Legal Events and Disciplinary History Sample Clauses

Legal Events and Disciplinary History. A regulatory disclosure action has been made on MFSOK’s Form MA and on Form MA-I for two of MFSOK’s municipal advisory personnel relating to a 2017 U.S. Securities and Exchange Commission (“SEC”) order. The details of which are available in Item 9; C (2), C (4), C (5) and the corresponding regulatory action DRP section on Form MA and Item 6: C (2), C (4), C (5), C (6) and the corresponding regulatory action DRP section on Form MA-I for both Xxxx X. Xxxxx and Xxx Xxxxx. In addition, the Oklahoma Department of Securities adopted the above proceedings which are identified in Item 9; D (2), D (4) and the corresponding regulatory action DRP section on Form MA. The Client may electronically access MFSOK’s most recent Form MA and each most recent Form MA- I filed with the Commission at the following website: xxx.xxx.xxx/xxxxx/searchedgar/companysearch.html. There has been no change to any legal or disciplinary event that has been disclosed on MFSOK’s SEC registration for MA filings since December 18, 2017.
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Legal Events and Disciplinary History. Consultant does not have any legal events and disciplinary history on its Form MA and Form MA‐I, which includes information about any criminal actions, regulatory actions, investigations, terminations, judgments, liens, civil judicial actions, customer complaints, arbitrations, and civil litigation. The District may electronically access Consultant’s most recent Form MA and each most recent Form MA‐ I filed with the Commission at the following website: There have been no material changes to a legal or disciplinary event disclosure on any Form MA or Form MA‐I filed with the SEC.
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Legal Events and Disciplinary History. NHA Advisors does not have any legal events and disciplinary history on its Form MA and Form MA-I, which includes information about any criminal actions, regulatory actions, investigations, terminations, judgments, liens, civil judicial actions, customer complaints, arbitrations and civil litigation. The City may electronically access NHA Advisors’ most recent Form MA and each most recent Form MA-I filed with the Commission at the following website: There have been no material changes to a legal or disciplinary event disclosure on any Form MA or Form MA-I filed with the SEC.
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Legal Events and Disciplinary History. CONSULTANT does not have any legal events and disciplinary history on its Form MA and Form MA-I, which includes information about any criminal actions, regulatory actions, investigations, terminations, judgments, liens, civil judicial actions, customer complaints, arbitrations and civil litigation. The KFPD may electronically access CONSULTANT’ most recent Form MA and each most recent Form MA-I filed with the Commission at the following website: There have been no material changes to a legal or disciplinary event disclosure on any Form MA or Form MA-I filed with the SEC.
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Legal Events and Disciplinary History. MA does not have any legal events and disciplinary history on their Form MA and Form MA-I, which includes information about any criminal actions, regulatory actions, investigations, terminations, judgments, liens, civil judicial actions, customer complaints, arbitrations and civil litigation. The Agency may electronically access MA’s most recent Forms MA and each most recent Forms MA-I filed with the Commission at the following website: xxx.xxx.xxx/xxxxx/searchedgar/companysearch.html. There have been no material changes to a legal or disciplinary event disclosure on any Form MA or Form MA-I filed with the SEC. Pursuant to Municipal Securities Rulemaking Board Rule G-10, on Investor and Municipal Advisory Client Education and Protection, Municipal Advisors are required to provide certain written information to their municipal entity and obligated person clients which include the following: • Del Rio Advisors, LLC is currently registered as a Municipal Advisor with the U.S. Securities and Exchange Commission and the Municipal Securities Rulemaking Board. Within the Municipal Securities Rulemaking Board (“MSRB”) website at xxx.xxxx.xxx, the Agency may obtain the Municipal Advisory client brochure that is posted on the MSRB website. The brochure describes the protections that may be provided by the MSRB Rules along with how to file a complaint with financial regulatory authorities.
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Legal Events and Disciplinary History. MFSOK does not have any legal events and disciplinary history on its Form MA and Form MA-I, which includes information about any criminal actions, regulatory actions, investigations, terminations, judgments, liens, civil judicial actions, customer complaints, arbitrations and civil litigation. The District may electronically access MFSOK’s most recent Form MA and each most recent Form MA-I filed with the Commission at the following website: xxx.xxx.xxx/xxxxx/searchedgar/companysearch.html. There have been no material changes to a legal or disciplinary event disclosure on any Form MA or Form MA-I filed with the SEC.
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Legal Events and Disciplinary History. Xxxx Xxxxxxxxxxx does not have any legal events and disciplinary history on its Form MA and Form MA-I’s, which includes information about any criminal actions, regulatory actions, investigations, terminations, judgments, liens, civil judicial actions, customer complaints, arbitrations and civil litigation. Issuer may electronically access the Municipal Advisor’s most recent Form MA and each most recent Form MA-I filed with the Securities and Exchange Commission at the following website: xxx.xxx.xxx/xxxxx/searchedgar/companysearch.htm There have been no material changes to a legal or disciplinary event disclosure on any Form MA or Form MA-I filed with the SEC. Pursuant to Municipal Securities Rulemaking Board Rule G-10, on Investor and Municipal Advisory Client Education and Protection, Municipal Advisors are required to provide certain written information to their municipal entity and obligated person clients which include the following: • Xxxx Xxxxxxxxxxx is currently registered as a Municipal Advisor with the U.S. Securities and Exchange Commission and the Municipal Securities Rulemaking Board. • Within the Municipal Securities Rulemaking Board (“MSRB”) website at xxx.xxxx.xxx, The Housing Finance Authority of Hillsborough County may obtain the Municipal Advisory client brochure that is posted on the MSRB website. The brochure describes the protections that may be provided by the MSRB Rules along with how to file a complaint with financial regulatory authorities. ATTEST: XXXX XXXXXXXXXXX By: Xxxx Xxxxxxxxxxx Witness Authorized Signature Witness ACCEPTED: HOUSING FINANCE HFA OF HILLSBOROUGH COUNTY Date BY: Xxxxx X. Xxxxxxx, Chairman Date Approved by General Counsel By: Approved as To Form And Legal Sufficiency Xxxx Xxxxx Xxxxxx, County Attorney Additional Duties of DIRECTOR 1. Develop and modify Investment Policy 2. Analyze investment opportunities for Board consideration 3. Monitor situation with SBA 4. Handle all payments for the HFA 5. Handle all investments for the HFA 6. Coordinate with CPA for monthly financial statements 7. Coordinate with Auditors
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Related to Legal Events and Disciplinary History

  • DISCIPLINE AND DISCHARGE (a) If it is alleged that an employee has been discharged without just cause the grievance shall start at Step 3 and if it is alleged that an employee has been suspended without just cause the grievance shall start at Step 2 of the grievance procedure, within five (5) working days of the discipline or discharge being affected. The discharged or suspended employee shall be given the opportunity of seeing a Xxxxxxx and/or Union President before he is required to leave the premises, providing one is available on site. Time spent will be paid in accordance with Article 11.06(e). (b) If it is agreed or decided at any stage of the grievance procedure, except arbitration, that an employee has been suspended or discharged without just cause, the Company shall reinstate him in his job without loss of seniority. A reinstated employee is to be paid his wages at his hourly rate for the time loss limited to a maximum of the employee(s) regular number of hours per week. The provision of this Article may be waived if both parties mutually agree to other methods of resolving the grievance. (c) Where an Arbitrator has been selected to determine a question respecting an alleged unjust discharge or suspension, he shall have power and jurisdiction to: i) uphold the discharge or suspension, or ii) vary the penalty, or iii) substitute a different penalty, or iv) direct reinstatement, and in cases ii), iii), and iv) the Arbitrator may in addition order the Company to pay the employee full or partial compensation in accordance with his hourly rate. It is understood, however, that if an employee is reinstated, he shall retain his full seniority, unless otherwise directed by the Arbitrator. (a) i) Only Discipline Letters and Discharge/Suspensions shall be considered as a form of discipline and shall be subject to the provisions of the Grievance procedure. A copy of each letter shall be sent to the Union, within thirty (30) days of the imposition of such discipline.

  • Complaints and Dispute Resolution 16.1 Where a dispute arises in connection with any aspect of this Agreement, the parties acting with good faith, will use all reasonable endeavours to bring any such issue to the attention of the other party in a timely fashion and in any event within 60 days of any such dispute coming to their attention. 16.2 Notification by one party to the other must be in writing and include the nature of the dispute and the desired resolution. 16.3 If a Supplier wishes to notify ACM of a dispute in connection with this Agreement, any such notification should be made by email to xxxxxxxxxx@xxxxxx.xxx.xx. 16.4 Within seven days of receipt of a notification in accordance with clause 16.2, a party will provide a response in writing including setting out steps it intends to take to resolve the dispute. 16.5 If, after attempting to resolve the dispute for a period of at least 60 days, the parties are not reconciled, they agree to then participate in a mediation to be conducted in accordance with the Code. 16.6 If, after undertaking mediation in accordance with the Code, the parties are still not reconciled, they may then submit to an arbitration to be conducted in accordance with the Code. 16.7 Unless otherwise agreed in writing, the parties shall each bear their own legal costs associated with any mediation and/or arbitration pursuant to this Agreement. 16.8 Nothing in this clause will prevent a party from seeking an injunction.

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