Wednesday, September 28, 2016 4:06:04 PM
https://www.otciq.com/otciq/ajax/showFinancialReportById.pdf?id=160740
B. Legal/Disciplinary History
During the past five years, none of the Company’s officers or directors have 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);
(2) The entry of an order, judgment, or decree, not subsequently reversed, suspended or
vacated, by a court or 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;
(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
fining or judgment has not been reversed, suspended or vacated; or
(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.
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