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(4)entered an order against the applicant or any associated person In connection ()Yes @ No with municipal advisor-related or Investment-related activity? (5)imposed a civil money penalty on the applicant or any associated person,or OYes ®No ordered the applicant or any associated person to cease and desist from any activity? D. Has any other federal regulatory agency, any state regulatory agency,or any foreign financial regulatory authority ever: (1)found the applicant or any associated person to have made a false statement or OYes O No omission,or been dishonest,unfair,or unethical? (2)found the applicant or any associated person to have been involved In a violation Oyes @ No of municipal advisor-related or investment-related regulations or statutes? (3)found the applicant or any associated person to have been the cause of a denial, OYes 0 No suspension,revocation,or restriction of the authorization of a municipal advisor- related or an investment-related business to operate? (4)entered an order against the applicant or any associated person in connection Oyes @ No with a municipal advisor-related or investment-related activity? (5)denied,suspended,or revoked the registration or license of the applicant or that OYes 4 No of any associatedperson,or otherwise prevented the applicant or any associated person,by order,from associating with a municipal advisor-related or investment- related business or restricted the activities of the applicant or any associated person? E. Has any self-regulatory organization or commodities exchange over: (1)found the applicant or any associated person to have made a false statement or OYes @ No omission? (2)found the applicant or any associated person to have been involved in a violation OYes 0 No of its rules(other than a violation designated as a"minor rule violation"under a plan approved by the SEC)? (3)found the applicant or any associated person to have been the cause of a denial, OYes *No suspension,revocation or restriction of the authorization of a municipal advisor- related or an investment-related business to operate? (4)disciplined the applicant or any associated person by expelling or suspending the OYes U No applicant or the associated person from membership,barring or suspending the applicant or the associated person from association with other members,or by otherwise restricting the activities of the applicant or the associated person? F. Revocation or Suspension: Has the applicant or any associated person ever had an authorization to act as an 0Yes @ No attorney,accountant,or federal contractor revoked or suspended? G. Regulatory Proceedings: Is the applicant or any associated person currently the subject of any regulatory ()Yes O No proceeding that could result in a"Yes"answer to any part of Item 9-C,9-1),or 9-E.? Civil Judicial Disclosure If the answer is"Yes"to a question below,complete a VLvLl dydxw Action DRp Check all that apply. H.(1) Has any domestic or foreign court ever: (a)enjoined the applicant or any associated person in connection with any OYes 9 No municipal advisor-related or investment-related activity? (b)found that the applicant or any associated person was involved in a violation of OYes 0 No any municipal advisor-related or investment-related statuto(s)or regulation(s)? ic)dismissed,pursuant to a settlement agreement,a municipal advisor-related or OYes -No investment-related civil action brought against the applicant or any associated person by a state or other US jurisdiction or a foreign financial regulatory authority! (2) Current Proceedings: Is the applicant or any associated person the subject of any currently ending civil OYes *No proceeding that could result in a"Yes"answer to any part of Item 9-Ht)? Item 10 Small Businesses The SEC is required by the Regulatory Flexibility Act to consider the effect of its regulations on small entities.In order to do this,the SEC needs to determine whether you meet the Small Business Administration's definition of"small business"for purposes of entities that provide investment and