Legal Action: U.S. Bancorp Piper Jaffray Inc; Thomas J. O’Neill, Robert English, Charles Robert Lowry; Andrew William Dunleavy, Brian Hellberg, Richard Troy Chase; Andrew Scott Duff; Addison Lewis Piper; Joseph Daniel Fleming; Paul Peter Karos; David Wood MacLennan; James Louis Chosy; Sandra Gay Sponem; and Ross Eugene Rogers

Legal Action: U.S. Bancorp Piper Jaffray Inc; Thomas J. O'Neill, Robert English, Charles Robert Lowry; Andrew William Dunleavy, Brian Hellberg, Richard Troy Chase; Andrew Scott Duff; Addison Lewis Piper; Joseph Daniel Fleming; Paul Peter Karos; David Wood MacLennan; James Louis Chosy; Sandra Gay Sponem; and Ross Eugene Rogers

2015 U.S. Bancorp Piper Jaffray Inc; Thomas J. O’Neill, Robert English, Charles Robert Lowry; Andrew William Dunleavy, Brian Hellberg, Richard Troy Chase; Andrew Scott Duff; Addison Lewis Piper; Joseph Daniel Fleming; Paul Peter Karos; David Wood MacLennan; James Louis Chosy; Sandra Gay Sponem; and Ross Eugene Rogers Consent Agreement