RADNOR CORPORATE CENTER STE. 450, RADNOR, PA 19087-4599

HAYDEN STONE & CO., LLC
429 FORBES AVE, SUITE 300, PITTSBURGH, PA 15219

HEFREN-TILLOTSON, INC.
308 SEVENTH AVENUE, PITTSBURGH, PA 15222-3909

HERITAGE FINANCIAL SYSTEMS, INC.
5 GREAT VALLEY PARKWAY, SUITE 334, MALVERN, PA 19355

HIGH SECURITIES, LTD.
1853 WILLIAM PENN WAY, LANCASTER, PA 17605-0008
Mailing Address: P.O. BOX 10008, LANCASTER, PA 17605-0008

HIGHLAND FINANCIAL, LTD.
915 MENOHER BLVD. -STE A, JOHNSTOWN, PA 15905-2800
Mailing Address: 915 MENOHER BLVD.-STE A, JOHNSTOWN, PA 15905-2800

HIGHMARK FUNDS DISTRIBUTORS, INC.
760 MOORE ROAD, KING OF PRUSSIA, PA 19406

HORNOR, TOWNSEND & KENT, INC.
600 DRESHER RD, STE C1C, HORSHAM, PA 19044

HUNTER ASSOCIATES, INC.
436 SEVENTH AVENUE, KOPPERS BUILDING, FIFTH FLOOR, PITTSBURGH, PA 15219-1818
Mailing Address: 436 SEVENTH AVENUE-5TH FLOOR, PITTSBURGH, PA 15219

ALDEN ASSOCIATES, INC.
261 OLD YORK ROAD SUITE 837, JENKINTOWN, PA 19046
Mailing Address: P.O. BOX 744, JENKINTOWN, PA 19046

D. ANDREWS CO.
290 KING OF PRUSSIA ROAD, BLDG 2, SUITE 300, RADNOR, PA 19087

J.P. MCGOWAN & COMPANY INCORPORATED
1631 LOCUST STREET, 5TH FLOOR, PHILADELPHIA, PA 19103

JANNEY MONTGOMERY SCOTT LLC
1801 MARKET STREET, PHILADELPHIA, PA 19103-1675

JOHNSON SECURITIES, INC.
40 LLOYD AVENUE-STE. 102, MALVERN, PA 19355

JRM SECURITIES
1103 POWELL AVENUE, ERIE, PA 16505

KEVIN HART KORNFIELD & COMPANY, INC.
2137 EMBASSY DRIVE STE 105, LANCASTER, PA 17603-2387
Mailing Address: P.O. BOX 6423, LANCASTER, PA 17607-6423

KILDARE CAPITAL, INC.
555 LANCASTER AVENUE, SUITE 540, RADNOR, PA 19087

KRIEBEL GAS & OIL INVESTMENTS CORP.
633 MAYFIELD DRIVE, CLARION, PA 16214
Mailing Address: P.O. BOX 765, CLARION, PA 16214

LIBUCKI & CO., LLC
1900 MARKET STREET SUITE 113, SUITE 113, PHILADELPHIA, PA 19103
Mailing Address: 1900 MARKET STREET, SUITE 113, PHILADELPHIA, PA 19103

LINCOLN FINANCIAL DISTRIBUTORS, INC.
130 N RADNOR-CHESTER RD, RADNOR, PA 19087
Mailing Address: 350 CHURCH STREET, HARTFORD, CT 06103

LINCOLN INVESTMENT
FORST PAVILION, 218 GLENSIDE AVENUE, WYNCOTE, PA 19095-1595

MANAGED ACCOUNT SERVICES, LLC
565 E. SWEDESFORD RD., SUITE 310, WAYNE, PA 19087

MANOR HOUSE CAPITAL LLC
2005 MARKET STREET, 8TH FLOOR, SUITE 820, PHILADELPHIA, PA 19103

MARKS BAUGHAN SECURITIES LLC
ONE TOWER BRIDGE, CONSHOHOCKEN, PA 19428

MCDERMOTT INVESTMENT SERVICES, LLC
26 WEST BROAD STREET, BETHLEHEM, PA 18018
Mailing Address: P.O. BOX 1889, BETHLEHEM, PA 18016

MGI FUNDS DISTRIBUTORS, INC.
760 MOORE ROAD, KING OF PRUSSIA, PA 19406

MID ATLANTIC CAPITAL CORPORATION
1251 WATERFRONT PLACE, SUITE 510, PITTSBURGH, PA 15222-6368

MONEY MANAGEMENT ADVISORY, INC.
102 W. STREET RD, FEASTERVILLE, PA 19053

MUFSON HOWE HUNTER & PARTNERS LLC
1717 ARCH STREET, 32ND FLOOR, PHILADELPHIA, PA 19103

NATIONWIDE FUND DISTRIBUTORS LLC
1000 CONTINTENTAL DRIVE, SUITE 400, KING OF PRUSSIA, PA 19406

NAVAID FINANCIAL SERVICES, INC.
1522 LOCUST ST., FL. 2, PHILADELPHIA, PA 19102

NESTLERODE & LOY, INC.
430 WEST IRVIN AVENUE, STATE COLLEGE, PA 16801-4642
Mailing Address: P.O. BOX 343, STATE COLLEGE, PA 16804-0343

P.J. ROBB VARIABLE CORPORATION
4135 NORTH FRONT STREET, HARRISBURG, PA 17110

PACER FINANCIAL, INC.
16 INDUSTRIAL BLVD, SUITE 201, PAOLI, PA 19301

PAPALIA SECURITIES
2 WALNUT STREET, DANVILLE, PA 17821

PARK CITY CAPITAL, INC.
261 OLD YORK RD # 914, JENKINTOWN (MONTGOMERY), PA 19046
Mailing Address: 261 OLD YORK RD #914, JENKINTOWN (MONTGOMERY), PA 19046

PETER ELISH INVESTMENTS SECURITIES
165 E. PIKE ST., CANONSBURG, PA 15317-1765

PFA SECURITY ASSET MANAGEMENT, INC.
704 LISBURN ROAD, SUITE 102, CAMP HILL, PA 17011

PFM FUND DISTRIBUTORS, INC.
ONE KEYSTONE PLAZA - SUITE 300, N. FRONT & MARKET STS, HARRISBURG, PA 17101
Mailing Address: ONE KEYSTONE PLAZA - SUITE 300, N. FRONT & MARKET STS, HARRISBRUG, PA 17101

PHILADELPHIA BROKERAGE CORPORATION
2 RADNOR CORPORATE CENTER, SUITE 111, 100 MATSONFORD ROAD, RADNOR, PA 19087

PHILADELPHIA FINANCIAL DISTRIBUTION COMPANY
1650 MARKET STREET, 54TH FLOOR, PHILADELPHIA, PA 19103

PHILADELPHIA INVESTORS, LTD.
1528 WALNUT STREET - SUITE 510, PHILADELPHIA, PA 19102

PM SECURITIES, LLC
110 CHADDS FORD COMMONS, CHADDS FORD, PA 19317

PNC CAPITAL MARKETS LLC
225 FIFTH AVENUE, PITTSBURGH, PA 15222
Mailing Address: 225 FIFTH AVENUE, FIFTH FLOOR, PITTSBURGH, PA 15222

PNC INVESTMENTS
620 LIBERTY AVENUE, 26TH FLOOR, PITTSBURGH, PA 15222

PRISOL SECURITIES, INC.
3415 WEST CHESTER PIKE, SUITE 204, NEWTOWN SQUARE, PA 19073

PROFESSIONAL FUNDS DISTRIBUTOR, LLC
760 MOORE ROAD, KING OF PRUSSIA, PA 19406

PROVIDENT PRIVATE CAPITAL PARTNERS, INC.
3527 WEST 26TH STREET, ERIE, PA 16506

PRUDENT BROKERAGE ASSOCIATES
1735 MARKET STREET, SUITE 3902, PHILADELPHIA, PA 19103-7598

PWA SECURITIES, INC.
4900 PERRY HIGHWAY, SUITE 300, PITTSBURGH, PA 15229

QUOIN CAPITAL LLC
1515 MARKET STREET, SUITE 1808, PHILADELPHIA, PA 19102

RADNOR RESEARCH & TRADING COMPANY LLC
290 KING OF PRUSSIA ROAD, RADNOR STATION 2, SUITE 120, RADNOR, PA 19087

RAMPART FINANCIAL SERVICES, INC.
DOYLESTOWN COMMERCE CENTER, 2005 S. EASTON ROAD, SUITE 202, DOYLESTOWN, PA 18901

RAPTOR PARTNERS LLC
ONE NORTH SHORE CENTER, 12 FEDERAL ST., SUITE 201, PITTSBURGH, PA 15212-5700

REGIONAL BROKERS, INC.
1628 JOHN F KENNEDY BLVD, PHILADELPHIA, PA 19103-2925
Mailing Address: 1628 JOHN F KENNEDY BLVD., SUITE 1901, PHILADELPHIA, PA 19103-2925

RESOURCE SECURITIES, INC.
ONE COMMERCE SQUARE, 2005 MARKET STREET, 15TH FLOOR, PHILADELPHIA, PA 19103

RIVER CROSS SECURITES, LLLP
401 CITY AVENUE, SUITE 220, BALA CYNWYD, PA 19004
Mailing Address: 401 CITY AVENUE, SUITE 912, BALA CYNWYD, PA 19004

ROBINSON & ROBINSON, INC.
1337 HAMILTON STREET, ALLENTOWN, PA 18102

RODGERS BROTHERS, INC.
800 CRANBERRY WOODS DRIVE, SUITE 200, CRANBERRY TOWNSHIP, PA 16066

ROTHMAN SECURITIES, INC.
1111 STREET ROAD, SUITE 201, SOUTHAMPTON, PA 18966

SCHNEIDER DOWNS CORPORATE FINANCE, LP
1133 PENN AVENUE, PITTSBURGH, PA 15222

SEI INVESTMENTS DISTRIBUTION CO.
ONE FREEDOM VALLEY DRIVE, OAKS, PA 19456

SESLIA SECURITIES
2107 CRYSTAL GADE 7A, CHARLOTTE AMALIE, ST THOMAS, VI 00802
Mailing Address: 111 S INDEPENDANCE MALL #830, PHILADELPHIA, PA 19106

SGC SECURITIES LP
107 FORREST AVENUE, STE. 11, NARBERTH, PA 19072

SIG BROKERAGE, LP
140 BROADWAY, 47TH FLOOR, NEW YORK, NY 10005
Mailing Address: 401 CITY LANE AVE, BALA CYNWYD, PA 19004

SOLEBURY CAPITAL LLC
400 SOUTH RIVER ROAD,, SUITE 300, NEW HOPE, PA 18938

SPOUTING ROCK CAPITAL ADVISORS, LLC
100 MATSONFORD ROAD, BUILDING FIVE, SUITE 441, RADNOR, PA 19087

SSG CAPITAL ADVISORS, LLC
300 BARR HARBOR DRIVE, SUITE 420, WEST CONSHOHOCKEN, PA 19428

STANLEY LAMAN GROUP SECURITIES, LLC
1235 WESTLAKES DRIVE, SUITE 295, BERWYN, PA 19312

STERLING CAPITAL DISTRIBUTORS, INC.
760 MOORE ROAD, KING OF PRUSSIA, PA 19406

STROUSE, GREENBERG REALTY INVESTMENTS, INC.
200 S BROAD STREET, 3RD FLOOR, THE BELLEVUE, PHILADELPHIA, PA 19102
Mailing Address: 200 S. BROAD STREET, 3RD FLOOR, THE BELLEVUE, PHILADELPHIA, PA 19102

SUSQUEHANNA CAPITAL GROUP
401 CITY AVENUE, SUITE 220, BALA CYNWYD, PA 19004-1122

SUSQUEHANNA FINANCIAL GROUP, LLLP
401 CITY AVE, SUITE 220, BALA CYNWYD, PA 19004-1122

THE KEYSTONE EQUITIES GROUP, L.P.
1003 EGYPT ROAD, OAKS, PA 19456-1155
Mailing Address: P.O. BOX 1155, OAKS, PA 19456-1155

THOMAS M. NIXON & ASSOCIATES, INC.
4775 WALLINGFORD STREET, PITTSBURGH, PA 15213-1711

TRUSTMONT FINANCIAL GROUP, INC.
SCENIC DRIVE PROFESSIONAL CENTER, 200 BRUSH RUN ROAD, SUITE A, GREENSBURG, PA 15601
Mailing Address: SCENIC DRIVE PROFESSIONAL CENTER, 200 BRUSH RUN ROAD, SUITE A, GREENSBURG, PA 15601

U S PARTICIPATIONS LTD.
3909 HARTZDALE DRIVE, SUITE 901, CAMP HILL, PA 17011

UNIVEST INVESTMENTS, INC.
14 N. MAIN STREET, P.O. BOX 64197, SOUDERTON, PA 18964
Mailing Address: 14 N. MAIN STREET, ATTN: ANNETTE KNIBBS, SOUDERTON, PA 18964

VALLEY FORGE ASSET MANAGEMENT CORP.
150 S. WARNER ROAD, SUITE 200, KING OF PRUSSIA, PA 19406
Mailing Address: P.O. BOX 960, VALLEY FORGE, PA 19482

VALLEY NATIONAL INVESTMENTS, INC.
1605 VALLEY CENTER PARKWAY, SUITE 160, BETHLEHEM, PA 18017

VANGUARD MARKETING CORPORATION
100 VANGUARD BLVD, MALVERN, PA 19355
Mailing Address: 400 DEVON PARK DRIVE- A39, WAYNE, PA 19087

VFIC SECURITIES, INC.
1030 OLD VALLEY FORGE ROAD, KING OF PRUSSIA, PA 19406

WESTMINSTER INVESTMENT GROUP, INC.
23 EAST NORTH STREET, NEW CASTLE, PA 16101

WILDWOOD CAPITAL SECURITIES, INC.
373 EAST MAIN STREET, SUITE 100, COLLEGEVILLE, PA 19426

WINDSOR, SHEFFIELD & CO., INC.
489 DEVON PARK DR., SUITE 316, WAYNE, PA 19087
Mailing Address: 489 DEVON PARK DRIVE, SUITE 316, WAYNE, PA 19087