Involvement in Certain Legal Proceedings. The Investor:
(a) has not filed or had filed against it a petition under the federal bankruptcy laws or any state insolvency law, or had a receiver, fiscal agent or similar officer appointed by a court for its business or property or any partnership, corporation or business association in which it was a general partner or executive officer at or within five years before the time of such filing;
(b) has not been convicted in a criminal proceeding, and is not a named subject of a pending criminal proceeding (excluding traffic violations and other minor offenses);
(c) has not been the subject of any order, judgment or decree, not subsequently reversed, suspended or vacated, of any federal or state authority or court of competent jurisdiction, permanently or temporarily barring, limiting or enjoining it from engaging in, or otherwise limiting its ability to engage in or be associated with any Person engaged in, any type of business practice, conduct or employment (including without limitation in connection with the purchase or sale of any security or commodity); and
(d) has not been found by a court of competent jurisdiction in a civil action or by the Securities and Exchange Commission (the "SEC") or the Commodity Futures Trading Commission to have violated any federal or state securities law or federal commodities law, and the judgment in such civil action or finding by such Commission has not been subsequently reversed, suspended or vacated.
Involvement in Certain Legal Proceedings. Have any of the following events occurred during the last five years:
Involvement in Certain Legal Proceedings. To the best of our knowledge, none of the persons that will be serving as our directors or executive officers following the Distribution has, during the past ten years: ● been convicted in a criminal proceeding or been subject to a pending criminal proceeding (excluding traffic violations and other minor offenses); ● had any bankruptcy petition filed by or against the business or property of the person, or of any partnership, corporation or business association of which he was a general partner or executive officer, either at the time of the bankruptcy filing or within two years prior to that time; ● been subject to any order, judgment, or decree, not subsequently reversed, suspended or vacated, of any court of competent jurisdiction or federal or state authority, permanently or temporarily enjoining, barring, suspending or otherwise limiting, his involvement in any type of business, securities, futures, commodities, investment, banking, savings and loan, or insurance activities, or to be associated with persons engaged in any such activity; ● been found by a court of competent jurisdiction in a civil action or by the Securities and Exchange Commission or the Commodity Futures Trading Commission to have violated a federal or state securities or commodities law, and the judgment has not been reversed, suspended, or vacated; ● been the subject of, or a party to, any federal or state judicial or administrative order, judgment, decree, or finding, not subsequently reversed, suspended or vacated (not including any settlement of a civil proceeding among private litigants), relating to an alleged violation of any federal or state securities or commodities law or regulation, any law or regulation respecting financial institutions or insurance companies including, but not limited to, a temporary or permanent injunction, order of disgorgement or restitution, civil money penalty or temporary or permanent cease-and-desist order, or removal or prohibition order, or any law or regulation prohibiting mail or wire fraud or fraud in connection with any business entity; or ● been the subject of, or a party to, any sanction or order, not subsequently reversed, suspended or vacated, of any self-regulatory organization (as defined in Section 3(a)(26) of the Exchange Act), any registered entity (as defined in Section 1(a)(29) of the Commodity Exchange Act), or any equivalent exchange, association, entity or organization that has disciplinary authority over its members or person...
Involvement in Certain Legal Proceedings. None of Xxxxxx XxXxxxxxxx, Xxxxxx Xxxxx or Xxx Xxxxx has been subject and is not currently subject to any order, judgment or decree, not subsequently revised, suspended or vacated, of any court or any governmental agency that could materially adversely affect the business of the Company as presently conducted or as proposed to be conducted.
Involvement in Certain Legal Proceedings. Buyer, its ---------------------------------------- shareholders (and to the best knowledge of Buyer, the natural person shareholders of its shareholders) have not during the past five (5) years been involved in the events listed in paragraphs (f)(1) through (f)(6) of Item 401, Regulation S-K promulgated by the Securities and Exchange Commission.
Involvement in Certain Legal Proceedings. To the knowledge of Parent, no holders of Parent Common Stock at the Effective Time is or has been subject to (i) any legal proceeding that would require disclosure pursuant to Section 401 (d) of Regulation S-B as promulgated under the Securities Act of 1933 if such holder were an executive officer or director or (ii) any investigation or proceeding by the Securities and Exchange Commission, the National Association of Securities Dealers, the New York Stock Exchange or any other regulatory organization.
Involvement in Certain Legal Proceedings. Annex I to the Signature Page hereof contains a true and correct questionnaire covering Purchaser’s prior and pending involvement in certain legal proceedings.
Involvement in Certain Legal Proceedings. None of the ---------------------------------------- RAM officers or directors, have been the subject of any indictment or conviction for a felony, or of any order, judgment, decree, or investigation, of any court or agency, federal or state, permanently or temporarily enjoining the individual from, or otherwise limiting, the individual from engaging in any type of business practice or engaging in any activity in connection with the purchase or sale of any security or commodity or in connection with any violation of Federal or State securities laws. Further, none of the RAM officers or directors have been found by a court of competent jurisdiction or by the Securities and Exchange Commission to have violated any Federal or State securities laws.
Involvement in Certain Legal Proceedings. To the best of ---------------------------------------- A3's knowledge, the A3 Affiliates[1] have not been the subject of any indictment or conviction for a felony, or any order, judgment, decree, or investigation of any court or agency, federal or state, permanently or temporarily enjoining the individual from, or otherwise limiting, the individual from engaging in any type of business practice or engaging in any activity in connection with the purchase or sale of any security or commodity or in connection with any violation of Federal or State securities laws. Further, to the best of A3's knowledge, the A3 Shareholders individually have not been found by a court of competent jurisdiction in a civil action or by the Securities and Exchange Commission to have violated any Federal or State securities laws
Involvement in Certain Legal Proceedings. 11 3. REPRESENTATIONS AND WARRANTIES OF THE INVESTOR...........................11 3.1 AUTHORIZATION........................................................11 3.2 PURCHASE ENTIRELY FOR OWN ACCOUNT....................................12
