U6 SUBJECT OF ACTION I - SEC.gov · I U6 - CRIMINAL DRP 1 I 2. Formal Charge(s) were brought in:...

I U6 - SUBJECT OF ACTION I FIRST NAME:

SUFFIX: ALIAS:

DOB (MMIDDMYYY): SSN: CRD #:

RESIDENTIAL STREET ADDRESS LINE I: RESIDENTIAL STREET ADDRESS LINE 2:

CITY: ISTATE: COUNTRY: 1ZIPIPOSTAL CODE:

IRESIDENTIAL STREET ADDRESS LlNE 2: I CITY: STATE: COUNTRY: ZIPPOSTAL CODE:

BUSINESS STREET ADDRESS LINE I: BUSINESS STREET ADDRESS LINE 2:

CITY:

IREGULATOR CONTACT:

STATE: COUNTRY:

IREGULATOR PHONE NUMBER:

ZlPlPOSTAL CODE: I I

Page 1 of 8

1 U6 - BANKRUPTCYlSlPClCOMPROMlSE WITH CREDITORS DRP

This Disclosure Reporting Page is an INITIAL OR AMENDED

1. Action Type: [Circle one: Bankruptcy, Compromise, Declaration, Liquidated, Other, Receivership]

2. Action Date (MMIDDiYYYY) (Provide date bankruptcy was filed, or date SlPC was initiated, or date of compromise with creditor):

Exact Explanation If not exact, provide explanation:

3. If the financial action relates to an organization over which the subject exercise(d) control, enter Organization Name and subject's position, title or relationship:

Was the Organization investment-related? [7 Yes C] No

4. Court (Name of Federal, State or Foreign Court), Location of Court (City or County and State or Country), DocketKase Number and Bankruptcy Chapter Number (if Federal Bankruptcy Filing):

5. Is action currently pending? Yes No - -- -

6. If not pending, provide disposition type: [Circle one: Direct Payment Procedure, Discharged, Dismissed, Dissolved, Other, SIPA Trustee Appointed, SatisfiedIReleased]

7. f i Explanation If not exact, provide explanation:

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

9. If a SIPA trustee was appointed or a direct payment procedure was begun, enter the amount paid or agreed to be paid by the subject; or the name of the trustee:

Currently Open? Yes No

Date Direct Payment InitiatedFiled or Trustee Appointed (MMIDDNYYY): C] Exact C] Explanation If not exact, provide explanation:

10. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the action as well as the current status or final disposition. Your information must fit within the space provided.

Page 2 of 8

I U6 - CIVIL JUDICIAL DRP

This Disclosure ~ e ~ o t i i ~ Page is an INITIAL OR AMENDED

1. Court Action initiated by: (Name of regulator, foreign financial ~gulatory authority, SRO, commodities exchange, Agency, Firm, Private Plaintiff, etc.)

2. Principal Relief Sought: [Circle one: Cease and Desist, Civil Penalty(ies)/Fine(s), Disgorgement, Injunction, Money Damages (PrivateICivil Complaint), Other, Restitution, Restraining Order]

Other Relief Sought:

3. Filing Date of Court Action (MMIDDIYYYY): 0 Exact [7 Explanation If not exact, provide explanation:

I 4. Principal Product Type: [Circle one: Annuity(ies) - Fixed, Annuity(ies) - Variable, Banking Products (Other than CD(s)),

CD(s), Commodity Options(s), Debt - Asset Backed, Debt - Corporate, Debt - Government, Debt - Municipal, Derivative(s), Direct Investment(s) - DPP & LP Interest(s), Equity - OTC, Equity Listed (Common & Preferred Stock), Futures - Commodity, Futures - Financial, Index Options(s), Insurance, Investment Contract(s), Money Market Fund(s), Mutual Fund(s), No Product, Options, Other, Penny Stock(s), Unit Investment Trust(s)]

I Other Product Types:

5. Formal Action was brought in (include name of Federal, Military, State or Foreign Court, Location of Court - City or County State or Country, Docket/Case Number):

6. Employing Firm when activity occurred which led to the civil judicial action:

7. Describe the allegations related to this civil action. (The information must fit within the space provided.):

( 8. Current Status? Pending u 0 n Appeal Final -- - - - -- - -- - - -- - - - -

9. If on appeal, action appealed to (provide name of court):

I Date Appeal Filed (MMIDDlYYYY):

Page 3 of 8

F ~ i z o r 0 Z p p e $ complete all items below. For Pending Actions, complete Item 14 only.

I

I 11. How was matter resolved: [Circle one: Consent, Dismissed, Judgment Rendered, Opinion, Other, Settled, Withdrawn]

I

12. Resolution Date (MMIDDPIYYY): Exact Explanation If not exact, provide explanation:

U6 - CIVIL JUDICIAL DRP (CONTINUED)

10. If pending, date noticelprocess was served (MMIDDPIYYY): Exact Explanation

13: Resolution Detail: A. Were any of the following Sanctions Ordered or Relief Granted? (Check all appropriate items):

MonetarylFine Amount: $ RevocationlExpulsionlDenial

17 DisgorgementlRestitution Censure

Cease and Desistllnjunction Bar

Suspension

1 If not exact, provide explanation:

I B. Other Sanctions:

C. 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 examlretraining was a condition of the sanction, provide length of time given to requalifyhetrain, 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 broker, date paid and if any portion of penalty was waived:

- -- - - -

14. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the action, as well as the current status or disposition andlor finding@). Include the number of investors in the reporting jurisdiction, the total number of investors in the program, the amount invested in the reporting jurisdiction, and the total amount invested. Your information must fit within the space provided.

Page 4 of 8

I U6 - CRIMINAL DRP 1

I 2. Formal Charge(s) were brought in: (include name of Federal, Military, State or Foreign Court, Location of Court - City or County and State or Country, DocketICase number).

3. Event Disclosure Detail (Use this for both organizational and individual charges.)

A. Date First Charged (MMIDD/YYYY): Exact Explanation If not exact, provide explanation:

1 B. Event Disclosure Detail (include Charge(s)lCharge Description(s), and for each charae provide: 1. number of counts, 2. felony or misdemeanor, Q. plea for each charge, and 5. product type if charge is investment-related):

C. Did any of the Charge(s) within the Event involve a Felony? a y e s NO

D. Current status of the Event? Pending On Appeal Final

E. Event Status Date (complete unless status is Pending) (MMIDDIYYYY): Exact Explanation

If not exact, provide explanation:

4. Disposition Disclosure Detail Include for each charge, A. Disposition Type [e.g., convicted, acquitted, dismissed, pretrial, etc.], B. Date, S. SentenceIPenalty, D. Duration [if sentence-suspension, probation, etc.], E. Start Date of Penalty, E. PenaltyIFine Amount and G. Date Paid.

This Disclosure Reporting Page is an INITIAL OR DAMENDED 1. If charge(s) were brought against an organization over which the subject exercise(d) control: (Enter Organization

Name, whether or not the organization was an investment-related business and the subject's position, title or relationship.)

-

-

-

-

2

5. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the charge(s) as well as the current status or final disposition. Include the number of investors in the reporting jurisdiction, the total number of investors in the program, the amount invested in the reporting jurisdiction, the total amount invested and whether the action is based on a referral or investigation from your securities division. Your information must fit within the space provided.

Page 5 of 8

I U6 - REGULATORY ACTION DRP I -

This Disclosure Reporting Page is an INITIAL OR 0 AMENDED

1. Regulatory Action initiated by: SEC m o t h e r Federal 0 State SRO n ~ o r e i g n

Federal Banking Agency National Credit Union Administration q Other Full name of regulator, foreign financial regulatory authority, Federal, State, SRO, commodities exchange or National Credit Union Administration)

2. Principal SanctionIRelief Sought: [Circle one: Bar, Cease and Desist, Censure, Civil and Administrative Penalty(ies)/Fine(s), Denial, Disgorgement, Expulsion, Injunction, Other, Prohibition, Reprimand, Restitution, Revocation, Suspension, Undertaking]

I Other SanctionsIRelief Sought: I 3. Date Initiated (MMIDDiYYYY): Exact Explanation


4. DockeWCase Number:

5. Employing Firm when activity occurred which led to the regulatory action:

6. Principal Product Type: [Circle one: Annuity(ies) - Fixed, Annuity(ies) - Variable, Banking Products (Other than CD(s)), CD(s), Commodity Options(s), Debt - Asset Backed, Debt - Corporate, Debt - Government, Debt - Municipal, Derivative(s), Direct Investment(s) - DPP & LP Interest(s), Equity - OTC, Equity Listed (Common & Preferred Stock), Futures - Commodity, Futures - Financial, Index Options(s), Insurance, Investment Contract(s), Money Market Fund(s), Mutual Fund(s), No Product, Options, Other, Penny Stock(s), Unit Investment Trust(s)]

Other Product Types:

7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):

I 8: Current status? Pending q On Appeal Final I 1 9, If on appeal, regulatory action appealed to: (SEC, SRO. Federal or State Court) and Date Appeal Filed: I If Final or On Appeal, complete all items below. For Pending Actions, complete Item 14 only.

10. How was the matter resolved: [Circle one: Acceptance, Waiver & Consent(AWC); Consent; Decision; Decision & Order of Offer of Settlement: Dismissed; Order; Other; Settled; Stivulation and Consent; Vacated; Withdrawn1

11. Does the order constitute a final order based on violations of any laws or regulations that prohibit fraudulent, manipulative, or deceptive conduct? Yes No

12. Resolution Date (MMIDD/YYYY): Exact Explanation If not exact, provide explanation:

Page 6 of 8

I U6 - REGULATORY ACTION DRP (CONTINUED) pp - - -

A. Were any of the following sanctions ordered? (Check all appropriate items):

MonetaryIFine Amount: $ RevocationlExpulsionlDenial DisgorgementlRestitution Censure

Cease and Desistllnjunction ~ a r

Suspension

6. Other sanctions ordered:

C. 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 examlretraining was a condition of the sanction, provide length of time given to requalifyhetrain, 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 the subject, date paid and if any portion of penalty was waived:

14. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the action as well as the current status or disposition andlor finding(s). Include relevant terms, conditions and dates. Include the number of investors in the reporting jurisdiction, the total number of investors in the program, the amount invested in the reporting jurisdiction and the total amount invested. Your information must fit within the space

Page 7 of 8

I U6 - SRO ARBITRATION DRP


1. Case Name:

2. ArbitrationlReparation filed with:

3. Date case was initiated (MMIDDIYYYY):

4. Case Number:

5. Employing Firm when events occurred which led to the arbitrationlreparation:

7. Principal Product Type: [Circle one: Annuity(ies) - Fixed, Annuity(ies) - Variable, Banking Products (Other than CD(s)), CD(s), Commodity Options(s), Debt - Asset Backed, Debt - Corporate, Debt - Government, Debt - Municipal, Derivative(s), Direct Investment(s) - DPP & LP Interest@), Equity - OTC, Equity Listed (Common & Preferred Stock), Futures - Commodity, Futures - Financial, Index Options(s), Insurance, Investment Contract(s), Money Market Fund(s), Mutual Fund(s), No Product, Options, Other, Penny Stock(s), Unit Investment Trust(s)]


8. Alleged Compensatory Damage Amount: $

9. Is arbitrationlreparation currently pending? Yes No If No, how was arbitrationlreparation resolved? [Circle one: Award, Denied, Dismissed, Other, Settled, Withdrawn]

Resolution Date (MM/DD/YYYY):

10. Disposition details:

Page 8 of 8

U6 - SUBJECT OF ACTION FIRST NAME: MIDDLE NAME: LAST NAME:

SUFFIX: ALIAS:

W B (MMIDDIYTW): SSN: INDIVIDUAL#:

I I RESIDENTIAL STREET ADDRESS LINE 1: RESIDENTIAL STREET ADDRESS LINE 2:

CITY: STATE: COUNTRY: ZlPlPOSTAL CODE: I I I I

RESIDENTIAL STREET ADDRESS LINE 1: RESIDENTIAL STREET ADDRESS LINE 2: I CITY: STATE: COUNTRY: ZlPlPOSTAL CODE:

BUSINESS STREET ADDRESS LINE 1: BUSINESS STREET ADDRESS LINE 2:

CITY: STATE: COUNTRY: ZIPIPOSTAL CODE:

REGULATOR CONTACT: REGULATOR PHONE NUMBER:

Page 1 of 8

U6 - BANKRUPTCYISIPCICOMPROMlSE WITH CREDITORS DRP


2. Action Date (MMJDDNYW) (Provide date bankruptcy was filed, or date SlPC was initiated, or date of compromise with creditor):

Exact Explanation If not exact, provide explanation:

3. If the financial action relates to an organization over which the subject exercise(d) control, enter Organization Name and subject's position, title or relationship:

Was the Organization investment-relatedl Yes No - -

4. Court ( ~ a m e of Federal, State or Foreign Court), Location of Court (City or County and State or Country), DocketICase Number and Bankruptcy Chapter Number (if Federal Bankruptcy Filing):

5. Is action currently pending? Yes No

6. If not pending, provide disposition type: [Circle one: Direct Payment Procedure, Discharged, Dismissed, Dissolved, Other, SIPA Trustee Appointed, SatisfiedReleased]

7. Disposition Date (MMIDDNYYY): ~ x a c t Explanation If not exact, provide explanation:


-

-

-

- - -

-

-

-

d


- - - - -


Currently Open? Yes Q No

Date Direct Payment InitiatedIFiled or T ~ s t e e Appointed (MMIDDPPIW): Exact Explanation


10. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the action as well as the current status or final disposition. Your information must fit within the space provided.

Page 2 of 8

U6 - CIVIL JUDlClAL DRP

This Disclosure Reporting Page is an INITIAL OR AMENDED --

I. Court Action initiated by: (Name of regulator, foreign financial regulatory authority, SRO, commodities exchange, Agency, Firm, Private Plaintiff, etc.)


Other Relief Sought:

3. Filing Date of Court Action (MMIDDNYYY): Exact [7 Explanation If not exact, provide explanation:

4. Principal Product Type: [Circle one: Annuity(ies) - Fixed, Annuity(ies) - Variable, Banking Products (Other than CD(s)), CD(s), Commodity Options(s), Debt - Asset Backed, Debt - Corporate, Debt - Government, Debt - Municipal, Derivative(s), Direct Investment(s) - DPP & LP Interest@), Equity - OTC, Equity Listed (Common & Preferred Stock), Futures - Commodity, Futures - Financial, Index Options(s), Insurance, Investment Contract(s), Money Market Fund(s), Mutual Fund(s), No Product, Options, Other, Penny Stock(s), Unit Investment Trust(s)]


5. Formal Action was brought in (include name of Federal, Military, State or Foreign Court, Location of Court - City or County and State or Country, DockeffCase Number):



8. Current Status? Pending On Appeal Final


Date Appeal Filed (MMIDDNYYY):

Page 3 of 8

U6 - CIVIL JUDICIAL DRP (CONTINUED)

10. If pending, date noticelprocess was served (MMIDDNYYY): Exact Explanation - If not exact, provide explanation:

f Final or On Appeal, complete all items below. For Pending Actions, complete Item 14 only.

11. How was matter resolved: [Circle one: Consent, Dismissed, Judgment Rendered, Opinion, Other, Settled, Withdrawn]

12. Resolution Date (MMIDDNYYY): Exact Explanation If not exact, provide explanation:

13. Resolution Detail: A. Were any of the following Sanctions Ordered or Relief Granted? (Check all appropriate items):

Monetary/Fine Amount: $ RevocationlExpulsion/Denial DisgorgemenffRestitution Censure

Cease and Desisfflnjunction Bar

Suspension

B. Other Sanctions:

C. 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 examlretraining was a condition of the sanction, provide length of time given to requalifyfretrain, 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 broker, date paid and if any portion of penalty was waived:

14. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the action, as well as the current status or disposition andlor finding@). Include the number of investors in the reporting jurisdiction, the total number of investors in the program, the amount invested in the reporting jurisdiction, and the total amount invested. Your information must fit within the space provided.

Page 4 of 8

I U6 - CRIMINAL DRP - - - - -- - -

This Disclosure Reporting Page is an INITIAL OR OAMENDED 1. If charge(s) were brought against an organization over which the subject exercise(d) control: (Enter Organization

Name, whether or not the organization was an investment-related business and the subject's position, title or relationship.)

2. Formal Charge(s) were brought in: (include name of Federal, Military, State or Foreign Court, Location of Court - City or County and State or Country, DocketICase number).

1 3. Event Disclosure Detail (Use this for both organizational and individual charges.)

A. Date First Charged (MM/DD/YYYY): Exact Explanation If not exact, provide explanation:

B. Event Disclosure Detail (include Charge(s)/Charge Description(s), and for each charae nrovide: 1. number of counts, 2. felony or misdemeanor, 3. plea for each charge, and 4. product type if charge is investment-dated):

C. Did any of the Charge(s) within the Event involve a Felon)/, Yes No

D. Current status of the Event? Pending [7 On Appeal q Final

E. Event Status Date (complete unless status is Pending) (MM/DD/YYYY): [7 Exact Explanation If not exact, provide explanation:

4. Disposition Disclosure Detail include for each charge, A. Disposition Type [e.g., convicted, acquitted, dismissed, pretrial, etc.], B. Date, C. SentenceIPenalty, D. Duration [if sentence-suspension, probation, etc.], E. Start Date of Penalty, F. PenaltyIFine Amount and G. Date Paid.

5. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the charge(s) as well as the current status or final disposition. Include the number of investors in the reporting jurisdiction, the total number of investors in the program, the amount invested in the reporting jurisdiction, the total amount invested and whether the action is based on a referral or investigation from your securities division. Your information must fit within the space provided.

Page 5 of 8

I U6 - REGULATORY ACTION DRP 1 This Disclosure Reporting Page is an INITIAL OR [7 AMENDED

1. Regulatory Action initiated by: q SEC mother Federal State SRO n ~ o r e i g n

Federal Banking Agency C] National Credit Union Administration Other Full name of regulator, fomign financial regulatory authority, Federal, State, SRO, commodities exchange or National Credit Union Administration)

7 Princioal Sanction/Relief Souaht: [Circle one: Bar, Cease and Desist, Censure, Civil and Administrative Penalty(ies)/Fine(s), -. - - I ~enia i , Disgorgement, Expulsion, Injunction, Other, khibition, Reprimand, Restitution, Revocation, usp pension; ~ndertaki;lg] I I Other SanctionslRelief Sought: I

3. Date Initiated (MMIDDNYYY): Exact Explanation If not exact, provide explanation:

4. DocketlCase Number:


6. Principal Product Type: [Circle one: Annuity(ies) - Fixed, Annuity(ies) - Variable, Banking Products (Other than CD(s)), CD(s), Commodity Options(s), Debt - Asset Backed, Debt - Corporate, Debt - Government, Debt - Municipal, Derivative@), Direct Investment(s) - DPP & LP Interest(s), Equity - OTC, Equity Listed (Common & Preferred Stock), Futures - Commodity, Futures - Financial, Index Options(s), Insurance, Investment Contract(s), Money Market Fund@), Mutual Fund(s), No Product, Options, Other, Penny Stock(s), Unit Investment Tmst(s)]

( Other Product Types: I -

related to this regulatory action. (The information must fit within the spa- provided.):

8. Current status? Pendlng On Appeal Final

9. If on appeal, regulatory action appealed to: (SEC, SRO, Federal or State Court) and Date Appeal Filed:

pp - - -- - -

If Final or On Appeal, complete all items below. For Pendlng Actions, complete Item 14 only. 10. How was the matter resolved: [Circle one: Acceptance, Waiver & Consent(AWC); Consent; Decision; Decision & Order of

Offer of Settlement; Dismissed; Order; Othez Settled; Stipulation and Consent; Vacated; Withdrawn1 11. Does the order constitute a final order based on violations of any laws or regulations that prohibit fraudulent,

manipulative, or deceptive conduct? Yes No

12. Resolution Date (MMIDDIYYW): ~ x a c t [7 Explanation If not exact, provide explanation:

Page 6 of 8

I U6 - REGULATORY ACTION DRP (CONTINUED)

13. Resolution Detail: A. Were any of the following sanctions ordered? (Check all appropriate items):

C] MonetaryIFine Amount: $ RevocationlExpulsionIDenial DisgorgemenffRestitution Censure

C] Cease and Desistllnjunction Bar

[7 Suspension

B. Other sanctions ordered:

C. 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 examiretraining was a condition of the sanction, provide length of time given to requalifylretrain, 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 the subject, date paid and if any portion of penalty was waived:

14. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the action as well as the current status or disposition andlor finding(s). Include relevant terms, conditions and dates. lndude the number of investors in the reporting jurisdiction, the total number of investors in the program, the amount invested in the reporting jurisdiction and the total amount invested. Your information must fit within the space

Page 7 of 8

I U6 - SRO ARBITRATION DRP


I. Case Name:

2. ArbirationlReparation filed with:

3. Date case was initiated (MMIDDPPIW):

4. Case Number:

5. Employing Firm when events occurred which led to the arbitrationlreparation:

7. Principal Product Type: [Circle one: Annuity(ies) - Fixed, Annuity(ies) - Variable, Banking Products (Other than CD(s)), CD(s), Commodity Options(s), Debt - Asset Backed, Debt - Corporate, Debt - Government, Debt - Municipal, Derivative(s), Direct Investment(s) - DPP & LP Interest(s), Equity - OTC, Equity Listed (Common & Preferred Stock), Futures - Commodity, Futures - Financial, Index Options@), Insurance, Investment Contract(s), Money Market Fund(s), Mutual Fund(s), No Product, Options, Other, Penny Stock(s), Unit Investment Trust(s)]


8. ~ l leged Compensatory Damage Amount: $

9. Is arbitrationlreparation currently pending? Yes No If No, how was arbitrationlreparation resolved? [Circle one: Award, Denied, Dismissed, Other, Settled, Withdrawn]

Resolution Date ( M M I D D M ) :

10. Disposition details:

Page 8 of 8

U6 - SUBJECT OF ACTION ENTITY NAME: ORG R

I

DBA NAME:


[7 PARTNERSHIP LIMITED LIABILITY COMPANY

CITY: STATE:

;TAT€ OF FORMATION: COUNTRY OF FORMATION: DATE OF FORMATION (MMIDDNWY):

COUNTRY: ZlPlPOSTAL CODE:

I I

3EGULATOR CONTACT: REGULATOR PHONE NUMBER:

LEGAL STATUS OF SUBJECT:

CORPORATION SOLE PROPRIETORSHIP OTHER (SPECIFY)

Page 1 of 7

U6 - BANKRUPTCYlSlPClCOMPROMlSE WITH CREDITORS DRP


IARD SEC Only IA Disclosure Expiration Date:

1. Action Type: [Circle one: Banlauptcy, Compromise, Declaration, Liquidated, Other, Receivership]

2. Action Date (MMIDDNYYY): Exact Explanation If not exact, provide explanation:

- -

relates to an organization over which you exercise(d) control, enter Organization Name and your position, title or relationship:

Was the Organization investment-related? D y e s No

4. Court (Name of Federal, State or Foreign Court), Location of Court (City or County and State or Country), DockeffCase Number and Bankruptcy Chapter Number (if Federal Bankruptcy Filing):

5. Is action currently pending? U ~ e s U No

6. If not pending, provide disposition type: [Circle one: Direct Payment Procedure, Discharged, Dismissed, Dissolved, Other, SIPA Trustee Appointed, SatisfiedlReleased]

7. Disposition Date (MMIDDIYWY): Exact Explanation If not exact, provide explanation:



Currently Open? q Yes No Date Direct Pa ment InitiatedlFiled or Trustee Appointed (MMIDDNYW):

Exact dExplanat ion If not exact, provide explanation:

10. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the action as well as the current status or final disposition. Include the details as to creditors, terms, conditions, amounts due and settlement schedule (if applicable). Your information must fit within the space provided.

b

Page 2 of 7


One event may result in more than one affirmative answer to the above items. Use only one DRP to report details related to the same event. Unrelated civil judicial actions must be reported on separate DRPs.


1. Court Action initiated by: (Name of regulator, foreign financial regulatory authority, SRO, commodities exchange, Agency, Firm, Private Plaintiff, etc.)

I 2. Principal Relief Sought: [Circle one: Cease and Desist, Civil Penalty(ies)/Fie(s), Disgorgement, Injunction, Money Damages (PrivateICivil Complaint), Other, Restitution, Restraining Order]

I Other Relief Sought:

3. Filing Date of Court Action (MMJDDNYW): Exact [7 Explanation If not exact, provide explanation:

4. Principal Product Type: [Circle one: Annuity(ies) - Fixed, Annuity(ies) - Variable, Banking Products (Other than CD(s)), CD(s), Commodity Options(s), Debt - Asset Backed, Debt - Corporate, Debt - Government, Debt - Municipal, Derivative(s), Direct Investment(s) - DPP & LP Interest(s), Equity - OTC, Equity Listed (Common & Preferred Stock), Futures - Commodity, Futures - Financial, Index Options(s), Insurance, Investment Contract(s), Money Market Fund(s), Mutual Fund(s), No Product, Options, Other, Penny Stock(s), Unit Investment Trust(s)]


5. Formal Action was brought in (include name of Federal, Military, State or Foreign Court, Location of Court - City or County and State or Country, DocketICase Number):





( Date Appeal Filed (MMIDDIYYYY):

Page 3 of 7

f U6 - CIVIL JUDICIAL DRP (CONTINUED)

10. If pending, date notice/process was served (MWDDPIYW): Exact Explanation If not exact, provide explanation:

I If Final or On Appeal, complete all items below. For Pending Actions, complete Item 14 only.


12. Resolution Date (MMIDDIYYYY): Exact Explanation If not exact, provide explanation:

13. Resolution Detail: A. Were any of the following Sanctions Ordered? (Check all appropriate items):

MonetarylFine Amount: $ Cj RevocationlExpulsionlDenial DisgorgementlRestitution Censure


Suspension B. Other Sanctions:

C. 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 examlretraining was a condition of the sanction, provide length of time given to requalifylretrain, 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 broker, date paid and if any portion of penalty was waived:

14. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the action, as well as the current status or final disposition and/or finding(s). Include the number of investors in the reporting jurisdiction, the total number of investors in the program, the amount invested in the reporting jurisdiction and the total amount invested. Your information must fit within the space provided.

Page 4 of 7

I This Disclosure Reporting Page is an INITIAL OR q AMENDED

IA Disclosure Expiration Date: I lARD SEC

1. If charge(s) were brought against an organization over which the subject exercise(d) control: (Enter Organization Name, whether or not the organization was an investment-related business and the subject's position, title or relationship.)

2. Formal Charge(s) were brought in: (include name of Federal, Military, State or Foreign Court, Location of Court - City or County and State or Country, DocketlCase number).


A. Date First Charged (MMIDDNYW): Exact Explanation If not exact, provide explanation:

B. Event Disclosure Detail (include Charge(s)lCharge Description(s), and for each charae ~rovide: 1. number of counts, 2 felony or misdemeanor, 3. plea for each charge, and 4. product type if charge is investment-related):

C. Did any of the Charge@) within the Event involve a Felony? n ~ e s NO D. Current status of the Event? Pending On Appeal Final

E. Event Status Date (complete unless status is Pending) (MMIDDNYYY): Exact Explanation


4. Disposition Disclosure Detail Include for each charge, A. Disposition type [e.g., convicted, acquitted, dismissed, pretrial, etc.], B. Date, C. SentenceIPenalty, Q. Duration [if sentence-suspension, probation, etc.], E. Start Date of Penalty, E. PenaltyIFine Amount and G. Date Paid.

5. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the charge@) as well as the current status or final disposition. include the relevant dates when the conduct that was the subject of the charge@) occurred. Include the number of investors in the reporting jurisdiction, the total number of investors in the program, the amount invested in the reporting jurisdiction, the total amount invested and whether the action is based on a referral or investigation from your securities division. Your information must fit within the space provided.

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Page 5 of 7

I U6 - REGULATORY ACTION DRP

I This Disclosure Reporting Page is an INITIAL OR AMENDED --


1. Regulatory Action initiated by: SEC Other Federal State SRO Foreign ~ederal Banking Agency National Credit Union Administration other

Full name of regulator, foreign financial regulatory authority, Federal, State, SRO, commodities exchange or National Credit Union Administration)

2. Principal SanctionlRelief Sought: [Circle one: Bar, Cease and Desist, Censure, Civil and Administrative Penalty(ies)/Fiie(s), Denial, Disgorgement, Expulsion, Injunction, Other, Prohibition, Reprimand, Restitution, Revocation, Suspension, Undertaking]

I Other SanctionsIRelief Sought:

3. Date Initiated (MMIDDPIYYY): Exact Explanation If not exact, provide explanation:

-

4. DocketKase Number:


6. Principal Product Type: [Circle one: Annuity(ies) - Fixed, Annuity(ies) - Variable, Banking Products (Other than CD(s)), CD(s), Commodity Options(s), Debt - Asset Backed, Debt - Corporate, Debt - Government, Debt - Municipal, Derivative(s), Direct Investment(s) - DPP & LP Interest(s), Equity - OTC, Equity Listed (Common & Preferred Stock), Futures - Commodity, Futures - Financial, Index Options(s), Insurance, Investment Contract(s), Money Market Fund@), Mutual Fund@), No Product, Options, Other, Penny Stock(s), Unit Investment Trust(s)]


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related to this regulatory action. (The information must fit within the space provided.):

8. Current Status? Pending On Appeal [7 Final


If Final or On Appeal, complete all items below. For Pending Actions, complete Item 14 only.

I 10. How was matter resolved: [Circle one: Acceptance, Waiver 8 Consent(AWC); Consent; Decision; Decision & Order of Offer of Settlement; Dismissed; Order; Other; Settled; Stipulation and Consent; Vacated; Wtihdrawn]

I 11. Does the order constitute a final order based on violations of any laws or regulations that prohibit fraudulent, manipulative, or deceptive conduct?

Page 6 of 7

U6 - REGULATORY ACTION DRP (CONTINUED)

12. Resolution Date (MMIDDPIYW): ~ x a c t Explanation If not exact, provide explanation:

13. Resolution Detail: A. Were any of the following Sanctions Ordered? (Chedc all appropriate items):

MonetarylFine Amount: $ RevocationlExpulsionlDenial DisgorgemenffRestitution Censure Cease and Desist/lnjunction Bar

Suspension

8. Other Sanctions Ordered:

C. 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 examlretraining was a condition of the sanction, provide length of time given to requalifylretrain, 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 the subject, date paid and if any portion of penalty was waived:

14. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the action as well as the current status or final disposition andlor finding(@. Include relevant terms, conditions and dates. Include the number of investors in the reporting jurisdiction, the total number of investors in the program, the amount invested in the reporting jurisdiction, the total amount invested and whether the action is based on a referral or investigation from your securities division. Your information must fit within the space provided.

Page 7 of 7

U6 - SUBJECT OF ACTION ENTITY NAME: CRD 1Y:

a

CRD DBA NAME:


LEGAL STATUS OF SUBJECT:

CORPORATION

CITY: STATE:

1 SOLE PROPRIETORSHIP OTHER (SPECIFY)


I PARTNERSHIP LIMITED LIABlUTY COMPANY

STATE OF FORMATION: COUNTRY OF FORMATION: DATE OF FORMATION (MMIDDIYYYY):

I 1

IARD PRIMARY BUSINESS NAME:


I 1 PARTNERSHIP LIMITED LIABILITY COMPANY (LLC)

CITY: STATE:

1 OTHER (SPECIFY)

STATE OF FORMATION: COUNTRY OF FORMATION: DATE OF FORMATION (MMlDDMyw):


I I

REGULATOR CONTACT: REGULATOR PHONE NUMBER:

IARD LEGAL STATUS OF SUBJECT:

1 CORPORATION 1 SOLE PROPRIETORSHIP LIMITED LIABILITY PARTNERSHIP (LLP)

Page 1 of 7

I U6 - BANKRUPTCYISIPCICOMPROMlSE WITH CREDITORS DRP




2. Action Date (MMIDDIYYYY): Exact Explanation If not exact, provide explanation:

3. If the financial action relates to an organization over which you exercise(d) control, enter Organization Name and your position, title or relationship:

Was the Organization investment-related? D y e s No

4. Court (Name of Federal, State or Foreign Court), Location of Court (City or County State or Country), DocketICase Number and Bankruptcy Chapter Number (if Federal Bankruptcy Filing):

5. Is action currently pending? n ~ e s No

6. If not pending, provide disposition type: [Circle one: Direct Payment Procedure, Discharged, Dismissed, Dissolved, Other, SIPA Trustee Appointed, Satisfied/Released]

7. Disposition Date (MMIDDIYYYY): Exact Explanation If not exact, provide explanation:



Currently Open? Yes No Date Direct Pa ment InitiatedIFiled or Trustee Appointed (MMIDDIYYYY):

Exact &p.nation If not exact, provide explanation:

10. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the action as well as the current status or final disposition. Include the details as to creditors, terms, conditions, amounts due and settlement schedule (if applicable). Your information must ffi within the space provided.

Page 2 of 7



I One event may result in more than one affirmative answer to the above items. Use only one DRP to report details related to the same event. Unrelated civil judicial actions must be reported on separate DRPs.

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1. Court Action initiated by: (Name of regulator, fomign financial regulatory authority, SRO, commodities exchange, Agency, Firm, Private Plaintiff, etc.)


I Other Relief Sought:

3. Filing Date of Court Action (MMIDDIYYYY): Exact Explanation If not exact, provide explanation:

4. Principal Product Type: [Circle one: Annuity(ies) - Fixed, Annuity(ies) - Variable, Banking Products (Other than CD(s)), CD(s), Commodity Options(s), Debt - Asset Backed, Debt - Corporate, Debt - Government, Debt - Municipal, Derivative(s), Direct Investmenys) - DPP & LP Interest(s), Equity - OTC, Equity Listed (Common & Preferred Stock), Futures - Commodity, Futures - Financial, Index Options(s), Insurance, Investment Contract(s), Money Market Fund(s), Mutual Fund(s), No Product, Options, Other, Penny Stock(s), Unit Investment Tmst(s)]

1 Other Product Types:

5. Formal Action was brought in (include name of Federal, Military, State or Foreign Court, Location of Court - City or County and State or Country, DocketICase Number):





Date Appeal Filed (MMIDDIYYYY): % J

Page 3 of 7

I U6 - CIVIL JUDICIAL DRP (CONTINUED) I 10. If pending, date noticelprocess was served (MMIDDPIYW): Exact [7 Explanation


I If Final or On Appeal, complete all items below. For Pending Actions, complete Item 14 only. I


12. Resolution Date (MMIDDPIYW): Exact Explanation I I If not exact, provide explanation:


MonetatyIFine Amount: $ RevocationlExpulsionlDenial

DisgorgementlRestitution Censure

Cease and Desist/lnjunction Bar

Suspension B. Other Sanctions:

C. 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 examlretraining was a condition of the sanction, provide length of time given to requalifylretrain, 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 broker, date paid and if any portion of penalty was waived:

14. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the action, as well as the current status or final disposition andlor finding(s). Include the number of investors in the reporting jurisdiction, the total number of investors in the program, the amount invested in the reporting jurisdiction and the total amount invested. Your information must fit within the space provided.

Page 4 of 7

This Disclosure Reporting Page is an INITIAL OR C] AMENDED - -


1. If charge(s) were brought against an organization over which the subject exercise(d) control: (Enter Organization Name, whether or not the organization was an investment-related business and the subject's position, title or relationship.)

2. Formal Charge(s) were brought in: (include name of Federal, Military, State or Foreign Court, Location of Court - City or County and State or Country, DocketICase number).


A. Date First Charged (MMIDDIYWY): C] Exact Explanation If not exact, provide explanation:

B. Event Disclosure Detail (include Charge(s)/Charge Description(s), and for each charae ~rovide: 1. number of counts, 2. Wony or misdemeanor, 3. plea for each charge, and 4. product type if charge is investment-related):

C. Did any of the Charge(s) within the Event involve a Felon)/) D y e s ONO D. Current status of the Event? Pending On Appeal Final

E. Event Status Date (complete unless status is Pending) (MMIDDIYWY): C] Exact Explanation If not exact, provide explanation:

4. Disposition Disclosure Detail Include for each charge, A. Disposition type [e.g., convicted, acquitted, dismissed, pretrial, etc.], B. Date, C. SentenceIPenalty, Q. Duration [if sentence-suspension, probation, etc.], E. Start Date of Penalty, E. PenaltyIFine Amount and G. Date Paid.

- - -- -- --

5. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the charge(~) as well as the current status or final disposition. lnclude the relevant dates when the conduct that was the subject of the charge@) occurred. lnclude the number of investors in the reporting jurisdiction, the total number of investors in the program, the amount invested in the reporting jurisdiction, the total amount invested and whether the action is based on a referral or investigation from your securities division. Your information must fit within the space provided.

Page 5 of 7

U6 - REGULATORY ACTION DRP

rhis Disclosure Reporting Page is an INITIAL OR AMENDED pp -- -- - -


1. Regulatory Action initiated by: SEC other Federal state SRO Foreign Federal Banking Agency National Credit Union Administration mother

Full name of regulator, fomign financial regulatory authority, Federal, State, SRO, commodities exchange or National Credit Union Administration)

I 2. Principal SanctionlRelief Sought: [Circle one: Bar, Cease and Desist, Censure, Civil and Administrative

Penalty(ies)/Fine(s), Denial, Disgorgement, Expulsion, Injunction, Other, Prohibition, Reprimand, Restitution, Revocation, Suspension, Undertaking]

Other SanctionslRelief Sought:

3. Date Initiated (MMIDDIYYYY): Exact Explanation If not exact, provide explanation:

4. DocketICase Number:


6. Principal Product Type: [Circle one: Annuity(ies) - Fixed, Annuity(ies) - Variable, Banking Products (Other than CD(s)), CD(s), Commodity Options(s), Debt - Asset Backed, Debt - Corporate, Debt - Government, Debt - Municipal, Derivative(s), Direct Investment@) - DPP & LP Interest(s), Equity - OTC, Equity Listed (Common & Preferred Stock), Futures - Commodity, Futures - Financial, Index Options($, Insurance, Investment Contract(s), Money Market Fund(s), Mutual Fund($, No Product, Options, Other, Penny Stock(s), Unit Investment Trust(s)]


- --

7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):

3. Current Status? Pending On Appeal ~ i n a l


f Final or On Appeal, complete all items below. For Pending Actions, complete Item 14 only. 0. How was matter resolved: [Circle one: Acceptance, Waiver & Consent(AWC); Consent; Decision; Decision & Order of

Offer of Settlement; Dismissed; Order; Other; Settled; Stipulation and Consent; Vacated; Wtihdrawn]

1. Does the order constitute a final order based on violations of any laws or regulations that prohibit fraudulent, manipulative, or deceptive conduct?

a y e s ONO

Page 6 of 7

1 U6 - REGULATORY ACTION DRP (CONTINUED)

12. Resolution Date (MMlDDtYYW): ~ x a c t ~xplanation If not exact, provide explanation:


MonetarylFlne Amount: $ RevocationlExpulsionlDenial DisgorgementlRestitution Censure


Suspension

B. Other Sanctions Ordered:

C. 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 examlretraining was a condition of the sanction, provide length of time given to requalifylretrain, 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 the subject, date paid and if any portion of penalty was waived:

14. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the action as well as the current status or final disposition andlor finding(s). Include relevant terms, conditions and dates. lnclude the number of investors in the reporting jurisdiction, the total number of investors in the program, the amount invested in the reporting jurisdiction, the total amount invested and whether the action is based on a referral or investigation from your securities division. Your information must fit within the space provided.

Page 7 of 7

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