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Have you ever been named in any proceeding brought by any securities self-regulatory organization, state securities regulatory commission or agency, or the Commodity Futures Trading Commission, or the Securities and Exchange Commission which found that you violated any law, rule or regulation or which imposed any disciplinary sanction against you?
YES NO
Has any firm with which you were associated been subject to such a finding or disciplinary sanction which was imposed on such firm directly or indirectly as a consequence of any conduct on your part?
YES NO
Are you or is any such firm currently subject to any proceeding in which the allegations could result in any such finding or disciplinary sanction?
YES NO
If you answered yes to any of the above questions, please explain in the comments section below.
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