No Pending Proceedings. There is not now pending or threatened against the Representative any action or proceeding of which it has been advised, either in any court of competent jurisdiction, before the Commission or any state securities regulatory authority concerning activities as a broker or dealer which are foreseen as affecting the Representative's capacity to complete the terms of this Agreement.
Appears in 6 contracts
Samples: Underwriting Agreement (Premier Concepts Inc /Co/), Underwriting Agreement (Integcom Corp), Underwriting Agreement (Double Eagle Petroleum & Mining Co)
No Pending Proceedings. There is not now pending or threatened against the Representative any action or proceeding of which it has been advised, either in any court of competent jurisdiction, before the Commission or any state securities regulatory authority commission, concerning its activities as a broker or dealer which are foreseen as affecting that, in the opinion of the Representative's capacity , would prevent it from acting as such under federal securities laws or under the laws of the states in which it intends to complete offer the terms of this AgreementSecurities.
Appears in 5 contracts
Samples: Global Med Technologies Inc, Ocurest Laboratories Inc, Ocurest Laboratories Inc
No Pending Proceedings. There is not now pending or threatened against the Representative any action or proceeding of which it has been advised, either in any court of competent jurisdiction, jurisdiction or before the Commission Commission, or before any state securities regulatory authority commission or the NASD, concerning its activities as a broker or dealer which are foreseen as affecting the Representative's capacity dealer, that could have a material adverse effect upon its ability to complete the terms of perform under its obligations this Agreement.
Appears in 1 contract
Samples: Visual Data Corp
No Pending Proceedings. There is not now pending or threatened against the Representative any action or proceeding of which it has been advised, either in any court of competent jurisdiction, jurisdiction or before the Commission Commission, or before any state securities regulatory authority commission or the NASD, concerning its activities as a broker or dealer which are foreseen as affecting the Representative's capacity dealer, that could have a material adverse effect upon its ability to complete the terms of perform its obligations under this Agreement.. (c)
Appears in 1 contract
Samples: Curtis International LTD
No Pending Proceedings. There is not now pending or threatened against the Representative any action or proceeding of which it has been advised, either in any court of competent jurisdiction, jurisdiction or before the Commission Commission, or before any state securities regulatory authority commission or the NASD, concerning its activities as a broker or dealer which are foreseen as affecting the Representative's capacity dealer, that could have a material adverse effect upon its ability to complete the terms of perform its obligations under this Agreement.
Appears in 1 contract
Samples: Financial Consulting Agreement (Curtis International LTD)