Monday, April 18, 2011 1:09:51 PM
B. Legal/Disciplinary History. 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 of the foregoing persons have been the subject of a conviction in a criminal proceeding or named as a defendant in a pending criminal proceeding.
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 a person’s involvement in any type of business, securities, commodities, or banking activities;
None of the foregoing persons have been the subject of any order, judgment, or decree, that permanently or temporarily enjoined, barred, suspended or otherwise limited such a person’s involvement in any type of business, securities, commodities, or banking activities.
This is only my opinion, not an endorsement to buy or sell anything. Buying stocks is risky; you could lose all of your investment. Always do your DD.
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