Legal or Disciplinary Events. KNN Public Finance, LLC, has never been subject to any legal, disciplinary or regulatory actions nor was it ever subject to any legal, disciplinary or regulatory actions previously, when it was a division of Zions First National Bank or Zions Public Finance, Inc. A regulatory action disclosure has been made on Form MA-I for one of KNN’s municipal advisory personnel relating to a 1998 U.S. Securities and Exchange Commission (“SEC”) order that was filed while the municipal advisor was employed with a prior firm, (not KNN Public Finance). The details of which are available in Item 9; C(1), C(2), C(4), C(5) and the corresponding regulatory action DRP section on Form MA and Item 6C; (1), (2), (4), (5) and the corresponding regulatory action DRP section on Form MA-I. Issuers may electronically access KNN Public Finance’s most recent Form MA and each most recent Form MA-I filed with the Commission at the following website: xxx.xxx.xxx/xxxxx/searchedgar/companysearch.html. The SEC permits certain items of information required on Form MA and Form MA-I to be provided by reference to such required information already filed on a regulatory system (e.g., FINRA CRD). The above noted regulatory action has been referenced on both Form MA and MA-I due to the information already filed on FINRA’s CRD system and is publicly accessible through BrokerCheck at xxxx://xxxxxxxxxxx.xxxxx.xxx. For purposes of accessing such BrokerCheck information, the Municipal Advisor’s CRD number is 4457537. There has been no change to any legal or disciplinary event that has been disclosed on KNN Public Finance’s original SEC registration Form MA filed on February 8, 2016 or Form MA- I’s filed on January 22, 2016. Additional Disclosures - MSRB Rule G-10 Pursuant to Municipal Securities Rulemaking Board Rule G-10, on Investor and Municipal Advisory Client Education and Protection, Municipal Advisors are required to provide certain written information to their municipal entity and obligated person clients which include the following:
Legal or Disciplinary Events. Xxxx Advisors does not have any legal events or disciplinary history on Xxxx Advisors’ Form MA and Form MA‐I, which includes information about any criminal actions, regulatory actions, investigations, terminations, judgments, liens, civil judicial actions, customer complaints, arbitrations and civil litigation. The Issuer may electronically access Xxxx Advisors’ most recent Form MA and each most recent Form MA‐I filed with the Commission at the following website: xxx.xxx.xxx/xxxxx/searchedgar/companysearch.html. There have been no material changes to a legal or disciplinary event disclosure on any Form MA or Form MA‐I filed with the SEC. If any material legal or regulatory action is brought against Xxxx Advisors, we will provide complete disclosure to the Issuer in detail allowing the Issuer to evaluate Xxxx Advisors, its management and personnel.
Legal or Disciplinary Events. USCA is required to disclose legal, disciplinary and judicial events on its Form MA (Item 9) and Form MA-Is (Item 6) filed with the SEC. USCA has not been the subject of any material legal, disciplinary, or judicial actions. USCA’s most recent Form MA and Form MA-Is can be found at xxxxx://xxx.xxx.xxx/cgi-bin/browse- xxxxx?company=USCA+Municipal+Advisors.
Legal or Disciplinary Events. KNN Public Finance, LLC, has never been subject to any legal, disciplinary or regulatory actions nor was it ever subject to any legal, disciplinary or regulatory actions previously, when it was a division of Zions First National Bank or Zions Public Finance, Inc.
