Criminal or Civil Acts. For a period of five years prior to the execution of this Agreement, no executive officer, director or principal stockholder of NB has been convicted of a felony crime, filed for personal bankruptcy, been the subject of a Securities and Exchange Commission (“Commission”) or NASD judgment or decree, or is currently the subject to an investigation in connection with any felony crime or Commission or NASD proceeding.
Appears in 3 contracts
Samples: Agreement (Organic Alliance, Inc.), Agreement, Agreement (Organic Alliance, Inc.)
Criminal or Civil Acts. For a period of five years prior to the execution of this Agreement, no executive officer, director or principal stockholder of NB has been convicted of a felony crime, filed for personal bankruptcy, been the subject of a Securities and Exchange Commission (“Commission”) or NASD judgment or decree, or is currently the subject to an investigation in connection with any felony crime or Commission or NASD proceeding.
Appears in 2 contracts
Samples: Agreement (Nationwide Financial Solutions, Inc.), Agreement (Nationwide Financial Solutions, Inc.)
Criminal or Civil Acts. For a the period of five years prior to the execution of this Agreement, no executive officer, director or principal stockholder of NB NIS has been convicted of a felony crime, filed for personal bankruptcy, been the subject of a Securities and Exchange Commission (“Commission”) or NASD judgment or decree, or is currently the subject to an any investigation in connection with any a felony crime or Commission or NASD proceeding.
Appears in 2 contracts
Samples: Agreement (Nationwide Financial Solutions, Inc.), Agreement (Nationwide Financial Solutions, Inc.)
Criminal or Civil Acts. For a the period of five years prior to the execution of this Agreement, no executive officer, director or principal stockholder of NB Rxxxxxx has been convicted of a felony crime, filed for personal bankruptcy, been the subject of a Securities and Exchange Commission (the “Commission”) or NASD judgment or decree, or is currently the subject to an any investigation in connection with any a felony crime or Commission or NASD proceeding.
Appears in 1 contract
Criminal or Civil Acts. For a the period of five years prior to the execution of this Agreement, no executive officer, director or principal stockholder of NB NLI has been convicted of a felony crime, filed for personal bankruptcy, been the subject of a Securities and Exchange Commission (“Commission”) or NASD or FINRA judgment or decree, or is currently the subject to an any investigation in connection with any a felony crime or Commission or NASD or FINRA proceeding.
Appears in 1 contract
Samples: Agreement (InfoSpi, Inc.)
Criminal or Civil Acts. For a the period of five years prior to the execution of this Agreement, no executive officer, director or principal stockholder of NB NDC has been convicted of a felony crime, filed for personal bankruptcy, been the subject of a Securities and Exchange Commission (“Commission”) or NASD judgment or decree, or is currently the subject to an investigation in connection with any felony crime or Commission or NASD proceeding.
Appears in 1 contract
