Form Bd Uniform Application For Broker-Dealer Registration (Page 26 of 28) in pdf

BANKRUPTCY / SIPC DISCLOSURE REPORTING PAGE (BD)

(continuation)

3. If the financial action relates to an organization over which the applicant or control affiliate exercise(d) control, enter organization name and

the applicant’s or control affiliate’s position, title or relationship:

________________________________________________________________________________________________________________________

Was the Organization investment-related?

Yes

4. Court action brought in (Name of Federal, State or Foreign Court), Location of Court (City or County and State or Country), Docket/Case

Number and Bankruptcy Chapter Number (if Federal Bankruptcy Filing):

________________________________________________________________________________________________________________________

5. Is action currently pending?

Yes

6. If not pending, provide Disposition Type: (check appropriate item)

Direct Payment Procedure

Dismissed

Satisfied/Released

Discharged

Dissolved

SIPA Trustee Appointed

Other ____________________________

7. Disposition Date (MM/DD/YYYY):

Exact

Explanation

If not exact, provide explanation: ___________________________________________________________________________________________

Provide a brief summary of events leading to the action and if not discharged, explain. (The information must fit within the space provided.):

_______________________________________________________________________________________________________________________

If a SIPA trustee was appointed or a direct payment procedure was begun, enter the amount paid or agreed to be paid by you; or the name

of the trustee:

Currently Open?

Yes

Date Direct Payment Initiated/Filed or Trustee Appointed (MM/DD/YYYY):

Exact

Explanation

If not exact, provide explanation: ___________________________________________________________________________________________

10. Provide details to any status/disposition. Include details as to creditors, terms, conditions, amounts due and settlement schedule (if

applicable). (The information must fit within the space provided.)

_______________________________________________________________________________________________________________________

Form Bd Uniform Application For Broker-Dealer Registration Page 26