Common use of FINRA Affiliations Clause in Contracts

FINRA Affiliations. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company.

FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company.

FINRA Affiliations. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Base Prospectus.

FINRA Affiliations. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) 5.0% or greater stockholder of the Company.

FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Registered Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) officers or greater stockholder of the Companydirectors.

FINRA Affiliations. There Except as disclosed in the Prospectus, there are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder shareholder of the Company.

FINRA Affiliations. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (55.0%) or greater stockholder of the Company, except as set forth in the Base Prospectus.

FINRA Affiliations. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except for Jxxx X. Xxxx, a director of the Company.

FINRA Affiliations. There are no affiliations with any firm that is a member of the FINRA member firm participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) % or greater stockholder shareholder of the Company.

FINRA Affiliations. There are no affiliations with any FINRA Financial Industry Regulatory Authority (“FINRA”) member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Base Prospectus.

FINRA Affiliations. There To the knowledge of the Company, there are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) officers or greater stockholder of the Companydirectors.

FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) officers or greater stockholder of the Companydirectors.

FINRA Affiliations. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the actual knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Base Prospectus.

FINRA Affiliations. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder shareholder of the Company. The Company will advise Sunrise and its counsel if it becomes aware that any officer, director or shareholder of the Company or its subsidiaries is or becomes an affiliate or associated person of a FINRA member participating in the Placement.

FINRA Affiliations. There To the Company’s knowledge, there are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, or any five percent (5%) or greater stockholder of the Company.

FINRA Affiliations. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the CompanyCompany other than as previously disclosed in writing to the Placement Agent.

FINRA Affiliations. There are no affiliations with any FINRA Financial Industry Regulatory Authority (FINRA) member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Base Prospectus.

FINRA Affiliations. There are no affiliations with any FINRA Financial Industry Regulatory Authority (“FINRA”) member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company.

FINRA Affiliations. There are no affiliations with any FINRA firm that is a member firm of the Financial Industry Regulatory Authority, Inc. (“FINRA”) participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five ten percent (510%) or greater stockholder shareholder of the Company.

FINRA Affiliations. There To the Company’s knowledge, there are no affiliations with or associations between any member of FINRA member firm among and any of the Company’s officers, directors or, to the knowledge of the Company, any five percent (or 5%) % or greater stockholder of security holders, except as set forth in the CompanyRegistration Statement, the General Disclosure Package or the Final Prospectus.

FINRA Affiliations. There To the knowledge of the Company, there are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, or any five percent (5%) or greater stockholder of the Company, except as set forth in the Base Prospectus.

FINRA Affiliations. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company’s knowledge, any five percent (5%) or greater stockholder of the Company, except as set forth in the Base Prospectus.

FINRA Affiliations. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder shareholder of the Company, except as set forth in the Base Prospectus.

FINRA Affiliations. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Base Prospectus or in the Prospectus Supplement.

FINRA Affiliations. There are no affiliations with any FINRA member firm of The Financial Industry Regulatory Authority, Inc. (“FINRA”) among the Company’s officers, directors or, to the knowledge of the Company’s knowledge, any five percent (5%) or greater stockholder of the Company.

FINRA Affiliations. There are no affiliations with any firm that is a member of the FINRA member firm participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) 10% or greater stockholder shareholder of the Company.

FINRA Affiliations. There To the knowledge of the Company, there are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, or any five percent (5%) or greater stockholder of the Company.

FINRA Affiliations. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder shareholder of the Company, except as set forth in the Prospectus Supplement.

FINRA Affiliations. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Disclosure Documents.

FINRA Affiliations. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Prospectus.

FINRA Affiliations. There are no affiliations with any FINRA Financial Industry Regulatory Authority (“FINRA”) member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Disclosure Schedule.

FINRA Affiliations. There To the knowledge of the Company, there are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, or any five percent (5%) or greater stockholder of the Company.

FINRA Affiliations. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) % or greater stockholder shareholder of the Company, except as set forth in the Base Prospectus.

FINRA Affiliations. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Registration Statement, the Base Prospectus or the Prospectus Supplement.

FINRA Affiliations. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company., except as set forth in the Base Prospectus. Cell Therapeutics, Inc.

FINRA Affiliations. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as disclosed in the FINRA questionnaires previously provided by the Company to the Placement Agent.

FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Registered Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company.

FINRA Affiliations. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Prospectus Disclosure Package.

FINRA Affiliations. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder shareholder of the Company or any owner of any amount of the Company’s unregistered securities acquired on or after March 1, 2012, except as set forth in the Base Prospectus. The Company will advise Xxxx and its counsel if it becomes aware that any officer, director or shareholder of the Company or its subsidiaries is or becomes an affiliate or associated person of a FINRA member participating in the Placement.

FINRA Affiliations. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Base Prospectus or in Schedule 3(DD).

FINRA Affiliations. There are no affiliations with or associations between any member of FINRA member firm among and any of the Company’s officers, directors or, to the knowledge of the Company, any five percent (or 5%) % or greater stockholder of the Companysecurityholders.

FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Registered Offering among the Company’s officers, officers or directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company.

FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, officers directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company.

FINRA Affiliations. There are no affiliations with any FINRA member firm among None of the Company’s 's officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, are affiliated or associated with a broker-dealer that is a member of FINRA.

FINRA Affiliations. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Preliminary Prospectus and Final Prospectus.

FINRA Affiliations. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder shareholder of the Company or any owner of any amount of the Company’s unregistered securities acquired on or after December 1, 2011, except as set forth in the Base Prospectus. The Company will advise Avondale and its counsel if it becomes aware that any officer, director or shareholder of the Company or its subsidiaries is or becomes an affiliate or associated person of a FINRA member participating in the Placement.

FINRA Affiliations. There are no affiliations with any FINRA Financial Industry Regulatory Authority (“FINRA”) member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as disclosed to the Placement Agent.

FINRA Affiliations. There are no affiliations with any FINRA Financial Industry Regulatory Authority (“FINRA”) member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder shareholder of the Company.

FINRA Affiliations. There To the Company’s knowledge, there are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company., except as set forth in the Time of Sale Prospectus. GTC Biotherapeutics, Inc. February 7, 2008

FINRA Affiliations. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to To the knowledge of the Company, there are no affiliations or associations between any five percent (5%) or greater stockholder member of FINRA and the Company, any of the Company’s officers or directors or the Company’s five percent or greater stockholders.

FINRA Affiliations. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company. The Company will advise the Placement Agent if it learns that any officer, director or owner of 5% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.

FINRA Affiliations. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder shareholder of the Company or any owner of any amount of the Company’s unregistered securities acquired on or after September 1, 2012, except as set forth in the Base Prospectus. The Company will advise Xxxx and its counsel if it becomes aware that any officer, director or shareholder of the Company or its subsidiaries is or becomes an affiliate or associated person of a FINRA member participating in the Placement.

FINRA Affiliations. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company., except as set forth in the Base Prospectus. Far East Energy Corporation

FINRA Affiliations. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder shareholder of the Company or any owner of any amount of the Company’s unregistered securities acquired on or after May 1, 2011, except as set forth in the Base Prospectus. The Company will advise Xxxx and its counsel if it becomes aware that any officer, director or shareholder of the Company or its subsidiaries is or becomes an affiliate or associated person of a FINRA member participating in the Placement.

FINRA Affiliations. There Except as disclosed in the Prospectus, there are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five ten percent (510%) or greater stockholder shareholder of the Company.

FINRA Affiliations. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) % or greater stockholder shareholder of the Company., except as set forth in the Base Prospectus. Cell Therapeutics, Inc.

FINRA Affiliations. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in (i) the Base Prospectus or (ii) any of the Incorporated Documents (including any of the exhibits thereto).

FINRA Affiliations. There are no affiliations with or associations between any member of FINRA member firm among and any of the Company’s officers, directors or, to the knowledge of the Company’s knowledge, any five percent (5%) % or greater stockholder of the Companysecurityholders.

FINRA Affiliations. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Registration Statement and Prospectus.

FINRA Affiliations. There are no present affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Base Prospectus.

FINRA Affiliations. There Except as disclosed in the SEC Reports, to the knowledge of the Company, there are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, or any five percent (5%) or greater stockholder of the Company.

FINRA Affiliations. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder shareholder of the Company or any owner of any amount of the Company’s unregistered securities acquired on or after December 1, 2012, except as set forth in the Base Prospectus. The Company will advise the Placement Agents and their counsel if it becomes aware that any officer, director or shareholder of the Company or its subsidiaries is or becomes an affiliate or associated person of a FINRA member participating in the Placement.

FINRA Affiliations. There Except for Xxxx Xxxxxxx, there are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company.

FINRA Affiliations. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (55.0%) or greater stockholder of the Company., except as set forth in the Base Prospectus. Members FINRA & SIPC 000 Xxxxxxxxx Xxxxxx * Xxx Xxxx, XX 00000 * (000) 000-0000 * (000) 000-0000 * fax (000) 000-0000 * xxx.xxxxxxxx.xxx iFresh Inc. March 26, 2018 Page 5

FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Registered Offering among the Company’s officersofficers or directors, directors or, or to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company.

FINRA Affiliations. There Other than Xxxxxx X. Xxxxxxxxx, there are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Base Prospectus.

FINRA Affiliations. There To the Company’s or any of the Subsidiaries’ knowledge, except for Resource Securities, Inc., there are no affiliations with or associations between any member of FINRA member firm among and any of the Company’s or any of the Subsidiaries’ officers, directors or, to the knowledge of the Company, any five percent (or 5%) % or greater stockholder of the Companysecurityholders.

FINRA Affiliations. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the best of the knowledge of the Company, any five percent (5%) or greater stockholder shareholder of the Company, except as set forth in the Registration Statement or otherwise disclosed in writing to the Representative.

FINRA Affiliations. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as disclosed to the Placement Agent.