Form Sec 1707 - Uniform Application For Investment Adviser Registration - Securities And Exchange Commission Page 30
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49REGULATORY ACTION DISCLOSURE REPORTING PAGE (ADV)
(continuation)
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
______________________________________________________________________________________________________
______________________________________________________________________________________________________
______________________________________________________________________________________________________
______________________________________________________________________________________________________
______________________________________________________________________________________________________
8.
Current status?
Pending
On Appeal
Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
_______________________________________________________________________________________________________
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved (check appropriate item):
Acceptance, Waiver & Consent (AWC)
Dismissed
Vacated
Consent
Withdrawn
Order
Decision
Settled
Other ______________
Decision & Order of Offer of Settlement
Stipulation and Consent
11. Resolution Date (MM/DD/YYYY):
Exact
Explanation
If not exact, provide explanation: ___________________________________________________________________
12. Resolution Detail:
A. Were any of the following Sanctions Ordered (check all appropriate items)?
Monetary/Fine
Revocation/Expulsion/Denial
Disgorgement/Restitution
Amount: $
Censure
Cease and Desist/Injunction
Bar
Suspension
B.
Other Sanctions Ordered:
___________________________________________________________________________________________
___________________________________________________________________________________________
___________________________________________________________________________________________
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General
Securities Principal, Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the
sanction, provide length of time given to requalify/retrain, type of exam required and whether condition has been
satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total
amount, portion levied against you or an advisory affiliate, date paid and if any portion of penalty was waived:
_____________________________________________________________________________________________
_____________________________________________________________________________________________
_____________________________________________________________________________________________
_____________________________________________________________________________________________
(continued)
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