10. Nature and Place(s) of Business of the Applicant or Employment History (if an individual) for the past 10 years or for the period of
existence if less than 10 years:
11. Background Information — For the purposes of this section only, Applicant also includes principals, officers, directors, partners, members,
trustees, managers or any similar individual. Mark each question “yes” or “no.” If the answer to any question is “yes,” provide a detailed
explanation and/or documentation on an additional sheet.
a. In the past 10 years has the Applicant been convicted of or pleaded guilty or nolo contendre (no contest) in a domestic or foreign court to:
1. A felony or misdemeanor involving: investment, financial, loan broker or related business fraud, false statement, or omissions,
wrongful taking of property, or bribery, forgery, counterfeiting or extortion:
❏ Yes ❏ No
2. Any felony (other than listed above):
❏ Yes ❏ No
b. Has any domestic or foreign court in the past 10 years enjoined the applicant in connection with investment, financial or business
related activity:
❏ Yes ❏ No
c. Has any other federal regulatory agency, state regulatory agency or foreign financial regulatory authority:
1. Ever found the applicant to have made a false statement or omission, or been dishonest, unfair or unethical?
❏ Yes ❏ No
2. Ever found the applicant to have been involved in a violation of investment, business or financial regulations or statutes?
❏ Yes ❏ No
3. Ever found the applicant to have been a cause of a loan broker, investment or financial related business having its
authorization to do business denied, suspended, revoked, restricted or otherwise adversely affected?
❏ Yes ❏ No
4. In the past 10 years, entered an order against the applicant in connection with an investment, financial or loan broker related activity?
❏ Yes ❏ No
5. Ever denied, suspended, revoked or otherwise adversely affected the applicant’s registration or license, prevented it from
associating with an investment, financial or loan broker related business, or otherwise disciplined it by restricting its activities?
❏ Yes ❏ No
6. Ever revoked, suspended or otherwise adversely affected the applicant’s license as an attorney or accountant?
❏ Yes ❏ No
d. Has any foreign government, court or regulatory authority ever entered an order against the applicant related to financial activity or
fraud other than as reported above?
❏ Yes ❏ No
e. Is the applicant now the subject of any proceeding that could result in a “yes” answer to any parts of Section 11?
❏ Yes ❏ No
f. Has a bonding company denied, paid out on or revoked a bond for the applicant?
❏ Yes ❏ No
g. Does the applicant have any material unsatisfied judgements or liens against it?
❏ Yes ❏ No