Common use of Signed Account Forms Clause in Contracts

Signed Account Forms. 9. Between December 2003 and September 2015, the Respondent obtained, possessed and, in some instances, used to process transactions, 15 pre-signed account forms in respect of 10 clients.

Signed Account Forms. 9. Between December 2003 January 2011 and September 2015February 2017, the Respondent obtained, possessed and, in some instances, used to process transactions, 15 68 pre-signed account forms in respect of 10 38 clients.

Signed Account Forms. 9. Between December 2003 May 2002 and September 2015July 2016, the Respondent obtained, possessed and, in some instances, used to process transactions, 15 68 pre-signed account forms in respect of 10 29 clients.

Signed Account Forms. 9. Between December 2003 2008 and September August 2015, the Respondent Respondent, obtained, possessed andpossessed, and in some instances, used to process transactions, 15 34 pre-signed account forms forms, in respect of 10 8 clients.

Signed Account Forms. 910. Between December 2003 January 2015 and September 2015March 2016, the Respondent obtained, possessed and, in some instances, used to process transactions, 15 147 pre-signed account forms in respect of 10 94 clients.

Signed Account Forms. 911. Between February 2014 and December 2003 and September 20152014, the Respondent obtained, possessed and, in some instances, used to process transactions, 15 18 pre-signed account forms in respect of 10 9 clients.

Signed Account Forms. 910. Between December 2003 2005 and September May 2015, the Respondent obtained, possessed andpossessed, and in some instances, used to process transactions, 15 18 pre-signed account forms in respect of 10 9 clients.

Signed Account Forms. 9. Between December 2003 July 6, 2004 and September 2015May 7, 2014, the Respondent Respondent, or his assistant for whom he was responsible, obtained, possessed andpossessed, and in some 2 instances, used to process transactions, 15 54 pre-signed account forms in respect of 10 at least 28 clients.

Signed Account Forms. 911. Between December 2003 November 2006 and September 2015April 2017, the Respondent obtained, possessed and, in some instances, used to process transactions, 15 51 pre-signed account forms in respect of 10 18 clients.

Signed Account Forms. 9. Between December 2003 2009 and September May 2015, the Respondent obtained, possessed andpossessed, and in some two instances, used to process transactions, 15 10 pre-signed account forms in respect of 10 clientsforms.

Signed Account Forms. 910. Between December 2003 October 2017 and September 2015January 2020, the Respondent obtained, possessed andpossessed, and in some instancescases, used to process transactions, 15 17 pre-signed account forms in respect of 10 15 clients.

Signed Account Forms. 9. Between December 2003 February 2014 and September 20152014, the Respondent obtained, possessed andpossessed, in some instances, and used to process transactions, 15 7 pre-signed account forms in respect of 10 6 clients, contrary to MFDA Rule 2.1.1.

Signed Account Forms. 910. Between December 2003 February 2014 and September November 2015, the Respondent obtained, possessed and, in some instances, used to process transactions, 15 17 pre-signed account forms in respect of 10 9 clients.

Signed Account Forms. 9. Between December 2003 March 2013 and September 2015August 2014, the Respondent obtained, possessed andpossessed, and in some instances, used to process transactions, 15 18 pre-signed account forms in respect of 10 7 clients.

Signed Account Forms. 9. Between December 2003 January 2007 and September 20152017, the Respondent obtained, possessed and, in some instances, used to process transactions, 15 124 pre-signed account forms in respect of 10 50 clients.

Signed Account Forms. 910. Between December 2003 June 2011 and September February 2015, the Respondent obtained, possessed andpossessed, in some instances, and used to process transactions, 15 3 pre-signed account forms in respect of 10 clientsforms.

Signed Account Forms. 910. Between December 2003 October 2007 and September 2015November 2014, the Respondent obtained, possessed and, in some instances, used to process transactions, 15 34 pre-signed account forms in respect of 10 4 clients.

Signed Account Forms. 910. Between December 2003 September 2010 and September 2015January 2017, the Respondent obtained, possessed and, in some instances, used to process transactions, 15 36 pre-signed account forms in respect of 10 clients.