Signed Account Forms. 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. 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. 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. 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