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9. In the last five (5) years, has any professional liability claim or suit ever been made against Yes No
you individually or while employed at a prior firm?
If Yes, how many?
If Yes, please complete the Claims Supplement and provide currently valued company loss runs.
10. Do you know of any incident, act, error or omission that could result in a claim or suit against Yes No
the firm or any predecessor firm or any of the current or former members of the firm?
If Yes, please complete the Claims Supplement and provide currently valued company loss runs.
11. Have you ever been refused admission to practice, been disbarred, suspended, reprimanded, Yes No
sanctioned, or held in contempt by any court, administrative agency or regulatory body or
been subject of a disciplinary complaint made to any of the aforementioned entities?
If Yes, please provide a copy of the complaint made to the bar and a copy of their decision.
FRAUD WARNING
NOTICE TO ALABAMA, ALASKA, ARIZONA, ARKANSAS, CALIFORNIA, CONNECTICUT, DELAWARE, GEORGIA, IDAHO, ILLINOIS, INDIANA, IOWA, KANSAS,
MARYLAND, MASSACHUSETTS, MICHIGAN, MINNESOTA, MISSISSIPPI, MISSOURI, MONTANA, NEBRASKA, NEVADA, NEW HAMPSHIRE, NORTH
CAROLINA, NORTH DAKOTA, OREGON, RHODE ISLAND, SOUTH CAROLINA, SOUTH DAKOTA, TEXAS, UTAH, VERMONT, WASHINGTON, WEST VIRGINIA,
WISCONSIN, AND WYOMING APPLICANTS: In some states, any person who knowingly, and with intent to defraud any insurance company or other person,
files an application for insurance or statement of claim containing any materially false information, or, for the purpose of misleading, conceals information
concerning any fact material thereto, may commit a fraudulent insurance act which is a crime in many states.
NOTICE TO COLORADO APPLICANTS: It is unlawful to knowingly provide false, incomplete or misleading facts or information to an insurance company for
the purpose of defrauding or attempting to defraud the company. Penalties may include imprisonment, fines, denial of insurance and civil damages. Any
insurance company or agent of an insurance company who knowingly provides false, incomplete or misleading facts or information to a policy holder or
claimant for the purpose of defrauding or attempting to defraud the policyholder or claiming with regard to a settlement or award payable for insurance
proceeds shall be reported to the Colorado Division of Insurance within the Department of Regulatory Agencies.
NOTICE TO DISTRICT OF COLUMBIA APPLICANTS: WARNING: It is a crime to provide false or misleading information to an insurer for the purpose of
defrauding the insurer or any other person. Penalties include imprisonment and/or fines. In addition, an insurer may deny insurance benefits if false
information materially related to a claim was provided by the applicant.
NOTICE TO FLORIDA APPLICANTS: Any person who knowingly and with intent to injure, defraud or deceive any insurance company files a statement of
claim containing any false, incomplete or misleading information is guilty of a felony of the third degree.
B. D.
% Admiralty other than Defense %
Banking, savings & loan, or other financial
institution services
%
Corporation formation/alteration
(Non-SEC Related) %
Bonds, commercial paper, limited partnerships,
or State/Federal securities, both exempt & non-
exempt (Complete Securities Supp.)
% Environmental %
Real Estate - Commercial
% ERISA or Employee Benefits %
Real Estate - Residential
%
Investment Counseling/Money Mgt.
(Complete Financial Planning Supplement) %
Real Estate Development and/or
Syndication/Limited Partnership
% International Law %
Securities/SEC (Complete Securities Supp.)
% Labor Law %
Other(Describe in detail by attachment)
% Mergers/Acquisitions
% Utilities/Municipality
% Subtotal (B) %
Subtotal (D)
100%
Total A + B + C + D