Application For Registration, Renewal Or Amendment To An Application Of Investment Adviser - Commonwealth Of Puerto Rico Page 4

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Form R-3
Rev. 03/13
12.
Name any employees of applicant who perform investment advisory work. __________________________
______________________________________________________________________________________
______________________________________________________________________________________
13.
State whether applicant, any predecessor of applicant, any employees, or any person named in items 6 to 12:
Yes
No

 
(a)
Has ever been convicted of any misdemeanor involving a security
 
or any aspect of the securities business.

 
(b)
Has ever been convicted of any felony.

(c)
Has ever been permanently or temporarily enjoined from engaging
in, or continuing any conduct or practice involving any aspect
of the securities business.

(d)
Has ever been the subject of an order of the Commissioner denying,
suspending or revoking registration as a broker-dealer, agent or
investment adviser.

(e)
Has ever been the subject of an order entered by the Securities

Administrator of any other state or by the Securities and Exchange
Commission denying or revoking registration as a broker-dealer,
agent or investment adviser.

(f)
Has ever been adjudicated as bankrupt or insolvent

(g)
Has ever been censured or fined, suspended or expelled by any
association of investment advisers.

(h)
Has ever been the subject of a United States Post Office Fraud Order.

(i)
Has ever been sued civilly for fraud, deceit or misrepresentation.
If the answer to any question is affirmative, furnish the complete details, including the date and the current status of the
case, on a separate attached sheet.
14.
Is applicant a successor to another organization?
If so, furnish the name of such firm, the date in which the
applicant succeeded to the business of such firm, the reason for such succession and the method by which
effected.
__________________________________________________________________________________________

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