Signed Account Forms. At all material times, Quadrus’ policies and procedures prohibited its Approved Persons from using pre-signed account forms.
Appears in 1 contract
Sources: Settlement Agreement
Signed Account Forms. At all material times, Quadrus’ policies and procedures prohibited its Approved Persons Persons, including the Respondent, from holding, obtaining, or using pre-signed account forms.
Appears in 1 contract
Sources: Settlement Agreement
Signed Account Forms. At all material times, Quadrus’ policies and procedures prohibited its Approved Persons Persons, including the Respondent, from obtaining, holding, or using pre-signed account forms.
Appears in 1 contract
Sources: Settlement Agreement