PROBE NEEDED
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM TA-1
OMB Approval OMB Number: 3235-0084 Expires: April 30, 2012
History: The following definitions apply for purposes of answering this Question 10 Control affiliate - An individual or firm that directly or indirectly controls, is under common control with, or is controlled by applicant. Included are any employees identified in 8(a), 8(b), 8(c) of this form as exercising control. Excluded are any employees who perform solely clerical, administrative support of similar functions, or who, regardless of title, perform no executive duties or have no senior policy making authority. Investment or investment related - Pertaining to securities, commodities, banking, insurance, or real estate (including, but not limited to, acting as or being associated with a broker-dealer, investment company, investment adviser, futures sponsor, bank, or savings and loan association). Involved - Doing an act of aiding, abetting, counseling, commanding, inducing, conspiring with or failing reasonably to supervise another in doing an act. 10(a). In the past ten years has the applicant or a control affiliate been convicted of or plead guilty or nolo contender ("no contest") to: 10(a)(1). a felony or misdemeanor involving: investments or an investment-related business, fraud, false statements or omissions, wrongful taking of property, or bribery, forgery, counterfeiting or extortion? . . . . . . . . . . . . Yes No
O1JUN89
SUPREME COURT OF FLORIDA
THE ROOT OF THE SECURITIES FRAUD
09JUN88 CAMPBELL RIVER BC/CITY HALL/CR COURT HOUSE
"fraud upon the court" as to corrupt COURT RECORD/LAWFUL DEBT OBLIGATIONS
SOVEREIGN CITIZEN JUDICIAL IMPOSTERS
ISSUE A
FORGED DISCHARGE OF ALL THE FORGED LANDS CHARGED
ISSUE BC
BUT NOT THE FORGED DEED DATED BACK TO 1969 REGISTERED IN VICTORIA LAND TITLES
DISTRICT OF CAMPBELL RIVER
CITY OF VANCOUVER
A FORGED DISCHARGE OF A FORGED TORONTO DOMINION MORTGAGE
ISSUE A & B
FORGED -2X FORGED INDEFEASABILE OWNERSHIP
TITLE FRAUD #4432
ISSUE C
ONE FORGED FEE SIMPLE INTREREST OWNERSHIP
TITLE FRAUD #C1229
Griffiths, who co-founded Griffiths, McBurney Partners in 1995, And here's an organization dedicated to bringing down pyramid schemes:
McFarlane Gordon.
Terry Johnson, owner of the Hamer Bay Marine,
http://www.pyramidschemealert.org/PS...sabstract.html
Mr. Griffiths’ dramatic career took off after he helped establish GMP. Amid the large, bank-owned brokerage firms, GMP rose to the top ranks on Bay Street as an independent firm. At the same time, his reputation as a potent deal-maker began to solidify. A chartered accountant by training, he left the company in 2000, although it still bears his name.
During his 30 years in the investment business, Mr. Griffiths also worked as head of mergers and acquisitions at Canadian Imperial Bank of Commerce, a director and vice-president at Gordon Capital Corp., co-chairman and head of capital markets at Canaccord Capital and managing director of capital markets at institutional brokerage house McFarlane Gordon.
He was among the group at Canaccord that purchased a major interest in Standard Securities.
Most recently, Mr. Griffiths was chief financial officer and chairman at United Hunter Oil.
According to the West Parry Sound OPP, the police were called to assist in the search just before 1 p.m. on Monday after Mr. Griffiths’ boat was found with no operator aboard. A glove and shoes belonging to Mr. Griffiths were found, although police do not believe he was wearing a flotation device.
Terry Johnson, owner of the Hamer Bay Marine, where Mr. Griffiths held an account, said one of his workboats was dispatched to the scene with fire department personnel to help with the initial search.
http://news.google.ca/news/section?pz=1&cf=all&ned=ca&topic=n&ict=ln
Read more: http://www.windsorstar.com/news/Street+shot+missing/5129264/story.html#ixzz1SelLrXUj
McFarlane Gordon.
Terry Johnson, owner of the Hamer Bay Marine,
http://www.pyramidschemealert.org/PS...sabstract.html
Mr. Griffiths’ dramatic career took off after he helped establish GMP. Amid the large, bank-owned brokerage firms, GMP rose to the top ranks on Bay Street as an independent firm. At the same time, his reputation as a potent deal-maker began to solidify. A chartered accountant by training, he left the company in 2000, although it still bears his name.
During his 30 years in the investment business, Mr. Griffiths also worked as head of mergers and acquisitions at Canadian Imperial Bank of Commerce, a director and vice-president at Gordon Capital Corp., co-chairman and head of capital markets at Canaccord Capital and managing director of capital markets at institutional brokerage house McFarlane Gordon.
He was among the group at Canaccord that purchased a major interest in Standard Securities.
Most recently, Mr. Griffiths was chief financial officer and chairman at United Hunter Oil.
According to the West Parry Sound OPP, the police were called to assist in the search just before 1 p.m. on Monday after Mr. Griffiths’ boat was found with no operator aboard. A glove and shoes belonging to Mr. Griffiths were found, although police do not believe he was wearing a flotation device.
Terry Johnson, owner of the Hamer Bay Marine, where Mr. Griffiths held an account, said one of his workboats was dispatched to the scene with fire department personnel to help with the initial search.
http://news.google.ca/news/section?pz=1&cf=all&ned=ca&topic=n&ict=ln
Read more: http://www.windsorstar.com/news/Street+shot+missing/5129264/story.html#ixzz1SelLrXUj
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM TA-1
OMB Approval OMB Number: 3235-0084 Expires: April 30, 2012 Estimated average burden hours per response ..... 2.00 UNIFORM FORM FOR REGISTRATION AS A TRANSFER AGENT AND FOR AMENDMENT TO REGISTRATION PURSUANT TO SECTION 17A OF THE SECURITIES EXCHANGE ACT OF 1934
GENERAL: Form TA-1 is to be used to register or amend registration as a transfer agent with the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation or the Securities and Exchange Commission pursuant to Section 17A of the Securities Exchange Act of 1934.
Read all instructions before completing this form.
Please print or type all responses. Form Version 3.2.0
1(a). Filer CIK: 0001502303
1(c). Live/Test Filing? x Live o Test
1(e). Is this filing an amendment to a previous filing? o Yes
2. Appropriate regulatory agency (check one) :
x Securities and Exchange Commission
o Board of Governors of the Federal Reserve System
o Federal Deposit Insurance Corporation
o Comptroller of the Currency
o Office of Thrift Supervision
3(a). Full Name of Registrant: Canadian Stock Transfer Company Inc
. 3(b). Financial Industry Number Standard (FINS) number: 343616
3(c). Address of principal office where transfer agent activities are, or will be, performed:
3(c)(i). Address 1 320 Bay Street, P.O. Box 1
3(c)(ii). Address 2 Attn: Pierre Tellis
3(c)(iii). City Toronto
3(c)(iv). State or Country A6
ONTARIO, CANADA 3(c)(v). Postal Code M5H 4A6
3(d). Is Mailing address different from response to Question 3c?
If "yes," provide address(es): Yes No o x
3(e). Telephone Number (Include Area Code) 416-643-5436
4. Does registrant conduct, or will it conduct, transfer agent activities at any location other than that given in question 3c above?
If "yes," provide address(es): Yes No x o
4(a)(i). Address 1 320 Bay Street (3rd Floor)
4(a)(ii). Address 2
4(a)(iii). City Toronto
4(a)(iv). State or Country A6
ONTARIO, CANADA
4(a)(v). Postal Code M5H 4A6
4(a)(i). Address 1 199 Bay Street
4(a)(ii). Address 2 Commerce Court West (B2 - Level)
4(a)(iii). City Toronto 4(a)(iv). State or Country A6
ONTARIO, CANADA 4(a)(v). Postal Code M5L 1G9
4(a)(i). Address 1 600 The Dome Tower
4(a)(ii). Address 2 333-7th Avenue S.W. (6th Floor)
4(a)(iii). City Calgary
4(a)(iv). State or Country A0
ALBERTA, CANADA
4(a)(v). Postal Code T2P 2Z1
4(a)(i). Address 1 2001 University Street (Suite 1600)
4(a)(ii). Address 2
4(a)(iii). City Montreal 4(a)(iv). State or Country A8
QUEBEC, CANADA
4(a)(v). Postal Code H3A 2A6
4(a)(i). Address 1 1066 West Hastings (16th Floor)
4(a)(ii). Address 2 Vancouver
4(a)(iii). City
4(a)(iv). State or Country A1
BRITISH COLUMBIA, CANADA
4(a)(v). Postal Code V6E 3X1
4(a)(i). Address 1 1660 Hollis Street, Centennial Building
4(a)(ii). Address 2 (Suite 406, 4th Floor) 4(a)(iii). City Halifax 4(a)(iv). State or Country A5
NOVA SCOTIA, CANADA
4(a)(v). Postal Code B3J 1V7 5. Does registrant act, or will it act, as a transfer agent solely for its own securities and/or securities of an affiliate(s)? Yes No o x 6. Has registrant, as a named transfer agent, engaged, or will it engage, a service company to perform any transfer agent functions? Yes No x o If "yes," provide the name(s) and address(es) of all service companies engaged, or that will be engaged, by the registrant to perform its transfer agent functions: 6(a). Name: CIBC Mellon Trust Company 6(b). File Number: 084-06096 6(c)(i). Address 1 320 Bay Street 6(c)(ii). Address 2 6(c)(iii). City Toronto 6(c)(iv). State or Country A6 6(c)(v). Postal Code M5H 4A6 6(a). Name: BNY Mellon Shareowner Services 6(b). File Number: 084-05579 6(c)(i). Address 1 Newport Office Centre VII 6(c)(ii). Address 2 480 Washington Boulevard 6(c)(iii). City Jersey City 6(c)(iv). State or Country NJ 6(c)(v). Postal Code 07310 6(a). Name: American Stock Transfer & Trust Company LLC 6(b). File Number: 084-00416 6(c)(i). Address 1 6201 15th Avenue 6(c)(ii). Address 2 6(c)(iii). City Brooklyn 6(c)(iv). State or Country NY 6(c)(v). Postal Code 11219 7. Has registrant been engaged, or will it be engaged, as a service company by a named transfer agent to perform transfer agent functions? Yes No o x Completion of Question 8 on this form is required by all independent, non-issuer registrants whose appropriate regulatory authority is the Securities and Exchange Commission. Those registrants who are not required to complete Question 8 should select "Not Applicable". 8. Is registrant a: Corporation Section for Initial Registration and for Amendments Reporting Additional Persons. 8(a)(i). Full Name Armor Acquisition LLC 8(a) (ii). Relationship Start Date 2010-07-26 8(a) (iii). Title or Status Shareholder 8(a) (iv). Ownership Code E - 75% up to 100% 8(a) (v). Control Person x 8(a)(i). Full Name Jacob Haines 8(a) (ii). Relationship Start Date 2010-07-26 8(a) (iii). Title or Status Director 8(a) (iv). Ownership Code NA - 0 to 5% 8(a) (v). Control Person x 8(a)(i). Full Name Mark Healy 8(a) (ii). Relationship Start Date 2010-07-26 8(a) (iii). Title or Status Director 8(a) (iv). Ownership Code NA - 0 to 5% 8(a) (v). Control Person x 8(a)(i). Full Name Cameron Blanks 8(a) (ii). Relationship Start Date 2010-07-26 8(a) (iii). Title or Status Director 8(a) (iv). Ownership Code NA - 0 to 5% 8(a) (v). Control Person x 8(a)(i). Full Name Stephen Clark 8(a) (ii). Relationship Start Date 2010-07-26 8(a) (iii). Title or Status Director 8(a) (iv). Ownership Code NA - 0 to 5% 8(a) (v). Control Person x 9. Does any person or entity not named in the answer to Question 8: 9(a). directly or indirectly, through agreement or otherwise exercise or have the power to exercise control over the management or policies of applicant; or . . . . Yes No o x 9(b). wholly or partially finance the business of applicant, directly or indirectly, in any manner other than by a public offering of securities made pursuant to the Securities Act of 1933 or by credit extended in the ordinary course of business by suppliers, banks and others ? . . . . . . . . . . . . . . . . . . . . . . . . . . Yes No o x 10. Applicant and Control Affiliate Disciplinary History: The following definitions apply for purposes of answering this Question 10 Control affiliate - An individual or firm that directly or indirectly controls, is under common control with, or is controlled by applicant. Included are any employees identified in 8(a), 8(b), 8(c) of this form as exercising control. Excluded are any employees who perform solely clerical, administrative support of similar functions, or who, regardless of title, perform no executive duties or have no senior policy making authority. Investment or investment related - Pertaining to securities, commodities, banking, insurance, or real estate (including, but not limited to, acting as or being associated with a broker-dealer, investment company, investment adviser, futures sponsor, bank, or savings and loan association). Involved - Doing an act of aiding, abetting, counseling, commanding, inducing, conspiring with or failing reasonably to supervise another in doing an act. 10(a). In the past ten years has the applicant or a control affiliate been convicted of or plead guilty or nolo contender ("no contest") to: 10(a)(1). a felony or misdemeanor involving: investments or an investment-related business, fraud, false statements or omissions, wrongful taking of property, or bribery, forgery, counterfeiting or extortion? . . . . . . . . . . . . Yes No o x 10(a)(2). any other felony? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Yes No o x 10(b). Has any court in the past ten years: 10(b)(1). enjoined the applicant or a control affiliate in connection with any investment-related activity? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Yes No o x 10(b)(2). found that the applicant or a control affiliate was involved in a violation of investment-related statutes or regulations? . . . . . Yes No o x 10(c). Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever: 10(c)(1). found the applicant or a control affiliate to have made a false statement or omission? . . . . . . . . . . . . . . . . . . . . . . . . Yes No o x 10(c)(2). found the applicant or a control affiliate to have been involved in a violation of its regulations or statutes? . . . . . . . . . . . . . . . . . . . . . . . . . . . . Yes No o x 10(c)(3). found the applicant or a control affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Yes No o x 10(c)(4). entered an order denying, suspending or revoking the applicant's or a control affiliate's registration or otherwise disciplined it by restricting its activities? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Yes No o x 10(d). Has any other Federal regulatory agency or any state regulatory agency: 10(d)(1). ever found the applicant or a control affiliate to have made a false statement or omission or to have been dishonest, unfair, or unethical? . . . . . . Yes No o x 10(d)(2). ever found the applicant or a control affiliate to have been involved in a violation of investment-related regulations or statutes? . . . . . . . . . . . . . . . . . Yes No o x 10(d)(3). ever found the applicant or a control affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Yes No o x 10(d)(4). in the past ten years entered an order against the applicant or a control affiliate in connection with investment-related activity? . . . . . . . . . . Yes No o x 10(d)(5). ever denied, suspended, or revoked the applicant's or a control affiliate's registration or license, or prevented it from associating with an investment-related business, or otherwise disciplined it by restricting its activities? . . . . . . Yes No o x 10(d)(6). ever revoked or suspended the applicant's or a control affiliate's license as an attorney or accountant? . . . . . . . . . . . . . . . . . . . . . . . . Yes No o x 10(e). Has any self-regulatory organization or commodities exchange ever: 10(e)(1). found the applicant or a control affiliate to have made a false statement or omission? . . . . . . . . . . . . . . . . . . Yes No o x 10(e)(2). found the applicant or a control affiliate to have been involved in a violation of its rules? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Yes No o x 10(e)(3). found the applicant or a control affiliate to have been the cause of an investment-related business losing its authorization to do business? . . . . . . . . Yes No o x 10(e)(4). disciplined the applicant or a control affiliate by expelling or suspending it from membership, by barring or suspending its association with other members, or by otherwise restricting its activities? . . . . . . . . . . . . . . . . Yes No o x 10(f). Has any foreign government, court, regulatory agency, or exchange ever entered an order against the applicant or a control affiliate related to investments or fraud? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Yes No o x 10(g). Is the applicant or a control affiliate now the subject of any proceeding that could result in a yes answer to questions 10(a) - 10(F)? Yes No o x 10(h). Has a bonding company denied, paid out on, or revoked a bond for the applicant or a control affiliate? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Yes No o x 10(i). Does the applicant or a control affiliate have any unsatisfied judgments or liens against it? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Yes No o x ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL CRIMINAL VIOLATIONS. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a) SIGNATURE: The registrant submitting this form, and as required, the SEC supplement and Schedules A-D, And the executing official hereby represent that all the information contained herein is true,
OMB Approval OMB Number: 3235-0084 Expires: April 30, 2012 Estimated average burden hours per response ..... 2.00 UNIFORM FORM FOR REGISTRATION AS A TRANSFER AGENT AND FOR AMENDMENT TO REGISTRATION PURSUANT TO SECTION 17A OF THE SECURITIES EXCHANGE ACT OF 1934
GENERAL: Form TA-1 is to be used to register or amend registration as a transfer agent with the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation or the Securities and Exchange Commission pursuant to Section 17A of the Securities Exchange Act of 1934.
Read all instructions before completing this form.
Please print or type all responses. Form Version 3.2.0
1(a). Filer CIK: 0001502303
1(c). Live/Test Filing? x Live o Test
1(e). Is this filing an amendment to a previous filing? o Yes
2. Appropriate regulatory agency (check one) :
x Securities and Exchange Commission
o Board of Governors of the Federal Reserve System
o Federal Deposit Insurance Corporation
o Comptroller of the Currency
o Office of Thrift Supervision
3(a). Full Name of Registrant: Canadian Stock Transfer Company Inc
. 3(b). Financial Industry Number Standard (FINS) number: 343616
3(c). Address of principal office where transfer agent activities are, or will be, performed:
3(c)(i). Address 1 320 Bay Street, P.O. Box 1
3(c)(ii). Address 2 Attn: Pierre Tellis
3(c)(iii). City Toronto
3(c)(iv). State or Country A6
ONTARIO, CANADA 3(c)(v). Postal Code M5H 4A6
3(d). Is Mailing address different from response to Question 3c?
If "yes," provide address(es): Yes No o x
3(e). Telephone Number (Include Area Code) 416-643-5436
4. Does registrant conduct, or will it conduct, transfer agent activities at any location other than that given in question 3c above?
If "yes," provide address(es): Yes No x o
4(a)(i). Address 1 320 Bay Street (3rd Floor)
4(a)(ii). Address 2
4(a)(iii). City Toronto
4(a)(iv). State or Country A6
ONTARIO, CANADA
4(a)(v). Postal Code M5H 4A6
4(a)(i). Address 1 199 Bay Street
4(a)(ii). Address 2 Commerce Court West (B2 - Level)
4(a)(iii). City Toronto 4(a)(iv). State or Country A6
ONTARIO, CANADA 4(a)(v). Postal Code M5L 1G9
4(a)(i). Address 1 600 The Dome Tower
4(a)(ii). Address 2 333-7th Avenue S.W. (6th Floor)
4(a)(iii). City Calgary
4(a)(iv). State or Country A0
ALBERTA, CANADA
4(a)(v). Postal Code T2P 2Z1
4(a)(i). Address 1 2001 University Street (Suite 1600)
4(a)(ii). Address 2
4(a)(iii). City Montreal 4(a)(iv). State or Country A8
QUEBEC, CANADA
4(a)(v). Postal Code H3A 2A6
4(a)(i). Address 1 1066 West Hastings (16th Floor)
4(a)(ii). Address 2 Vancouver
4(a)(iii). City
4(a)(iv). State or Country A1
BRITISH COLUMBIA, CANADA
4(a)(v). Postal Code V6E 3X1
4(a)(i). Address 1 1660 Hollis Street, Centennial Building
4(a)(ii). Address 2 (Suite 406, 4th Floor) 4(a)(iii). City Halifax 4(a)(iv). State or Country A5
NOVA SCOTIA, CANADA
4(a)(v). Postal Code B3J 1V7 5. Does registrant act, or will it act, as a transfer agent solely for its own securities and/or securities of an affiliate(s)? Yes No o x 6. Has registrant, as a named transfer agent, engaged, or will it engage, a service company to perform any transfer agent functions? Yes No x o If "yes," provide the name(s) and address(es) of all service companies engaged, or that will be engaged, by the registrant to perform its transfer agent functions: 6(a). Name: CIBC Mellon Trust Company 6(b). File Number: 084-06096 6(c)(i). Address 1 320 Bay Street 6(c)(ii). Address 2 6(c)(iii). City Toronto 6(c)(iv). State or Country A6 6(c)(v). Postal Code M5H 4A6 6(a). Name: BNY Mellon Shareowner Services 6(b). File Number: 084-05579 6(c)(i). Address 1 Newport Office Centre VII 6(c)(ii). Address 2 480 Washington Boulevard 6(c)(iii). City Jersey City 6(c)(iv). State or Country NJ 6(c)(v). Postal Code 07310 6(a). Name: American Stock Transfer & Trust Company LLC 6(b). File Number: 084-00416 6(c)(i). Address 1 6201 15th Avenue 6(c)(ii). Address 2 6(c)(iii). City Brooklyn 6(c)(iv). State or Country NY 6(c)(v). Postal Code 11219 7. Has registrant been engaged, or will it be engaged, as a service company by a named transfer agent to perform transfer agent functions? Yes No o x Completion of Question 8 on this form is required by all independent, non-issuer registrants whose appropriate regulatory authority is the Securities and Exchange Commission. Those registrants who are not required to complete Question 8 should select "Not Applicable". 8. Is registrant a: Corporation Section for Initial Registration and for Amendments Reporting Additional Persons. 8(a)(i). Full Name Armor Acquisition LLC 8(a) (ii). Relationship Start Date 2010-07-26 8(a) (iii). Title or Status Shareholder 8(a) (iv). Ownership Code E - 75% up to 100% 8(a) (v). Control Person x 8(a)(i). Full Name Jacob Haines 8(a) (ii). Relationship Start Date 2010-07-26 8(a) (iii). Title or Status Director 8(a) (iv). Ownership Code NA - 0 to 5% 8(a) (v). Control Person x 8(a)(i). Full Name Mark Healy 8(a) (ii). Relationship Start Date 2010-07-26 8(a) (iii). Title or Status Director 8(a) (iv). Ownership Code NA - 0 to 5% 8(a) (v). Control Person x 8(a)(i). Full Name Cameron Blanks 8(a) (ii). Relationship Start Date 2010-07-26 8(a) (iii). Title or Status Director 8(a) (iv). Ownership Code NA - 0 to 5% 8(a) (v). Control Person x 8(a)(i). Full Name Stephen Clark 8(a) (ii). Relationship Start Date 2010-07-26 8(a) (iii). Title or Status Director 8(a) (iv). Ownership Code NA - 0 to 5% 8(a) (v). Control Person x 9. Does any person or entity not named in the answer to Question 8: 9(a). directly or indirectly, through agreement or otherwise exercise or have the power to exercise control over the management or policies of applicant; or . . . . Yes No o x 9(b). wholly or partially finance the business of applicant, directly or indirectly, in any manner other than by a public offering of securities made pursuant to the Securities Act of 1933 or by credit extended in the ordinary course of business by suppliers, banks and others ? . . . . . . . . . . . . . . . . . . . . . . . . . . Yes No o x 10. Applicant and Control Affiliate Disciplinary History: The following definitions apply for purposes of answering this Question 10 Control affiliate - An individual or firm that directly or indirectly controls, is under common control with, or is controlled by applicant. Included are any employees identified in 8(a), 8(b), 8(c) of this form as exercising control. Excluded are any employees who perform solely clerical, administrative support of similar functions, or who, regardless of title, perform no executive duties or have no senior policy making authority. Investment or investment related - Pertaining to securities, commodities, banking, insurance, or real estate (including, but not limited to, acting as or being associated with a broker-dealer, investment company, investment adviser, futures sponsor, bank, or savings and loan association). Involved - Doing an act of aiding, abetting, counseling, commanding, inducing, conspiring with or failing reasonably to supervise another in doing an act. 10(a). In the past ten years has the applicant or a control affiliate been convicted of or plead guilty or nolo contender ("no contest") to: 10(a)(1). a felony or misdemeanor involving: investments or an investment-related business, fraud, false statements or omissions, wrongful taking of property, or bribery, forgery, counterfeiting or extortion? . . . . . . . . . . . . Yes No o x 10(a)(2). any other felony? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Yes No o x 10(b). Has any court in the past ten years: 10(b)(1). enjoined the applicant or a control affiliate in connection with any investment-related activity? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Yes No o x 10(b)(2). found that the applicant or a control affiliate was involved in a violation of investment-related statutes or regulations? . . . . . Yes No o x 10(c). Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever: 10(c)(1). found the applicant or a control affiliate to have made a false statement or omission? . . . . . . . . . . . . . . . . . . . . . . . . Yes No o x 10(c)(2). found the applicant or a control affiliate to have been involved in a violation of its regulations or statutes? . . . . . . . . . . . . . . . . . . . . . . . . . . . . Yes No o x 10(c)(3). found the applicant or a control affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Yes No o x 10(c)(4). entered an order denying, suspending or revoking the applicant's or a control affiliate's registration or otherwise disciplined it by restricting its activities? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Yes No o x 10(d). Has any other Federal regulatory agency or any state regulatory agency: 10(d)(1). ever found the applicant or a control affiliate to have made a false statement or omission or to have been dishonest, unfair, or unethical? . . . . . . Yes No o x 10(d)(2). ever found the applicant or a control affiliate to have been involved in a violation of investment-related regulations or statutes? . . . . . . . . . . . . . . . . . Yes No o x 10(d)(3). ever found the applicant or a control affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Yes No o x 10(d)(4). in the past ten years entered an order against the applicant or a control affiliate in connection with investment-related activity? . . . . . . . . . . Yes No o x 10(d)(5). ever denied, suspended, or revoked the applicant's or a control affiliate's registration or license, or prevented it from associating with an investment-related business, or otherwise disciplined it by restricting its activities? . . . . . . Yes No o x 10(d)(6). ever revoked or suspended the applicant's or a control affiliate's license as an attorney or accountant? . . . . . . . . . . . . . . . . . . . . . . . . Yes No o x 10(e). Has any self-regulatory organization or commodities exchange ever: 10(e)(1). found the applicant or a control affiliate to have made a false statement or omission? . . . . . . . . . . . . . . . . . . Yes No o x 10(e)(2). found the applicant or a control affiliate to have been involved in a violation of its rules? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Yes No o x 10(e)(3). found the applicant or a control affiliate to have been the cause of an investment-related business losing its authorization to do business? . . . . . . . . Yes No o x 10(e)(4). disciplined the applicant or a control affiliate by expelling or suspending it from membership, by barring or suspending its association with other members, or by otherwise restricting its activities? . . . . . . . . . . . . . . . . Yes No o x 10(f). Has any foreign government, court, regulatory agency, or exchange ever entered an order against the applicant or a control affiliate related to investments or fraud? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Yes No o x 10(g). Is the applicant or a control affiliate now the subject of any proceeding that could result in a yes answer to questions 10(a) - 10(F)? Yes No o x 10(h). Has a bonding company denied, paid out on, or revoked a bond for the applicant or a control affiliate? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Yes No o x 10(i). Does the applicant or a control affiliate have any unsatisfied judgments or liens against it? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Yes No o x ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL CRIMINAL VIOLATIONS. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a) SIGNATURE: The registrant submitting this form, and as required, the SEC supplement and Schedules A-D, And the executing official hereby represent that all the information contained herein is true,
