Improper Conduct by Agents. Any negligent, dishonest, fraudulent, or criminal act or omission on the part of any of Broker’s officers, directors, employees, or agents.
Appears in 6 contracts
Samples: Fully Disclosed Clearing Agreement, Fully Disclosed Clearing Agreement (Gleacher & Company, Inc.), Fully Disclosed Clearing Agreement (Broadpoint Securities Group, Inc.)
Improper Conduct by Agents. Any negligent, dishonest, fraudulent, or criminal act or omission on the part of any of Broker’s 's officers, directors, employees, or agents.
Appears in 4 contracts
Samples: Fully Disclosed Clearing Agreement (Southern Trust Securities Holding Corp), Fully Disclosed Clearing Agreement (American Portfolios Holdings Inc), Fully Disclosed Clearing Agreement (Siebert Financial Corp)
Improper Conduct by Agents. Any negligent, dishonest, fraudulent, or criminal act or omission on the part of any of BrokerIntroducing Firm’s officers, directors, employees, directors or agents.
Appears in 3 contracts
Samples: Fully Disclosed Clearing Agreement (Cowen Group, Inc.), Fully Disclosed Clearing Agreement (Cowen Group, Inc.), Fully Disclosed Clearing Agreement (Cowen Group, Inc.)
Improper Conduct by Agents. Any negligent, dishonest, fraudulent, or criminal act or omission on the part of any of Broker’s officers, directors, employees, or agents, including but not limited to, any counterfeit or forged instruments.
Appears in 2 contracts
Samples: Fully Disclosed Clearing Agreement, Fully Disclosed Clearing Agreement (Summit Financial Services Group Inc)
Improper Conduct by Agents. Any error, negligent, dishonest, fraudulent, or criminal act or omission on the part of any of Broker’s 's officers, directors, employees, or agents.
Appears in 1 contract
Samples: Fully Disclosed Clearing Agreement (Southern Trust Securities Holding Corp)
Improper Conduct by Agents. Any negligent, dishonest, fraudulent, or -------------------------- criminal act or omission on the part of any of Broker’s 's officers, directors, employees, or agents.
Appears in 1 contract
Samples: Fully Disclosed Clearing Agreement (Ziegler Companies Inc)
