Signed Account Forms. 10. At all material times, PFSL’s policies and procedures prohibited its Approved Persons, including the Respondent, from holding, obtaining, or using pre-signed account forms.
Appears in 2 contracts
Samples: Settlement Agreement, Settlement Agreement
Signed Account Forms. 10. At all material times, PFSL’s policies and procedures prohibited its Approved Persons, including the Respondent, from holding, obtaining, or using pre-signed account forms.
Appears in 1 contract
Samples: Settlement Agreement
Signed Account Forms. 10. At all material times, PFSL’s policies and procedures prohibited its Approved Persons, including the Respondent, from holding, obtaining, or using having clients complete pre-signed account forms.
Appears in 1 contract
Samples: Settlement Agreement
Signed Account Forms. 109. At all material times, PFSL’s policies and procedures prohibited its Approved Persons, including the Respondent, from obtaining, holding, obtaining, or using pre-signed account forms.
Appears in 1 contract
Samples: Settlement Agreement