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RAM!! EZ <br />APPENDIXPROPOSER <br />A. Within the past 36 months, has your firm and/or any of its principals been the subject of any investigation relating <br />to the municipal securities industry by the SEC, FINRA, NYSE, or any other State or Federal organization that oversees, <br />regulates, licenses or is otherwise responsible for the municipal securities industry? <br />Neither the Firm nor any partner or employee of the Firm, have been the subject of any investigation, <br />litigation, arbitration, disciplinary or other actions by the SEC, FINRA, IRS, MSRB, or any other state or <br />federal organization that oversees, regulates, licenses or is otherwise responsible for the municipal <br />securities industry within the past 12 months. <br />B. Within the past 36 months, has your firm and/or any of its principals been involved in any litigation, arbitration, <br />disciplinary or other actions arising from the firm's underwriting, management or handling of municipal securities? <br />Neither the Firm nor any partner or employee of the Firm, have been the subject of any <br />investigation, arbitration, disciplinary or other actions by the SEC, FINRA, IRS, MSRB, or any other state <br />or federal organization that oversees, regulates, licenses or is otherwise responsible for the municipal <br />securities industry within the past 36 months. <br />C. Does there exist any relationship between your firm and any other non-affiliated firm(s) or individuals involving <br />any compensation arrangement that may be associated with your possible engagement to assist with the City's <br />proposed debt issue? <br />Ramirez & Co. does not have any such relationship or arrangement, with any other non-affiliated firm(s); <br />with respect to any compensation arrangement that may be associated with this proposed engagement <br />with the City's debt issuance program. <br />z <br />z <br />Ln <br />U_ <br />0 <br />i' <br />