What does this mean and why is this important?įirm offers mutual funds that carry 12b-1 fees, which increases the total annual cost of owning the fund (with no guarantee of higher returns).
Pine valley registration#
Registration/License Revocation - Other Regulatory AgenciesĪ regulatory agency has previously denied, suspended, or revoked the firm’s or an advisory affiliate’s registration or license or otherwise restricted their activities.
Regulation Violations - Other Regulatory AgenciesĪ federal regulatory agency, a state regulatory agency, or a foreign financial regulatory authority other than the SEC or CFTC has found firm or an advisory affiliate to have been involved in a violation of investment-related statutes or regulations.Ī domestic or foreign court has previously found firm or an advisory affiliate was involved in a violation of investment-related statutes or regulations. The SEC or CFTC has found firm or an advisory affiliate to have been involved in a violation of its rules. In the past ten years, a regulatory agency other than the SEC or CFTC has previously entered an order against this firm or an advisory affiliate in connection with an investment-related activity.Ī self-regulatory organization or commodities exchange has found firm or an advisory affiliate to have been involved in a violation of its rules. Order Entered - Other Regulatory Agencies The SEC or CFTC has previously entered an order against this firm or an advisory affiliate in connection with an investment-related activity. In the past ten years, firm or an advisory affiliate has been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to a misdemeanor involving: investments or an investment-related business, or any fraud, false statements, or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses.įirm or an advisory affiliate has previously been fined or ordered to cease and desist activity by the SEC or CFTC. In the past ten years, firm or an advisory affiliate has been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to a felony. In the past 10 years, a domestic or foreign court has issued an injunction against the firm or an advisory affiliate in connection with an investment-related activity.įirm or an advisory affiliate was previously found to have made false statements or omissions by a self-regulatory organization.įirm or an advisory affiliate was previously found to have made false statements or omissions by the SEC or CFTC.įalse Statements or Omissions - Other Regulatory Agenciesįirm or an advisory affiliate was previously found to have made false statements, omissions, or being dishonest and unfair by a regulatory agency other than the SEC or CFTC. The SEC or CFTC has previously found the firm or an advisory affiliate responsible for having an investment-related business have its authorization to do business denied, suspended, or revoked.īusiness License Revocation - Other Regulatory AgenciesĪ regulatory agency other than the SEC or CFTC has previously found the firm or an advisory affiliate responsible for having an investment-related business have its authorization to do business denied, suspended, or revoked.įirm or an advisory affiliate has previously had an investment-related civil action dismissed against them following a cash settlement in court. What happened? When? How many times did it occur? Will anyone that was involved be involved with my accounts in any capacity?Īttorney/Accountant Authorization Revocationįirm or an advisory affiliate has previously had their authorization to act as an attorney, accountant, or federal contractor revoked or suspended.Ī Self-Regulatory Organization has previously found the firm or an advisory affiliate responsible for having an investment-related business have its authorization to do business denied, suspended, or revoked. Firm or one of its employees previously has been subject to a suspension or expulsion or other restriction of activities by a Self-Regulating Organization or commodities exchange.
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