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. Do you or your financial professionals have legal or disciplinary history? Conversation Starter - As a financial professional, do you have any disciplinary history? For what type of conduct?
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. Set forth on the attached Schedule C is a description of any legal events or disciplinary history of Advisor and any relevant Advisor personnel.
Disciplinary History. Agent represents and warrants that the Agent:
i. has not been the subject of a substantiated customer complaint in the last five (5) years that alleges violations of any applicable federal or state law, rule or regulation, or the principles set forth in the Code of Ethics attached as Schedule A to this Addendum or any of the prohibited marketing and selling behaviors set forth in the Sales Practices Guidelines attached as Schedule B to this Addendum. Agent acknowledges that substantiated complaints during the term of the Agreement may result in the immediate termination of Agent’s authorization to solicit AARP Branded Products;
ii. has not had any license(s) relating to the promotion, marketing, sale or solicitation of any insurance or other products revoked in any state due to disciplinary violations;
iii. has informed the Company of any insurance regulatory authority investigations or examinations during the past five (5) years in any state;
iv. has not been found to have violated any insurance or securities laws, and is not the subject of any lawsuits related to insurance or securities sales activities;
v. has not been subject to censure, fines, or enforcement actions of, and is not the subject of any inquiry by, the Securities and Exchange Commission, the National Association of Securities Dealers, Inc., the Financial Industry Regulatory Authority, the New York Stock Exchange, or any state securities regulatory authorities with regard to any rules subject to their jurisdiction. Agent agrees to immediately notify the Company of any such lawsuits or inquiries, as well as any notice of any such lawsuits or inquiries; and
vi. is in compliance with all the requirements in this Section 4(a), and agrees to continue to comply with all such requirements, and cooperate with the Company to verify such compliance on an annual basis.
Disciplinary History. Except as set fort on Schedule 4.07, -------------------- 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 VFAM 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 VFICO (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. ARTICLE V
Disciplinary History. With regard to any student who 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. 1. Counseling memos will be removed from a librarian’s employment file after twelve
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. Discipline in the form of Written Warnings or Written Reprimands shall be removed from an employee’s personnel file if the employee receives no further discipline for a period of eighteen (18) months. In no case shall the City consider Written Warnings or Written Reprimands in any subsequent disciplinary matter if said discipline is greater than five (5) years old. All suspensions shall remain in the employee’s personnel file permanently and may be considered in future disciplinary matters.
