Form MA-I Applicant's Information

Filer's CIK:
0001179791
Filer's CCC:

Submission Contact Information

Name:
Antoine Smalls
Phone:
4127652771
Email Address:
asmalls@ciminvests.com

Notification Information

Notification will automatically be sent to the Login CIK, Submission Contact, and Primary Issuers. Specify additional addresses below.

Please read the General Instructions for this form and other forms in the MA series, as well as its subsection, "Specific Instructions for Form MA-I," before completing this form. All italicized terms herein are defined or described in the Glossary of Terms appended to the General Instructions.

PART 1

This form must be completed by

Every municipal advisory firm applying for registration or registered as a municipal advisor on Form MA, to provide information regarding each natural person who is an associated person of the firm and engages in municipal advisory activities on the firm's behalf (for purposes of Form MA-I, the "individual"); and

Every natural person (sole proprietor) applying for registration as a municipal advisor on Form MA, to provide additional personal information.

WARNING

Complete this form truthfully.  False statements or omissions may result in denial of a municipal advisor's application, revocation or suspension of such registration, or criminal prosecution.  Form MA-I must be amended promptly whenever any information previously provided becomes inaccurate.  See General Instruction 9. 

Type of Filing:

This is an (check the appropriate box):
checkbox unchecked Initial Form MA-I
Execution Pages: Before submitting this form, you must complete the Execution Page.
Supporting Documentation: If you are required to make reportable disclosures in the Disclosure Reporting Pages, you must attach the supporting documentation.
Non-Resident Individuals: If the individual is a non-resident of the United States, you must attach a completed Form MA-NR signed by the individual to this Form MA-I at the time of initial filing of Form MA-I. See the General Instructions.

checkbox checked Amendment to the most recent Form MA-I

checkbox unchecked Amendment to indicate that the individual is no longer an associated person of the municipal advisory firm or no longer engages in municipal advisory activities on its behalf. (If you check this box, complete only Item 1-A and Item 7 below.)

Item 1 Identifying Information

A. The Individual

Full Legal Name:
Enter all the letters of each name and not initials or other abbreviations. If no middle name, enter NMN on that line.
Last Name:
Murphy
First Name:
Maurice
Middle Name:
Thomas
Suffix:
jr
Individual CRD No.: (if any)
1901835

B. Municipal Advisory Firms Where the Individual Is Employed

In providing your responses, please note that the definition of "employee" for purposes of this form includes an independent contractor who engages in municipal advisory activities on behalf of a municipal advisory firm. See Glossary of Terms.

Is the individual employed at more than one municipal advisory firm?
radio button checked YES radio button unchecked NO
Enter the number of municipal advisory firms the individual is employed with (sole proprietors not employed with any other firm enter 1).

(For individuals who are employed with more than one firm, provide the information required by this Item 1-B for each such firm. For sole proprietors, enter the legal name under which you conduct your municipal advisor-related activities, and skip to Item 1-B.1.)

1
Municipal Advisory Firm's CIK:  
0001179791
Full Legal Name of municipal advisory firm with which the individual is employed: 
CIM INVESTMENT MANGEMENT INC
Name under which municipal advisor-related business is primarily conducted, if different from above:
Date that the individual's most recent employment with this municipal advisory firm commenced (MM/DD/YYYY):
08-15-2013
Does the individual have an independent contractor relationship with the above-named firm?
radio button unchecked YES radio button checked NO

(1) Municipal Advisory Firm's Registration Information:

Notification will automatically be sent to the Login CIK, Submission Contact, and Primary Issuers. Specify additional addresses below.

Is the municipal advisory firm currently registered on Form MA as a municipal advisor? (Answer "Yes" if you have already filed Form MA and your application for registration on that form has been approved. Otherwise, answer "No.")
radio button uncheckedYES radio button checkedNO
SEC File No.:
If "No," has the municipal advisory firm filed a Form MA application?
radio button checkedYES radio button uncheckedNO
Form MA Filing Date: (MM/DD/YYYY):
09-30-2014
EDGAR CIK No.:
0001179791

(2) Office

Enter the requested information for each office of the municipal advisory firm where the individual is or will be physically located, and each office from which the individual is or will be supervised: 

The individual is or will be checkbox checked Located At checkbox checked Supervised From
Start Date:
08-15-2013
Street Address 1:
239 FOURTH AVE SUITE 1302
Street Address 2:
City:
PITTSBURGH
State/Country:
PA
Postal Code:
15222
Private Residence Check Box: Is the Office of Employment address a private residence?

A private residential address will not be included in publicly available versions of this registration form.

radio button unchecked YES radio button unchecked NO

Item 2 Other Names

Enter the following information for all other names that the individual has used or is using, or by which the individual is known or has been known, other than the individual´s legal name, since the age of 18. 

This space should include, for example, nicknames, aliases, and names used before or after marriage.

Item 3 Residential History

Starting with the current address, enter the following information for all the individual´s residential addresses for the past 5 years. Leave no gaps greater than three months between addresses. Report changes in an amendment to this form as they occur in the future. Private residential addresses will not be included in publicly available versions of this form.

Current Address

From:
To:
Street Address 1:
Street Address 2:
City:
State/Country:
Postal Code:

Item 4 Employment History

Provide complete employment history of the individual for the past 10 years. Include the municipal advisory firm(s) entered in Item 1-B. Enter the following information for each employer. Account for all time, leaving no gaps longer than three months. Include full- and part-time employment, self-employment, military service, and homemaking. Also include statuses such as unemployed, full-time education, extended travel, or other similar statuses. Such statuses should be entered in the space provided below for "Name of Municipal Advisory Firm or Company." 

Current Employer

From:
08-2013
To: of Municipal Advisory Firm or Company:
Name of Municipal Advisory Firm or Company:
CIM Investment Management
City: of Municipal Advisory Firm or Company:
Pittsburgh
State/Country: of Municipal Advisory Firm or Company:
PA
Postal Code:
15222
Municipal Advisor-Related Business?
radio button checked YES radio button unchecked NO
Investment-Related Business?
radio button checked YES radio button unchecked NO
Position Held:
Director of Business Development

Prior to the Above

Prior employment history must be entered in reverse chronological order.


Prior Address

From (MM/YYYY):
09-2008
To (MM/YYYY):
05-2013
Name of Municipal Advisory Firm or Company:
WK Solar Group
City:
Perrysburg
State/Country:
OH
Postal Code:
43551
Municipal Advisor-Related Business?
radio button unchecked YES radio button checked NO
Investment-Related Business?
radio button unchecked YES radio button checked NO
Position Held:
Director Of Sales/Marketing

Prior Address

From (MM/YYYY):
04-2004
To (MM/YYYY):
09-2008
Name of Municipal Advisory Firm or Company:
Merrill Lynch
City:
Pittsburgh
State/Country:
PA
Postal Code:
15222
Municipal Advisor-Related Business?
radio button checked YES radio button unchecked NO
Investment-Related Business?
radio button checked YES radio button unchecked NO
Position Held:
Director GMI

Item 5 Other Business

Is the individual currently engaged in any other business either as a proprietor, partner, officer, director, employee, trustee, agent or otherwise?
radio button unchecked YES radio button checked NO

Item 6 Disclosure Information

IF THE ANSWER TO ANY OF THE QUESTIONS IN ITEMS 6A – 6J AND 6M IS "YES," PROVIDE DETAILS OF ALL EVENTS OR PROCEEDINGS ON THE APPROPRIATE DISCLOSURE REPORTING PAGES (DRPs).

One event or proceeding may result in the requirement to answer "Yes" to more than one question below.

Refer to the Glossary of Terms for definitions or descriptions of italicized terms.

CRIMINAL ACTION DISCLOSURE

If the answer is "Yes" to any question below in Item 6A or 6B, complete a Criminal Action DRP.

Item 6A.

(1) Has the individual ever:

(a) been convicted of any felony, or pled guilty or nolo contendere ("no contest") to any charge of a felony in a domestic, foreign, or military court?
radio button checked YES radio button unchecked NO
(b) been charged with any felony?
radio button checked YES radio button unchecked NO

(2) Based upon activities that occurred while the individual exercised control over it, has an organization ever:

(a) been convicted of any felony or pled guilty or nolo contendere ("no contest") in a domestic or foreign court to any charge of a felony?
radio button unchecked YES radio button checked NO
(b) been charged with any felony?
radio button unchecked YES radio button checked NO

Item 6B.

(1) Has the individual ever:

(a) been convicted of any misdemeanor or pled guilty or nolo contendere ("no contest") in a domestic, foreign or military court to any charge of a misdemeanor involving: municipal advisory activities or a municipal advisor-related or investment-related business or any fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses?

radio button unchecked YES radio button checked NO

(b) been charged with any misdemeanor of the kind described in 6B(1)(a)?

radio button unchecked YES radio button checked NO
(2) Based upon activities that occurred while the individual exercised control over it, has an organization ever:
(a) been convicted of any misdemeanor or pled guilty or nolo contendere ("no contest") in a domestic or foreign court to any charge of a misdemeanor of the kind specified in 6B(1)(a)?
radio button unchecked YES radio button checked NO
(b) been charged with any misdemeanor of the kind specified in 6B(1)(a)?
radio button unchecked YES radio button checked NO

REGULATORY ACTION DISCLOSURE

If the answer is "Yes" to any question below in Items 6C-6G(1), complete a Regulatory Action DRP.

Item 6C.

Has the SEC or the CFTC ever:

(1) found the individual to have made a false statement or omission?

radio button unchecked YES radio button checked NO

(2) found the individual to have been involved in a violation of any SEC or CFTC regulation or statute?

radio button unchecked YES radio button checked NO

(3) found the individual to have been a cause of a denial, suspension, revocation, or restriction of the authorization of a municipal advisor-related business or investment-related business to operate?

radio button unchecked YES radio button checked NO

(4) entered an order against the individual in connection with municipal advisor-related or investment-related activity?

radio button unchecked YES radio button checked NO

(5) imposed a civil money penalty on the individual, or ordered the individual to cease and desist from any activity?

radio button unchecked YES radio button checked NO

(6) found the individual to have willfully violated any provision of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Commodity Exchange Act, or any rule or regulation under any of such Acts, or any of the rules of the MSRB, or found the individal to have been unable to comply with any provision of such Acts, rules or regulations?

radio button unchecked YES radio button checked NO

(7) found the individual to have willfully aided, abetted, counseled, commanded, induced, or procured the violation by any person of any provision of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Commodity Exchange Act, or any rule or regulation under any of such Acts, or any of the rules of the MSRB?

radio button unchecked YES radio button checked NO

(8) found the individual to have failed reasonably to supervise another person subject to his or her supervision, with a view to preventing the violation of any provision of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Commodity Exchange Act, or any rule or regulation under any of such Acts, or any of the rules of the MSRB?

radio button unchecked YES radio button checked NO

Item 6D.

(1) Has any other federal regulatory agency or any state regulatory agency or foreign financial regulatory authority ever:

(a) found the individual to have made a false statement or omission or to have been dishonest, unfair or unethical?

radio button unchecked YES radio button checked NO

(b) found the individual to have been involved in a violation of municipal advisor-related or investment-related regulation(s) or statute(s)?

radio button unchecked YES radio button checked NO

(c) found the individual to have been a cause of a denial, suspension, revocation, or restriction of the authorization of a municipal advisor-related or investment-related business to operate?

radio button unchecked YES radio button checked NO

(d) entered an order against the individual in connection with a municipal advisor-related or investment-related activity?

radio button unchecked YES radio button checked NO

(e) denied, suspended, or revoked the individual's registration or license or otherwise, by order, prevented the individual from associating with a municipal advisor-related or investment-related business or restricted his or her activities?

radio button unchecked YES radio button checked NO

(2) Has the individual ever been subject to any final order of a state securities commission (or any agency or office performing like functions), a state authority that supervises or examines banks, savings associations, or credit unions, a state insurance commission (or any agency or office performing like functions), a federal banking agency, or the National Credit Union Administration, that:

(a) bars the individual from association with an entity regulated by such commission, authority, agency, or office, or from engaging in the business of securities, insurance, banking, savings association activities, or credit union activities; or

radio button unchecked YES radio button checked NO

(b) is based on violations of any laws or regulations that prohibit fraudulent, manipulative, or deceptive conduct?

radio button unchecked YES radio button checked NO

Item 6E.

Has any self-regulatory organization or commodities exchange ever:

(1) found the individual to have made a false statement or omission?

radio button unchecked YES radio button checked NO

(2) found the individual to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the SEC)?

radio button unchecked YES radio button checked NO

(3) found the individual to have been a cause of a denial, suspension, revocation, or restriction of the authorization of a municipal advisor-related or investment-related business to operate?

radio button unchecked YES radio button checked NO

(4) disciplined the individual by expelling or suspending him or her from membership, barring or suspending the individual's association with its members, or restricting the individual's activities?

radio button unchecked YES radio button checked NO

(5) found the individual to have willfully violated any provision of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Commodity Exchange Act, or any rule or regulation under any of such Acts, or any of the rules of the MSRB, or found the individual to have been unable to comply with any provision of such Acts, rules or regulations?

radio button unchecked YES radio button checked NO

(6) found the individual to have willfully aided, abetted, counseled, commanded, induced, or procured the violation by any person of any provision of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Commodity Exchange Act, or any rule or regulation under any of such Acts, or any of the rules of the MSRB?

radio button unchecked YES radio button checked NO

(7) found the individual to have failed reasonably to supervise another person subject to your supervision, with a view to preventing the violation of any provision of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Commodity Exchange Act, or any rule or regulation under any of such Acts, or any of the rules of the MSRB?

radio button unchecked YES radio button checked NO

Item 6F.

Has the individual ever had an authorization to act as an attorney, accountant or federal contractor that was revoked or suspended?
radio button unchecked YES radio button checked NO

Item 6G.

Has the individual been notified, in writing, that he or she is currently the subject of any:

(1) regulatory complaint or proceeding that could result in a "Yes" answer to any part of 6C, D or E?
radio button unchecked YES radio button checked NO

INVESTIGATION DISCLOSURE

If the answer is "Yes" to Item 6G(2) below, complete an Investigation DRP.

(2) investigation that could result in a "Yes" answer to any part of 6A, B, C, D or E? (If "Yes," complete the Investigation Disclosure Reporting Page.)
radio button unchecked YES radio button checked NO

CIVIL JUDICIAL ACTION DISCLOSURE

If the answer is "Yes" to any question below in Item 6H, complete a Civil Judicial Action DRP.

Item 6H.

(1) Has any domestic or foreign court ever:

(a) enjoined the individual in connection with any municipal advisor-related or investment-related activity?
radio button unchecked YES radio button checked NO
(b) found that the individual was involved in a violation of any municipal advisor-related or investment-related statute(s) or regulation(s)?
radio button unchecked YES radio button checked NO
(c) dismissed, pursuant to a settlement agreement, a municipal advisor-related or investment-related civil action brought against the individual by a domestic jurisdiction or foreign financial regulatory authority?
radio button unchecked YES radio button checked NO
(2) Is the individual named in any currently pending civil proceeding that could result in a "Yes" answer to any part of 6H(1)?
radio button unchecked YES radio button checked NO

CUSTOMER COMPLAINT/ARBITRATION/CIVIL LITIGATION DISCLOSURE

If the answer is "Yes" to any question below in Item 6I, complete a Customer Complaint/Arbitration/Civil Litigation DRP.

Item 6I.

(1) Has the individual ever been the subject of a municipal advisor-related or investment-related, customer-initiated (written or oral) complaint that alleged that he or she was involved in fraud, false statements, omissions, theft, embezzlement, wrongful taking of property, bribery, forgery, counterfeiting, extortion, or dishonest, unfair or unethical practices, which:
(a) is still pending, or;
radio button unchecked YES radio button checked NO
(b) was settled?
radio button unchecked YES radio button checked NO
(2) Has the individual ever been the subject of a municipal advisor-related or investment-related, customer-initiated arbitration or civil litigation that alleged that he or she was involved in fraud, false statements, omissions, theft, embezzlement, wrongful taking of property, bribery, forgery, counterfeiting, extortion, or dishonest, unfair or unethical practices, which:
(a) is still pending, or;
radio button unchecked YES radio button checked NO
(b) resulted in an arbitration award or civil judgment against the individual, regardless of amount, or;
radio button unchecked YES radio button checked NO
(c) was settled?
radio button unchecked YES radio button checked NO

TERMINATION DISCLOSURE

If the answer is "Yes" to any question below in Item 6J, complete a Termination DRP.

Item 6J.

Has the individual ever voluntarily resigned, been discharged or permitted to resign after allegations were made that accused him or her of:

(1) violating municipal advisor-related or investment-related statutes, regulations, rules, or industry standards of conduct?
radio button unchecked YES radio button checked NO
(2) fraud or the wrongful taking of property?
radio button unchecked YES radio button checked NO
(3) failure to supervise in connection with municipal advisor-related or investment-related statutes, regulations, rules or industry standards of conduct?
radio button unchecked YES radio button checked NO

FINANCIAL DISCLOSURE

Item 6K.

Within the past 10 years:

(1) has the individual made a compromise with creditors, filed a bankruptcy petition or been the subject of an involuntary bankruptcy petition?
radio button unchecked YES radio button checked NO
(2) based upon events that occurred while the individual exercised control over it, has an organization made a compromise with creditors, filed a bankruptcy petition or been the subject of an involuntary bankruptcy petition?
radio button unchecked YES radio button checked NO
(3) based upon events that occurred while the individual exercised control over it, has a broker or dealer been the subject of an involuntary bankruptcy petition, had a trustee appointed, or had a direct payment procedure initiated under the Securities Investor Protection Act?
radio button unchecked YES radio button checked NO

Item 6L.

Has a bonding company ever denied, paid out on, or revoked a bond for the individual?
radio button unchecked YES radio button checked NO

JUDGMENT/LIEN DISCLOSURE

If the answer is "Yes" to any question below in Item 6M, complete a Judgment/Lien DRP.

Item 6M.

Are there currently any unsatisfied judgments or liens against the individual?
radio button unchecked YES radio button checked NO

Item 7 Signature and Self-Certification

NOTE:  In addition to completing Item 7, to the extent that the individual is a non-resident, a Form MA-NR completed and signed by the individual must be attached as an exhibit to this Form MA-I.

Complete Either Subpart A or Subpart B:

By typing a name in the signature field, the signatory acknowledges and represents that the entry constitutes in every way, use, or aspect, his or her legally binding signature.

A. For Municipal Advisory Firms filing this form:

The municipal advisory firm has obtained and retained written consent from the individual that service of any civil action brought by, or notice of any proceeding before, the SEC or any self-regulatory organization in connection with the individual's municipal advisory activities may be given by registered or certified mail to the individual's address given in Item 1.

I, the undersigned, sign this Form MA-I on behalf of, and with the authority of, the municipal advisory firm that is filing this form. The municipal advisory firm and I both certify, under penalty of perjury under the laws of the United States of America, that the information and statements made in this Form MA-I, including exhibits and any other information submitted, are true and correct, and that I am signing this Form MA-I as a free and voluntary act.

Date:
05-15-2017
By (signature):
Antoine Smalls
Title:
Chief Compliance Officer

B. For Natural Person Municipal Advisors (Sole Proprietors) filing this form:

The individual named below consents that service of any civil action brought by, or notice of any proceeding before, the SEC or any self-regulatory organization in connection with the individual's municipal advisory activities may be given by registered or certified mail to the individual's address given in Item 1.

I, the undersigned, certify, under penalty of perjury under the laws of the United States of America, that the information and statements made in this Form MA-I, including exhibits and any other information submitted, are true and correct, and that I am signing this Form MA-I Execution Page as a free and voluntary act.

Date:

Full Legal Name of Municipal Advisor:
Enter all the letters of each name and not initials or other abbreviations. If no middle name, enter NMN on that line.

Last Name:
First Name:
Middle Name:
Suffix:
Individual CRD No. (if any):
By (signature):

Warning: Intentional misstatements or omissions of fact constitute Federal criminal violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).12.

CRIMINAL ACTION DISCLOSURE REPORTING PAGE (MA-I)

CRIMINAL ACTION DRP – PART 1

This Disclosure Reporting Page (DRP MA-I) is an radio button uncheckedINITIAL or radio button checkedAMENDED response to report details for affirmative response(s) to Question(s) 6A and 6B on Form MA-I.

Check the question(s) to which this DRP pertains:

    checkbox checked6A(1)(a)checkbox unchecked6A(1)(b)checkbox unchecked6A(2)(a)checkbox unchecked6A(2)(b)
    checkbox checked6B(1)(a)checkbox unchecked6B(1)(b)checkbox unchecked6B(2)(a)checkbox unchecked6B(2)(b)
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the individual from the record?
radio button unchecked YESradio button unchecked NO
If "Yes," the reason the DRP should be removed is:

The event or proceeding was resolved in the individual's favor
    radio button unchecked The DRP was filed in error.


Explain the circumstances:
                     

How to Report an Event or Proceeding on a Criminal Action DRP: Use a separate DRP for each event or proceeding. One event may result in more than one affirmative answer to Items 6A(1)(a), 6A(1)(b), 6A(2)(a), 6A(2)(b), 6B(1)(a), 6B(1)(b), 6B(2)(a), and/or 6B(2)(b). Use this DRP to report all charges, including multiple counts of the same charge, arising out of the same event and filed in one criminal action. Separate cases arising out of the same event, and unrelated criminal actions, must be reported on separate DRPs.

How to Provide Court Documents: Applicable court documents (i.e., criminal complaint, information or indictment, as well as judgment of conviction or sentencing documents) must be attached as an exhibit if not previously submitted.

DRP On File for This Event:Is an accurate and up-to-date DRP containing the information regarding the individual required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Note: The filer may identify a DRP filed by the individual directly, or filed by another SEC-registrant about the individual as an associated person.

NOTE: The completion of all or any part of this form does not relieve the individual or any municipal advisor with which the individual is associated of the obligation to update any relevant Form MA or IARD or CRD records.

CRIMINAL ACTION DRP – PART 2

1. Firm or Organization

A. Were charge(s) brought against a firm or organization over which the individual exercise(d) control?

radio button uncheckedYES radio button uncheckedNO

B. If "Yes," Provide the following information:

(1) Enter the firm or organization name:

(2) Was the firm or organization engaged in a municipal advisor-related or investment-related business?

radio button uncheckedYES radio button uncheckedNO

(3) What was the individual's position, title or relationship with the firm or organization?

2. Court Where Formal Charge(s) Were Brought: (File a separate Criminal Action DRP for charges brought in separate courts and / or separate cases in the same court. If brought in a foreign jurisdiction, provide all the information below in English.):
    checkbox unchecked Federal Court 
    checkbox unchecked Military Court
    checkbox unchecked State Court
    checkbox unchecked Foreign Country Court
    checkbox unchecked International Court
    checkbox checked Other:
    Common Pleas

A. Name of the Court:

Common Pleas of Wood Co. Ohio

B. Location of the Court:

    Street Address:

One Courthouse Sq

    City or County:

Bowling Green

    State / Country:

OH

    Postal Code:

43402

C. Docket / Case Name:

2012cr0005

D. Docket / Case Number:

2012cr005
3. Event Disclosure Detail (Use this for both organizational and individual charges.)

    A. Date First Charged (MM/DD/YYYY):

01-16-2012

      If not exact, provide explanation:

I don't have the exact date of the charge, but the accident occurred on 11/16/11, and my first court appearance was on 1/23/12. Charge 1 was misdemeanor DUI and not investment related. Charge 2 was reduced to Vehicular Assault a 4th degree felony due to the fact that an injury was associated with the accident. The injury was a broken arm which is by no means insignificant, but not life threatening or investment related. Both these charges were amended/reduced on 6/28/12 and all jail/community service/fines/counseling were completed by 5/15/14. I haven't had a drink since the accident and have tried to rebuild my life. EDGAR prevented me from including the associated paperwork and it was forwarded by our Compliance Officer, Antoine Smalls, via e-mail.

    B. Details of Event: Report all charges separately.

For each charge, provide the following information.

        (1) First Charge

        (a) List the charge / charge description:

I don't have the exact date of the charge, but the accident occurred on 11/16/11, and my first court appearance was on 1/23/12. Charge 1 was misdemeanor DUI and not investment related. This charge was amended/reduced on 6/28/12 and all jail/community service/fines/counseling were completed by 5/15/14. I haven't had a drink since the accident and have tried to rebuild my life. EDGAR prevented me from including the associated paperwork and it was forwarded by our Compliance Officer, Antoine Smalls, via e-mail

        (b) Number of counts:

1

        (c) Check the appropriate box:

radio button uncheckedFelonyradio button checkedMisdemeanor

        (d) Plea for this charge:

Guilty

        (e) (i) Is the charge municipal advisor-related?

radio button unchecked Yes radio button checked No

             (ii) If "Yes," what is the product type?

        (f) (i) Is the charge investment-related?

radio button unchecked Yes radio button checked No

            (ii) If "Yes," what is the product type?

        (g) (i) Amended Charge: Indicate if the original charge was amended or reduced:

radio button checked Yes radio button unchecked No

            (ii) If "Yes," provide the date the charge was amended or reduced:

06-28-2012

    C. FelonyCharge(s): Did any of the charge(s) within the event involve a felony?

radio button checked Yes radio button unchecked No
4. Current Status of the Event: 
5. Event Status Date (Complete unless status is pending) (MM/DD/YYYY):

    If not exact, provide explanation:

6. On Appeal – Judicial Review: If you checked "On Appeal" in Item 4, to whom was the criminal action appealed? (If brought in a foreign jurisdiction, provide all the information below in English):
    radio button unchecked Federal Court 
    radio button unchecked Military Court
    radio button unchecked State Court
    radio button unchecked Foreign Country Court
    radio button unchecked International Court
    radio button unchecked Other: (specify)

    A. Name of the Court:

    B. Location of the Court:

        Street Address:

        City or County:

        State / Country:

        Postal Code:

    C. Docket / Case Name:

    D. Docket / Case Number:

    E. Date Appeal filed (MM/DD/YYYY):

For Item 7: If you checked "Final" or "On Appeal" in Item 4, complete Item 7. For actions that are "Pending," skip to Item 8.

7. Disposition Disclosure Detail (For each charge, provide the following information):

(a) First Charge

    (1) Disposition of the Charge:

       Check all that apply.

         checkbox unchecked Acquitted
checkbox uncheckedFound not guilty
checkbox unchecked Pre-trial diversion/intervention
         checkbox uncheckedAmended
checkbox checked Pled guilty
checkbox uncheckedReduced
         checkbox uncheckedConvicted
checkbox uncheckedPled nolo contendere
checkbox unchecked Other (requires explanation)
         checkbox uncheckedDeferred Adjudication
checkbox unchecked Pled not guilty
         checkbox unchecked Dismissed
         checkbox unchecked Appealed
                   checkbox unchecked Affirmed
                   checkbox unchecked Vacated & Returned For Further Action
                   checkbox unchecked Vacated/Final
                   checkbox unchecked Other (requires explanation)

        Explanation:

        If more than one disposition is checked, and/or "Other" is checked, or the above otherwise does not adequately summarize the disposition of the charge, provide an explanation.

Along with my Felony I was charged with misdemeanor DUI.
    (2) Date (MM/DD/YYYY):
    (3) Sentence / Penalty: Is a sentence or other penalty ordered?
radio button checkedYes radio button unchecked No

        If "Yes," list each type (e.g. prison, jail, probation, community service, counseling, education, other - specify):

72 hours in County Jail, license suspended except for work for 1 year, 300 hours of community service, alcohol counciling
    (4) Was or is the individual incarcerated in connection with this sentence?
radio button checkedYes radio button unchecked  No

        If "Yes," provide the following details:

        (i) Duration (length of the sentence):

            Days

            Months

            Years

        (ii) Start Date of Penalty (MM/DD/YYYY):

checkbox unchecked Not determined.

        (iii) End Date of Penalty (MM/DD/YYYY):

checkbox unchecked Not determined.

        (iv) Is the sentence to be served concurrently with any other sentence?

radio button uncheckedYes radio button checked  No

            If "Yes," indicate the end date of the concurrent sentence (MM/DD/YYYY):

            (v) Explanation (Optional):

      (5) Monetary Penalty / Fine:

            (i) Was a monetary penalty/fine imposed?

radio button checkedYes radio button unchecked  No

            If "Yes," provide the following details in (ii) and (iii) below:

            (ii) Total Penalty/Fine Amount:$

$

            (iii) Was any portion suspended/reduced?

radio button uncheckedYes radio button checked  No

                If "Yes," how much? $

$

            (iv) Final Amount:

$

            (v) Was the final amount paid in full?

radio button checkedYes radio button unchecked  No

                If "Yes," date paid in full (MM/DD/YYYY):

               If "No," indicate the amount unpaid:

$

                And explain the circumstances:

8. Summary of Circumstances (Optional): You may use this space to provide a brief summary of circumstances leading to the charge(s), as well as the current status or final disposition, if any. Include the relevant dates when the conduct which was the subject of the charge(s) occurred, and any other relevant information. The information must fit within the space provided.

In 2011 I was was a partner in a Solar Company which was failing. I invested everything I had in the venture and I was losing everything and I began drinking heavily to escape the issues. Unfortunately I was in an accident while drunk and was charged with Vehicular Assult, which is what happens in Ohio when someone who is driving drunk causes an accident and someone is injured. Thankfully the injuries were reltivly minor, and it caused me to reevaluate my life. I haven't had a drink since 11/16/11 and am trying to rebuild my life both financially and spiritually.