Form R-4 - Information To Be Furnished By Promoters, Directors, Officers And Partners Of, Issuers Or Investment Advisers - 2013 Page 4

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Form R-4
11/12
Page 4
10. Have you or applicant company ever been the subject of any order entered by any state
regulatory or administrative agency, department or office or the Securities & Exchange
Commission, or any association of securities dealers, or securities exchange?
________________________________________________________________________
________________________________________________________________________
Instructions: If any part of question 10 is answered affirmatively, attach a separate sheet
and provide fullfull particulars.

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