Jory has put in place a process for handling in a fair and straight forward manner any complaints that you might have. Should you have a complaint, Jory suggests that you proceed as follows:

Contact your Investment Advisor

Complaints may amount to simple misunderstandings which can often be settled directly with your investment advisor. So Jory encourages you first to contact him or her with your questions or concerns.

Put your Complaint in Writing

If as a result of your contacting your investment advisor, you do not feel that the matter of your complaint has been resolved, you should put the complaint in writing and send it to Jory, attention your investment advisor, with a copy to the attention of Allen Hosey, Jory’s designated complaints officer. After Jory has received your complaint, it will be reviewed within 5 business days. You will receive Jory’s acknowledgment of receipt within that time, which will include a suggestion as to what the next phases of the process might be and the time lines that could be involved.

Other Options

If at any time your complaint is not being handled to your satisfaction, there are other formal options open to you under applicable securities laws and regulations of which your investment advisor or Jory’s designated complaints officer will advise you on request.