Exhibit,Appendix: The Avanza Group, Llc v. Investment Management Group, Llc, d/b/a INVESTMENT MANAGEMENT GROUP, LLC, Ballard Investments Inc. d/b/a BALLARD INVESTMENTS INC., Ralph Lewis Ballard Iii

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                                FILED:       NASSAU        COUNTY CLERK 01/04/2022 01:22 PM                                          INDEX NO. 611469/2021
 DigiSigner Document ID: 02c0c6e0-b1e5-468c-bd7c-88aeef956bce
NYSCEF DOC. NO. 22                                                                           RECEIVED NYSCEF: 01/04/2022




       8. Scope of Engagement

       NCP structures its practice as a group practice. NCP does not guarantee any minimum level of participation in a case
       by any individual employee, member, or partner of the firm. NCP agrees to assign qualified personnel, in NCP’s sole
       and absolute discretion, to various aspects of the case pursuant to its group practice and in compliance with all
       applicable rules of professional conduct. The scope of NCP’s representation concerning the services to be provided
       under this Agreement is specifically limited to the following:

           a. Review of Client’s Debt Situation: NCP will review Client’s current unsecured business debt burden
              and thereafter negotiate and attempt to enter a modification with Client’s creditors in an effort to
              resolve Client’s current unsecured business debt.
           b. Negotiate and Resolve Client’s Enrolled Debt: NCP will negotiate with Client’s creditors. NCP’s
              obligation to negotiate shall apply only to specific unsecured business debt obligations as disclosed
              by Client and accepted by NCP under this Agreement. NCP will attempt to approach and attack all of
              Client’s unsecured debt simultaneously, but NCP will, at a minimum, approach and resolve Client’s
              unsecured debt in order of liquidation priority and will stack each unsecured creditor accordingly.
           c. Collection: NCP will make all reasonable efforts to protect Client from harassment from creditors or
              collection agencies if Client timely notifies NCP of such harassment. However, NCP makes no
              guarantee that its effort would reduce and/or eliminate the harassment from creditors and/or
              collectors.
           d. Limited Scope Legal Representation: Provide legal assistance to Client concerning and relating to
              Client’s Enrolled debt. Said legal assistance includes and is limited to the followings:
                  i.       Standby telephone assistance during negotiations or settlement conferences;
                  ii.      Planning for negotiations;
                  iii.     Evaluate settlement options;
                  iv.      Pre-litigation document preparation, such as:
                           1. Assist Client in drafting answer or response to Summons and Complaints;
                           2. Assist Client in filing documents to the appropriate court;
                           3. Attorney’s review of lawsuit documents and provide legal advice to Client.
           e. Service Fees Breakdown: suggestion to move this to its own heading
                  15%
                  20% service fee of the collective total of all Enrolled Debt
                  $1,200 one-time non-refundable processing fee

      The fees listed above are collectively referred to in this Agreement as the “Enrollment Fees”. Client agrees to pay
      to NCP the entire amount of the Enrollment Fees without offset, modification, refund, or reduction. The
      Enrollment fees associated with each Enrolled Debt become due when NCP presents Client with an offer to
      restructure or modify the Enrolled Debt from the corresponding Creditor. Client agrees that NCP may deduct the
      Enrollment Fees from all amounts Client delivers to NCP under Section 6. The Enrollment Fees are not due by
      Client to NCP ‘up-front’ or upon signing this Agreement. The Enrollment Fees will become due as set forth under
      this Agreement and the Program. Client agrees that Client will pay the Enrollment Fees in equal monthly
      installments arranged with NCP not to exceed six (6) consecutive months and that NCP may deduct each monthly
      installment of the Enrollment Fees from all amounts Client delivers to NCP under Section 6. Client’s acceptance of
      an offer to restructure or modify an Enrolled Debt is not a condition of the Enrollment Fees becoming due and

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