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 unchecked](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
NO
(b) been charged with any felony?
![radio button unchecked](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
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](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
NO
(b) been charged with any felony?
![radio button unchecked](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
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](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
NO
(b) been charged with any misdemeanor of the kind described
in 6B(1)(a)?
![radio button unchecked](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
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](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
NO
(b) been charged with any misdemeanor of the kind
specified in 6B(1)(a)?
![radio button unchecked](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
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](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
NO
(2) found the individual to have
been involved in a violation of any SEC or CFTC
regulation or statute?
![radio button checked](/Images/radio-checked.jpg)
YES
![radio button unchecked](/Images/radio-unchecked.jpg)
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](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
NO
(4) entered an order against the individual in connection with
municipal advisor-related or investment-related activity?
![radio button checked](/Images/radio-checked.jpg)
YES
![radio button unchecked](/Images/radio-unchecked.jpg)
NO
(5) imposed a civil money penalty on the individual, or ordered
the individual to cease and desist from any activity?
![radio button checked](/Images/radio-checked.jpg)
YES
![radio button unchecked](/Images/radio-unchecked.jpg)
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 checked](/Images/radio-checked.jpg)
YES
![radio button unchecked](/Images/radio-unchecked.jpg)
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](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
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](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
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](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
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](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
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](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
NO
(d) entered an order against the individual in connection
with a municipal advisor-related or investment-related activity?
![radio button unchecked](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
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](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
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](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
NO
(b) is based on violations of any laws or regulations that
prohibit fraudulent, manipulative, or deceptive conduct?
![radio button unchecked](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
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](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
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](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
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](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
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](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
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](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
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](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
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](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
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](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
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](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
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](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
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](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
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](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
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](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
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](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
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](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
NO
(b) was settled?
![radio button unchecked](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
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](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
NO
(b) resulted in an arbitration award or civil judgment
against the individual, regardless of amount, or;
![radio button unchecked](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
NO
(c) was settled?
![radio button unchecked](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
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](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
NO
(2) fraud or the wrongful taking of property?
![radio button unchecked](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
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](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
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](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
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](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
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](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
NO
Item 6L.
Has a bonding company ever denied, paid out on,
or revoked a bond for the individual?
![radio button unchecked](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
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](/Images/radio-unchecked.jpg)
YES
![radio button checked](/Images/radio-checked.jpg)
NO