We note the disclosures you made in response to questions #7 and #8 on the Professional Conduct Inquiry form which ask:
7. Assisting in a Violation: In the last five years, has a regulatory organization or judicial court found that your conduct caused another person or financial services institution to violate a securities or commodities related law, rule or regulation?
8. Caused Suspension or Expulsion: In the last five years, has a regulatory organization or judicial court found that your conduct caused:
another person to be temporarily or permanently prevented from being associated with a financial services institution or participating in the financial services markets OR
a financial services institution to be temporarily or permanently prevented from participating in the financial services markets?
