Disciplinary History. Do you or your financial professionals have legal or disciplinary history? Confluence and its financial professionals have not been subject to any disciplinary events by regulators nor is it a party to any legal events that are material to client evaluation of our advisory business. You can visit Xxxxxxxx.xxx/XXX for free and simple search tools to research us and our financial professionals. Conversation Starter - As a financial professional, do you have any disciplinary history? For what type of conduct?
Disciplinary History. All history of discipline will remain as part of the employee’s official personnel file. However, oral warnings or warning letters which were issued twenty-four (24) or more months prior to a current related disciplinary action, will not be considered in such related disciplinary action provided that the employee has received no form of discipline during this twenty-four (24) month period.
Disciplinary History. Agent represents and warrants that the Agent:
Disciplinary History. If any response to questions (a) - (l) is “yes”, please attach a full explanation and all official documents. Has your organization or any of its principals: Yes No
Disciplinary History. With regard to any student it desires to enroll in a Global School Course or Global School-Credit Recovery Course, Customer/Licensee will, upon request, disclose the students’ disciplinary background to FLVS. Customer/Licensee shall notify FLVS of any student that Customer/Licensee is seeking to enroll who has been expelled or is being considered for expulsion from one of Customer/Licensee’s schools. FLVS shall have the sole authority and discretion to accept or deny a student’s participation therein. Further, any student enrolled in a Global School Course or Global School-Credit Recovery Course shall have the obligation while so enrolled to self- report any arrest and/or convictions for criminal activity.
Disciplinary History. Except as set forth on Schedule 6.06, -------------------- there is no information concerning SBI or Buyer, or any person or entity that, upon the consummation of the transactions contemplated by this Agreement and the VFICO Agreement, will be a control affiliate (as such term is defined in Instruction 4(3) to Form BD, Uniform Application for Broker-Dealer Registration ("Form BD") or an advisory affiliate (as such term is defined in Item 11 of Form ADV, Uniform Application for Investment Adviser Registration (Form ADV")) of VFAM (other than persons and entities that are presently control affiliates or advisory affiliates of VFAM), that will be required to be disclosed in response to Item 11 or Schedule DRP of VFAM's Form BD or in response to Item 11 or Schedule E of VFAM's Form ADV.
Disciplinary History. If any response to questions (a) - (l) is "yes", please attach a full explanation and all official documents. Has your organization or any of its principals: Yes No
Disciplinary History. Do you or your financial professionals have legal or disciplinary history? As a financial professional, do you have any disciplinary history? For what type of conduct? No. Visit xxx.xxxxxxxx.xxx/XXX for a free and simple search tool to research you and your financial professionals.
Disciplinary History. Counseling memos will be removed from an employee’s employment file after twelve (12) months if no further instance of the same performance issue reoccurs. All disciplinary actions shall be kept in the official employment file for a period of no longer than eighteen
Disciplinary History. None of SLDI, its Registered Representatives, its Associated Persons or any of its Affiliates has been:
