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Re: None

Wednesday, 08/27/2014 2:57:52 PM

Wednesday, August 27, 2014 2:57:52 PM

Post# of 77811
Legal/Disciplinary History. Please identify whether any of the foregoing persons have, in the last five years,
been the subject of:
1. A conviction in a criminal proceeding or named as a defendant in a pending criminal proceeding
(excluding traffic violations and other minor offenses);
- none :)

2. The entry of an order, judgment, or decree, not subsequently reversed, suspended or vacated, by a
court of competent jurisdiction that permanently or temporarily enjoined, barred, suspended or
otherwise limited such person’s involvement in any type of business, securities, commodities, or
banking activities;
- none.

3. A finding or judgment by a court of competent jurisdiction (in a civil action), the Securities and
Exchange Commission, the Commodity Futures Trading Commission, or a state securities regulator of a
violation of federal or state securities or commodities law, which finding or judgment has not been reversed,
suspended, or vacated; or
- None...

4. The entry of an order by a self-regulatory organization that permanently or temporarily barred
suspended or otherwise limited such person’s involvement in any type of business or securities activities.
- NONE!

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