This document is a regulatory disclosure form related to legal and regulatory actions involving the respondent. It includes questions about past convictions, charges, and regulatory actions by the SEC, CFTC, and other regulatory bodies. The form requires disclosure of any felonies, misdemeanors, and regulatory violations or actions taken against the respondent or their advisory affiliates.
doj/DataSet10/EFTA01372467.pdf
{"document_type":"legal","document_subtype":"regulatory disclosure form","key_organizations":["SEC","CFTC"],"reference_numbers":["DB-SDNY-0066176","SDNY_GM_00212360","EFTA01372467"]}