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: www.sec.gov, Disclosed Clearing Agreement (Gleacher & Company, Inc.), 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), Clearing Agreement (American Portfolios Holdings Inc), Clearing Agreement (American Portfolios Holdings Inc)
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: Disclosed Clearing Agreement (Cowen Group, Inc.), Disclosed Clearing Agreement (Cowen Group, Inc.), 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: www.sec.gov, 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: 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: Disclosed Clearing Agreement (Ziegler Companies Inc)
