LD 509
pg. 56
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LR 441
Item 1

 
federal agency denying, revoking, barring or suspending
registration or licensing as a broker-dealer, agent,
investment adviser, investment adviser representative or
federal covered investment adviser;

 
(2) The securities regulator of a state or the
Securities and Exchange Commission against a broker-
dealer, agent, investment adviser, investment adviser
representative or federal covered investment adviser;

 
(3) The Securities and Exchange Commission or a self-
regulatory organization suspending or expelling the
registrant or licensee from membership in the self-
regulatory organization;

 
(4) A court adjudicating a United States Postal Service
fraud order;

 
(5) The insurance regulator of a state denying,
suspending or revoking registration or licensing as an
insurance producer or its equivalent;

 
(6) A depository institution or financial services
regulator suspending or barring the person from the
depository institution or other financial services
business; or

 
(7) The United States Commodity Futures Trading
Commission denying, suspending or revoking registration
under the federal Commodity Exchange Act;

 
F.__Is the subject of an adjudication or determination,
after notice and opportunity for hearing, by the Securities
and Exchange Commission, the United States Commodity Futures
Trading Commission, the Federal Trade Commission, a federal
depository institution regulator or a depository
institution, insurance or other financial services regulator
of a state that the person intentionally or knowingly
violated the federal Securities Act of 1933, the federal
Securities Exchange Act of 1934, the federal Investment
Advisers Act of 1940, the federal Investment Company Act of
1940, the federal Commodity Exchange Act, the securities or
commodities law of a state or a federal or state law under
which a business involving investments, franchises,
insurance, banking or finance is regulated;

 
G.__Is insolvent, either because the person's liabilities exceed
the person's assets or because the person can not meet the
person's obligations as they mature.__The


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