Opinion letter statement includes... "I have not now or nor ever have I been the subject of an investigation, hearing or proceeding by the SEC, The U.S Commodities Futures Trading Commission (CFTC), The Financial Industry Regulatory Authority (FINRA) or any other Federal, State or Foreign regulatory agency. I am not now or have I ever been suspended or barred from practicing in any State or jurisdiction, nor have I ever been charged in a civil or criminal case."