Form U-7 - Small Company Offering Registration (Scor) Form Page 30
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38Administrative Proceedings
94.
(a)
Has any government agency, administrative agency, or administrative court imposed
an administrative finding, order, decree, or sanction against any Officer, Director, or key person in
the last five years as a result of his or her involvement in any type of business, securities, or
banking activity?
[ ] Yes
[ ] No
94.
(b)
Is any Officer, Director, or key person the subject of a pending administrative
proceeding related to his or her involvement in any type of business, securities, or banking activity?
[ ] Yes
[ ] No
94.
(c)
Has any administrative proceeding been threatened against any Officer, Director, or
key person related to his or her involvement in any type of business, securities, or banking activity?
[ ] Yes
[ ] No
94.
(d)
Explain in detail any “yes” answer to Item 94(a), 94(b), or 94(c).
Self-Regulatory Proceedings
95.
(a)
Has a self-regulatory agency imposed a sanction against any Officer, Director, or
key person in the last five years as a result of his or her involvement in any type of business,
securities, or banking activity?
[ ] Yes
[ ] No
95.
(b)
Is any Officer, Director, or key person the subject of a pending self-regulatory
organization proceeding related to his or her involvement in any type of business, securities, or
banking activity?
[ ] Yes
[ ] No
95.
(c)
Has any self-regulatory organization proceeding been threatened against any Officer,
Director, or key person related to his or her involvement in any type of business, securities, or
banking activity?
[ ] Yes
[ ] No
95.
(d)
Explain in detail any “yes” answer to Item 95(a), 95(b), or 95(c).
NOTE: After reviewing the background of the Company's Officers, Directors and
key persons, potential investors should consider whether or not these persons have adequate
background and experience to develop and operate this Company and to make it successful.
In this regard, the experience and ability of management are often considered the most
significant factors in the success of a business.
Small Company Offering Registration (SCOR) Form
Page - 30
Revised: September 28, 1999
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