Form MA-I Applicant's Information

Filer's CIK:
0001615340
Filer's CCC:

Submission Contact Information

Name:
Kenneth McManus
Phone:
973-618-9508
Email Address:
kenmcmanus@alternativereg.com

Notification Information

Notification will automatically be sent to the Login CIK, Submission Contact, and Primary Issuers. Specify additional addresses below.

Please read the General Instructions for this form and other forms in the MA series, as well as its subsection, "Specific Instructions for Form MA-I," before completing this form. All italicized terms herein are defined or described in the Glossary of Terms appended to the General Instructions.

PART 1

This form must be completed by

Every municipal advisory firm applying for registration or registered as a municipal advisor on Form MA, to provide information regarding each natural person who is an associated person of the firm and engages in municipal advisory activities on the firm's behalf (for purposes of Form MA-I, the "individual"); and

Every natural person (sole proprietor) applying for registration as a municipal advisor on Form MA, to provide additional personal information.

WARNING

Complete this form truthfully.  False statements or omissions may result in denial of a municipal advisor's application, revocation or suspension of such registration, or criminal prosecution.  Form MA-I must be amended promptly whenever any information previously provided becomes inaccurate.  See General Instruction 9. 

Type of Filing:

This is an (check the appropriate box):
checkbox unchecked Initial Form MA-I
Execution Pages: Before submitting this form, you must complete the Execution Page.
Supporting Documentation: If you are required to make reportable disclosures in the Disclosure Reporting Pages, you must attach the supporting documentation.
Non-Resident Individuals: If the individual is a non-resident of the United States, you must attach a completed Form MA-NR signed by the individual to this Form MA-I at the time of initial filing of Form MA-I. See the General Instructions.

checkbox checked Amendment to the most recent Form MA-I

checkbox unchecked Amendment to indicate that the individual is no longer an associated person of the municipal advisory firm or no longer engages in municipal advisory activities on its behalf. (If you check this box, complete only Item 1-A and Item 7 below.)

Item 1 Identifying Information

A. The Individual

Full Legal Name:
Enter all the letters of each name and not initials or other abbreviations. If no middle name, enter NMN on that line.
Last Name:
Ogburn
First Name:
Michael
Middle Name:
Wesley
Suffix:
Individual CRD No.: (if any)

B. Municipal Advisory Firms Where the Individual Is Employed

In providing your responses, please note that the definition of "employee" for purposes of this form includes an independent contractor who engages in municipal advisory activities on behalf of a municipal advisory firm. See Glossary of Terms.

Is the individual employed at more than one municipal advisory firm?
radio button unchecked YES radio button checked NO
Enter the number of municipal advisory firms the individual is employed with (sole proprietors not employed with any other firm enter 1).

(For individuals who are employed with more than one firm, provide the information required by this Item 1-B for each such firm. For sole proprietors, enter the legal name under which you conduct your municipal advisor-related activities, and skip to Item 1-B.1.)

1
Municipal Advisory Firm's CIK:  
0001615340
Full Legal Name of municipal advisory firm with which the individual is employed: 
C Financial Investment, Inc.
Name under which municipal advisor-related business is primarily conducted, if different from above:
California Financial Services
Date that the individual's most recent employment with this municipal advisory firm commenced (MM/DD/YYYY):
04-28-1988
Does the individual have an independent contractor relationship with the above-named firm?
radio button unchecked YES radio button checked NO

(1) Municipal Advisory Firm's Registration Information:

Notification will automatically be sent to the Login CIK, Submission Contact, and Primary Issuers. Specify additional addresses below.

Is the municipal advisory firm currently registered on Form MA as a municipal advisor? (Answer "Yes" if you have already filed Form MA and your application for registration on that form has been approved. Otherwise, answer "No.")
radio button uncheckedYES radio button checkedNO
SEC File No.:
If "No," has the municipal advisory firm filed a Form MA application?
radio button checkedYES radio button uncheckedNO
Form MA Filing Date: (MM/DD/YYYY):
07-31-2014
EDGAR CIK No.:
0001615340

(2) Office

Enter the requested information for each office of the municipal advisory firm where the individual is or will be physically located, and each office from which the individual is or will be supervised: 

The individual is or will be checkbox checked Located At checkbox checked Supervised From
Start Date:
02-01-2019
Street Address 1:
555 Corporate Drive
Street Address 2:
#100
City:
Ladera Ranch
State/Country:
CA
Postal Code:
92694
Private Residence Check Box: Is the Office of Employment address a private residence?

A private residential address will not be included in publicly available versions of this registration form.

radio button unchecked YES radio button unchecked NO

Item 2 Other Names

Enter the following information for all other names that the individual has used or is using, or by which the individual is known or has been known, other than the individual´s legal name, since the age of 18. 

This space should include, for example, nicknames, aliases, and names used before or after marriage.

Item 3 Residential History

Starting with the current address, enter the following information for all the individual´s residential addresses for the past 5 years. Leave no gaps greater than three months between addresses. Report changes in an amendment to this form as they occur in the future. Private residential addresses will not be included in publicly available versions of this form.

Current Address

From:
To:
Street Address 1:
Street Address 2:
City:
State/Country:
Postal Code:

Item 4 Employment History

Provide complete employment history of the individual for the past 10 years. Include the municipal advisory firm(s) entered in Item 1-B. Enter the following information for each employer. Account for all time, leaving no gaps longer than three months. Include full- and part-time employment, self-employment, military service, and homemaking. Also include statuses such as unemployed, full-time education, extended travel, or other similar statuses. Such statuses should be entered in the space provided below for "Name of Municipal Advisory Firm or Company." 

Current Employer

From:
04-1988
To: of Municipal Advisory Firm or Company:
Name of Municipal Advisory Firm or Company:
C Financial Investment, Inc.
City: of Municipal Advisory Firm or Company:
Ladera Ranch
State/Country: of Municipal Advisory Firm or Company:
CA
Postal Code:
92694
Municipal Advisor-Related Business?
radio button checked YES radio button unchecked NO
Investment-Related Business?
radio button unchecked YES radio button checked NO
Position Held:
President

Item 5 Other Business

Is the individual currently engaged in any other business either as a proprietor, partner, officer, director, employee, trustee, agent or otherwise?
radio button unchecked YES radio button checked NO

Item 6 Disclosure Information

IF THE ANSWER TO ANY OF THE QUESTIONS IN ITEMS 6A – 6J AND 6M IS "YES," PROVIDE DETAILS OF ALL EVENTS OR PROCEEDINGS ON THE APPROPRIATE DISCLOSURE REPORTING PAGES (DRPs).

One event or proceeding may result in the requirement to answer "Yes" to more than one question below.

Refer to the Glossary of Terms for definitions or descriptions of italicized terms.

CRIMINAL ACTION DISCLOSURE

If the answer is "Yes" to any question below in Item 6A or 6B, complete a Criminal Action DRP.

Item 6A.

(1) Has the individual ever:

(a) been convicted of any felony, or pled guilty or nolo contendere ("no contest") to any charge of a felony in a domestic, foreign, or military court?
radio button unchecked YES radio button checked NO
(b) been charged with any felony?
radio button unchecked YES radio button checked NO

(2) Based upon activities that occurred while the individual exercised control over it, has an organization ever:

(a) been convicted of any felony or pled guilty or nolo contendere ("no contest") in a domestic or foreign court to any charge of a felony?
radio button unchecked YES radio button checked NO
(b) been charged with any felony?
radio button unchecked YES radio button checked NO

Item 6B.

(1) Has the individual ever:

(a) been convicted of any misdemeanor or pled guilty or nolo contendere ("no contest") in a domestic, foreign or military court to any charge of a misdemeanor involving: municipal advisory activities or a municipal advisor-related or investment-related business or any fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses?

radio button unchecked YES radio button checked NO

(b) been charged with any misdemeanor of the kind described in 6B(1)(a)?

radio button unchecked YES radio button checked NO
(2) Based upon activities that occurred while the individual exercised control over it, has an organization ever:
(a) been convicted of any misdemeanor or pled guilty or nolo contendere ("no contest") in a domestic or foreign court to any charge of a misdemeanor of the kind specified in 6B(1)(a)?
radio button unchecked YES radio button checked NO
(b) been charged with any misdemeanor of the kind specified in 6B(1)(a)?
radio button unchecked YES radio button checked NO

REGULATORY ACTION DISCLOSURE

If the answer is "Yes" to any question below in Items 6C-6G(1), complete a Regulatory Action DRP.

Item 6C.

Has the SEC or the CFTC ever:

(1) found the individual to have made a false statement or omission?

radio button unchecked YES radio button checked NO

(2) found the individual to have been involved in a violation of any SEC or CFTC regulation or statute?

radio button unchecked YES radio button checked NO

(3) found the individual to have been a cause of a denial, suspension, revocation, or restriction of the authorization of a municipal advisor-related business or investment-related business to operate?

radio button unchecked YES radio button checked NO

(4) entered an order against the individual in connection with municipal advisor-related or investment-related activity?

radio button unchecked YES radio button checked NO

(5) imposed a civil money penalty on the individual, or ordered the individual to cease and desist from any activity?

radio button unchecked YES radio button checked NO

(6) found the individual to have willfully violated any provision of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Commodity Exchange Act, or any rule or regulation under any of such Acts, or any of the rules of the MSRB, or found the individal to have been unable to comply with any provision of such Acts, rules or regulations?

radio button unchecked YES radio button checked NO

(7) found the individual to have willfully aided, abetted, counseled, commanded, induced, or procured the violation by any person of any provision of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Commodity Exchange Act, or any rule or regulation under any of such Acts, or any of the rules of the MSRB?

radio button unchecked YES radio button checked NO

(8) found the individual to have failed reasonably to supervise another person subject to his or her supervision, with a view to preventing the violation of any provision of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Commodity Exchange Act, or any rule or regulation under any of such Acts, or any of the rules of the MSRB?

radio button unchecked YES radio button checked NO

Item 6D.

(1) Has any other federal regulatory agency or any state regulatory agency or foreign financial regulatory authority ever:

(a) found the individual to have made a false statement or omission or to have been dishonest, unfair or unethical?

radio button unchecked YES radio button checked NO

(b) found the individual to have been involved in a violation of municipal advisor-related or investment-related regulation(s) or statute(s)?

radio button unchecked YES radio button checked NO

(c) found the individual to have been a cause of a denial, suspension, revocation, or restriction of the authorization of a municipal advisor-related or investment-related business to operate?

radio button unchecked YES radio button checked NO

(d) entered an order against the individual in connection with a municipal advisor-related or investment-related activity?

radio button unchecked YES radio button checked NO

(e) denied, suspended, or revoked the individual's registration or license or otherwise, by order, prevented the individual from associating with a municipal advisor-related or investment-related business or restricted his or her activities?

radio button unchecked YES radio button checked NO

(2) Has the individual ever been subject to any final order of a state securities commission (or any agency or office performing like functions), a state authority that supervises or examines banks, savings associations, or credit unions, a state insurance commission (or any agency or office performing like functions), a federal banking agency, or the National Credit Union Administration, that:

(a) bars the individual from association with an entity regulated by such commission, authority, agency, or office, or from engaging in the business of securities, insurance, banking, savings association activities, or credit union activities; or

radio button unchecked YES radio button checked NO

(b) is based on violations of any laws or regulations that prohibit fraudulent, manipulative, or deceptive conduct?

radio button unchecked YES radio button checked NO

Item 6E.

Has any self-regulatory organization or commodities exchange ever:

(1) found the individual to have made a false statement or omission?

radio button unchecked YES radio button checked NO

(2) found the individual to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the SEC)?

radio button unchecked YES radio button checked NO

(3) found the individual to have been a cause of a denial, suspension, revocation, or restriction of the authorization of a municipal advisor-related or investment-related business to operate?

radio button unchecked YES radio button checked NO

(4) disciplined the individual by expelling or suspending him or her from membership, barring or suspending the individual's association with its members, or restricting the individual's activities?

radio button unchecked YES radio button checked NO

(5) found the individual to have willfully violated any provision of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Commodity Exchange Act, or any rule or regulation under any of such Acts, or any of the rules of the MSRB, or found the individual to have been unable to comply with any provision of such Acts, rules or regulations?

radio button unchecked YES radio button checked NO

(6) found the individual to have willfully aided, abetted, counseled, commanded, induced, or procured the violation by any person of any provision of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Commodity Exchange Act, or any rule or regulation under any of such Acts, or any of the rules of the MSRB?

radio button unchecked YES radio button checked NO

(7) found the individual to have failed reasonably to supervise another person subject to your supervision, with a view to preventing the violation of any provision of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Commodity Exchange Act, or any rule or regulation under any of such Acts, or any of the rules of the MSRB?

radio button unchecked YES radio button checked NO

Item 6F.

Has the individual ever had an authorization to act as an attorney, accountant or federal contractor that was revoked or suspended?
radio button unchecked YES radio button checked NO

Item 6G.

Has the individual been notified, in writing, that he or she is currently the subject of any:

(1) regulatory complaint or proceeding that could result in a "Yes" answer to any part of 6C, D or E?
radio button unchecked YES radio button checked NO

INVESTIGATION DISCLOSURE

If the answer is "Yes" to Item 6G(2) below, complete an Investigation DRP.

(2) investigation that could result in a "Yes" answer to any part of 6A, B, C, D or E? (If "Yes," complete the Investigation Disclosure Reporting Page.)
radio button unchecked YES radio button checked NO

CIVIL JUDICIAL ACTION DISCLOSURE

If the answer is "Yes" to any question below in Item 6H, complete a Civil Judicial Action DRP.

Item 6H.

(1) Has any domestic or foreign court ever:

(a) enjoined the individual in connection with any municipal advisor-related or investment-related activity?
radio button unchecked YES radio button checked NO
(b) found that the individual was involved in a violation of any municipal advisor-related or investment-related statute(s) or regulation(s)?
radio button unchecked YES radio button checked NO
(c) dismissed, pursuant to a settlement agreement, a municipal advisor-related or investment-related civil action brought against the individual by a domestic jurisdiction or foreign financial regulatory authority?
radio button unchecked YES radio button checked NO
(2) Is the individual named in any currently pending civil proceeding that could result in a "Yes" answer to any part of 6H(1)?
radio button unchecked YES radio button checked NO

CUSTOMER COMPLAINT/ARBITRATION/CIVIL LITIGATION DISCLOSURE

If the answer is "Yes" to any question below in Item 6I, complete a Customer Complaint/Arbitration/Civil Litigation DRP.

Item 6I.

(1) Has the individual ever been the subject of a municipal advisor-related or investment-related, customer-initiated (written or oral) complaint that alleged that he or she was involved in fraud, false statements, omissions, theft, embezzlement, wrongful taking of property, bribery, forgery, counterfeiting, extortion, or dishonest, unfair or unethical practices, which:
(a) is still pending, or;
radio button unchecked YES radio button checked NO
(b) was settled?
radio button checked YES radio button unchecked NO
(2) Has the individual ever been the subject of a municipal advisor-related or investment-related, customer-initiated arbitration or civil litigation that alleged that he or she was involved in fraud, false statements, omissions, theft, embezzlement, wrongful taking of property, bribery, forgery, counterfeiting, extortion, or dishonest, unfair or unethical practices, which:
(a) is still pending, or;
radio button unchecked YES radio button checked NO
(b) resulted in an arbitration award or civil judgment against the individual, regardless of amount, or;
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(c) was settled?
radio button checked YES radio button unchecked NO

TERMINATION DISCLOSURE

If the answer is "Yes" to any question below in Item 6J, complete a Termination DRP.

Item 6J.

Has the individual ever voluntarily resigned, been discharged or permitted to resign after allegations were made that accused him or her of:

(1) violating municipal advisor-related or investment-related statutes, regulations, rules, or industry standards of conduct?
radio button unchecked YES radio button checked NO
(2) fraud or the wrongful taking of property?
radio button unchecked YES radio button checked NO
(3) failure to supervise in connection with municipal advisor-related or investment-related statutes, regulations, rules or industry standards of conduct?
radio button unchecked YES radio button checked NO

FINANCIAL DISCLOSURE

Item 6K.

Within the past 10 years:

(1) has the individual made a compromise with creditors, filed a bankruptcy petition or been the subject of an involuntary bankruptcy petition?
radio button unchecked YES radio button checked NO
(2) based upon events that occurred while the individual exercised control over it, has an organization made a compromise with creditors, filed a bankruptcy petition or been the subject of an involuntary bankruptcy petition?
radio button unchecked YES radio button checked NO
(3) based upon events that occurred while the individual exercised control over it, has a broker or dealer been the subject of an involuntary bankruptcy petition, had a trustee appointed, or had a direct payment procedure initiated under the Securities Investor Protection Act?
radio button unchecked YES radio button checked NO

Item 6L.

Has a bonding company ever denied, paid out on, or revoked a bond for the individual?
radio button unchecked YES radio button checked NO

JUDGMENT/LIEN DISCLOSURE

If the answer is "Yes" to any question below in Item 6M, complete a Judgment/Lien DRP.

Item 6M.

Are there currently any unsatisfied judgments or liens against the individual?
radio button unchecked YES radio button checked NO

Item 7 Signature and Self-Certification

NOTE:  In addition to completing Item 7, to the extent that the individual is a non-resident, a Form MA-NR completed and signed by the individual must be attached as an exhibit to this Form MA-I.

Complete Either Subpart A or Subpart B:

By typing a name in the signature field, the signatory acknowledges and represents that the entry constitutes in every way, use, or aspect, his or her legally binding signature.

A. For Municipal Advisory Firms filing this form:

The municipal advisory firm has obtained and retained written consent from the individual that service of any civil action brought by, or notice of any proceeding before, the SEC or any self-regulatory organization in connection with the individual's municipal advisory activities may be given by registered or certified mail to the individual's address given in Item 1.

I, the undersigned, sign this Form MA-I on behalf of, and with the authority of, the municipal advisory firm that is filing this form. The municipal advisory firm and I both certify, under penalty of perjury under the laws of the United States of America, that the information and statements made in this Form MA-I, including exhibits and any other information submitted, are true and correct, and that I am signing this Form MA-I as a free and voluntary act.

Date:
10-19-2020
By (signature):
Kimberly McManus
Title:
President, Alternative Regulatory Solutions LLC

B. For Natural Person Municipal Advisors (Sole Proprietors) filing this form:

The individual named below consents that service of any civil action brought by, or notice of any proceeding before, the SEC or any self-regulatory organization in connection with the individual's municipal advisory activities may be given by registered or certified mail to the individual's address given in Item 1.

I, the undersigned, certify, under penalty of perjury under the laws of the United States of America, that the information and statements made in this Form MA-I, including exhibits and any other information submitted, are true and correct, and that I am signing this Form MA-I Execution Page as a free and voluntary act.

Date:

Full Legal Name of Municipal Advisor:
Enter all the letters of each name and not initials or other abbreviations. If no middle name, enter NMN on that line.

Last Name:
First Name:
Middle Name:
Suffix:
Individual CRD No. (if any):
By (signature):

Warning: Intentional misstatements or omissions of fact constitute Federal criminal violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).12.

CUSTOMER COMPLAINT / ARBITRATION / CIVIL LITIGATION DISCLOSURE REPORTING PAGE (MA-I)

CUSTOMER COMPLAINT / ARBITRATION / CIVIL LITIGATION ACTION DRP – PART 1

This Disclosure Reporting Page (DRP MA-I) is an radio button uncheckedINITIAL or radio button checkedAMENDED response to report details for affirmative response(s) to Question(s) 6I on Form MA-I.

Check the question(s) to which this DRP pertains:

checkbox unchecked 6I(1)(a)
checkbox unchecked 6I(2)(a)
checkbox checked 6I(2)(c)
checkbox checked 6I(1)(b)
checkbox unchecked 6I(2)(b)
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the individual from the record?
The reason the DRP should be removed is:

radio button unchecked The event or proceeding was resolved in the individual's favor

radio button unchecked The DRP was filed in error.


Explain the circumstances:
 

How to Report a Matter or a Proceeding on this DRP: Use a separate DRP for each matter or proceeding. One matter may result in more than one affirmative answer to the above items. Use a single DRP to report details relating to a particular matter (i.e., a customer complaint, arbitration, CFTC reparation, or civil litigation). If an event gives rise to separate proceedings by more than one regulator or other authority, or other plaintiff, provide details for each proceeding on a separate DRP. Separate cases arising out of the same matter, and unrelated civil judicial actions, must be reported on separate DRPs; if they are later consolidated into a single civil judicial action, the consolidated action can be reported on one DRP.

DRP On File for This Event : Is an accurate and up-to-date DRP containing the information regarding the individual required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
radio button unchecked YES radio button checked NO

Note: The filer may identify a DRP filed by the individual directly, or filed by another SEC-registrant about the individual as an associated person.

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

NOTE: The completion of all or any part of this form does not relieve the individual or any municipal advisor with which the individual is associated of the obligation to update any relevant Form MA or IARD or CRD records.

Disclosure Instructions and the Individual's Status: You must indicate the individual's status in Items II and III below.

CUSTOMER COMPLAINT / ARBITRATION / CIVIL LITIGATION ACTION DRP – PART 2

I. All Matters: Items 1-6. Complete Items 1-6 for all matters, whether or not the individual is named as a party, including:

A. Customer complaints, arbitrations / CFTC reparations and civil litigation in which the individual is not named as a party, as well as,

B. Arbitrations / CFTC reparations and civil litigation in which the individual is named as a party.

II. If the individual is not named as a party, check here checkbox unchecked And complete Items 7-11.

A. If the matter involves a customer complaint, or an arbitration / CFTC reparation or civil litigation in which the individual is not named as a party, complete Items 7-11 as appropriate.

B. If a customer complaint has evolved into an arbitration / CFTC reparation or civil litigation, amend the existing Disclosure Form by completing Items 9 and 10.

III. If the individual is named as a party, check here:checkbox checked And check the appropriate boxes below:

A. Arbitration / CFTC Reparation:

If the matter involves an arbitration / CFTC reparation in which the individual is a named party, check here checkbox unchecked   And complete Items 12-16, as appropriate.

B. Civil Litigation: If the matter involves a civil litigation in which the individual is a named party, check here checkbox checked And complete Items 17-23.

IV. Summary of the Circumstances: Item 24.

This is an optional space and applies to all event types (i.e., customer complaint, arbitration/CFTC reparation, civil litigation).

Complete Items 1-6 for all matters (i.e., customer complaints, arbitrations/CFTC reparations, civil litigation).

1. Customer Name(s):
Twin Rivers Unified School District
2. A. Customer(s) State of Residence or domicile, if applicable :
CALIFORNIA
B. Does/do the customer(s) have other state(s) of residence or domicile, if applicable?
radio button unchecked YES radio button checked NO
If "Yes," provide the information:
3. Employing Firm:

Provide the full legal name of the individual's employing firm, if any, when activities occurred which led to the customer complaint, arbitration, CFTC reparation or civil litigation (if there was no such employing firm at that time, enter "None"). Enter the employing firm's MA and CRD registration numbers below, if any.

A. Employing Firm:

C Financial Investment, Inc.
B. Municipal Advisor Registration Number, if any:
C. CRD Number, if any:
4. Product Type(s): (select all that apply)
checkbox unchecked No Product
checkbox unchecked Annuity-Charitable
checkbox unchecked Direct Investment-DPP & LP Interest
checkbox unchecked Oil & Gas
checkbox unchecked Annuity-Fixed
checkbox unchecked Equipment Leasing
checkbox unchecked Options
checkbox unchecked Annuity-Variable
checkbox unchecked Equity Listed (Common & Preferred Stock)
checkbox unchecked Penny Stock
checkbox unchecked Banking Product
(other than CD)
checkbox unchecked Equity-OTC
checkbox unchecked Prime Bank Instrument
checkbox unchecked Futures-Commodity
checkbox unchecked Promissory Note
checkbox unchecked CD
checkbox unchecked Futures-Financial
checkbox unchecked Real Estate Security
checkbox unchecked Commodity Option
checkbox unchecked Index Option
checkbox unchecked Security Futures
checkbox unchecked Debt-Asset Backed
checkbox unchecked Insurance
checkbox unchecked Security-based Swap
checkbox unchecked Debt-Corporate
checkbox unchecked Investment Contract
checkbox unchecked Swap
checkbox unchecked Debt-Government
checkbox unchecked Money Market Fund
checkbox unchecked Unit Investment Trust
checkbox checked Debt-Municipal
checkbox unchecked Mutual Fund
checkbox unchecked Viatical Settlement
checkbox unchecked Derivative
checkbox unchecked Other Product Type?
radio button unchecked YES radio button checked NO
If “Yes,” describe each additional product type:
5. Allegation(s):  

Describe the allegation(s) and provide a brief summary of events related to the allegation(s), including dates when activities leading to the allegation(s) occurred:

Plaintiff alleged that the Grant Joint Union High School District was wrongly promised that there would be sources of repayment derived from new residential construction that would be sufficient to retire debt obligations used to finance new school construction and modernization projects.

6. Alleged Compensatory Damage(s)

A. Do the allegations include any amount(s) for compensatory damage(s)?
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B. If "Yes," indicate the amount:
$

radio button unchecked Exact radio button unchecked Explanation

If not exact, provide explanation:

If the Individual Is Not a Named Party: If the matter involves a customer complaint, arbitration/CFTC reparation or civil litigation in which the individual is not named as a party, complete items 7-11 as appropriate.

If the Individual Is a Named Party: Report in Items 12-16, or 17-23, as appropriate, only arbitrations/CFTC reparations or civil litigation in which the individual is named as a party.

7. A. Is this an oral complaint?
radio button unchecked YES radio button unchecked NO

B. Is this a written complaint?

radio button unchecked YES radio button unchecked NO

C. Is this an arbitration/CFTC reparation or civil litigation?

radio button unchecked YES radio button unchecked NO

If "Yes," provide:

(1) Arbitration/reparation forum or court name:

(2) Location of the Forum or Court:

Street Address:

City or County:

State / Country:

Postal Code:

(3) Docket/Case Name:

(4) Docket/Case Number:

(5) Filing date of arbitration/CFTC reparation or civil litigation (MM/DD/YYYY):

D. Date received by/served on firm (MM/DD/YYYY):

radio button unchecked Exact radio button unchecked Explanation

If not exact, provide explanation:

8. Pending:  

Is the complaint, arbitration/CFTC reparation or civil litigation pending?

radio button unchecked YES radio button unchecked NO

If "No," complete item 9.

9. Final:

If the complaint, arbitration/CFTC reparation or civil litigation is not pending, provide status:

radio button unchecked Closed/No Action radio button unchecked Withdrawn   radio button unchecked Denied radio button unchecked Settled
radio button unchecked Arbitration Award/Monetary Judgment (for claimants/plaintiffs)
radio button unchecked Arbitration Award/Monetary Judgment (for respondents/defendants)
radio button unchecked Evolved into Arbitration/CFTC reparation (the individual is a named party): Complete Items 12-16.
radio button unchecked Evolved into Civil litigation (you are a named party): Complete Items 17-23.

Status:

If the Individual Is Not a Named Party: If the status is arbitration/CFTC reparation in which the individual is not a named party, provide details in Item 7C.

If the Individual Is a Named Party: If the status is arbitration/CFTC reparation in which the individual is a named party, complete Items 12-16. If the status is civil litigation in which the individual is a named party, complete Items 17-23.

10. Status Date (MM/DD/YYYY):

radio button unchecked Exact radio button unchecked Explanation
If not exact, provide explanation:
11. Settlement/Award/Monetary Judgment:

A. Is there a Settlement/Award/Monetary Judgment?

radio button unchecked YES radio button unchecked NO

If "Yes," provide the details below.

B. Settlement/Award/Monetary Judgment Amount:

$

C. Was the individual required to pay any portion of the total amount?  

radio button unchecked YES radio button unchecked NO

If "Yes," indicate:

(1) The individual's contribution amount:

$

(2) Was any portion waived?

radio button unchecked YES radio button unchecked NO

If "Yes," how much?

$

(3) Final Amount:

$

(4) Was final amount paid in full?

radio button unchecked YES radio button unchecked NO

If "Yes," date paid in full:

If "No," explain the circumstances:

If the matter involves an arbitration or CFTC reparation in which the individual is a named respondent, complete Items 12-16, as appropriate.

12. A. Arbitration/CFTC reparation claim filed with ( FINRA , AAA, CFTC , etc.):

B. Location of the Forum

Street Address:
City or County:
State/Country:
Postal Code:

C. Docket/Case Name:

D. Docket/Case Number:

E. Date notice/process was served (MM/DD/YYYY):

radio button unchecked Exact radio button unchecked Explanation

If not exact, provide explanation:

13. Pending: Is arbitration/CFTC reparation pending?
radio button unchecked YES radio button unchecked NO

If "No," complete Items 14 and 15.

14. Final: If the arbitration/CFTC reparation is not pending, what was the disposition?
radio button unchecked Award to the Individual (Agent/Representative)
radio button unchecked Award to Customer
radio button unchecked Denied
radio button unchecked Dismissed
radio button unchecked Judgment (other than monetary)
radio button unchecked No Action
radio button unchecked Settlement that includes a monetary payment to customer
radio button unchecked Settlement without a monetary payment to customer
radio button unchecked Withdrawn
radio button unchecked Other (specify)
 
15. Disposition Date (MM/DD/YYYY):
radio button unchecked Exact radio button unchecked Explanation

If not exact, provide explanation:

16. Monetary Compensation Details

(If you checked "Award to Customer," or "Settlement that includes a monetary payment to customer" in Item 14 or otherwise a payment of money must be made to the customer, provide the following information.)

A. Total Amount:

$

B. The Individual's Portion: Was the individual required to pay any portion of the total amount?  

radio button unchecked YES radio button unchecked NO

C. If you answered "Yes," to Item 16-B, indicate:

(1) The individual's contribution amount:

$

(2) Was any portion waived?

radio button unchecked YES radio button unchecked NO

If "Yes," how much?

$

(3) Final Amount:

$

(4) Was final amount paid in full?

radio button unchecked YES radio button unchecked NO

If "Yes," date paid in full:

If "No," explain the circumstances:

If the matter involves a civil litigation in which the individual is a defendant, complete items 17-23.

17. Court in which case was filed (if brought in a foreign jurisdiction, provide all the information below in English):
radio button unchecked Federal Court  
radio button unchecked Military Court  
radio button checked State Court  
radio button unchecked Foreign Court
radio button unchecked International Court
radio button unchecked Other (specify)
 

A. Name of the Court:

Sacramento Superior Court

B. Location of the Court

Street Address:

720 Ninth Street

City or County:

Sacramento

State/Country:

CALIFORNIA

Postal Code:

95814

C. Docket/Case Name:

Twin Rivers Unified School District v C Financial Investment, Inc.

D. Docket/Case Number :

34-2009-000054569
18. Date received by/served on firm (MM/DD/YYYY):

radio button checked Exact radio button unchecked Explanation

If not exact, provide explanation:

19. Current Status of the Civil Litigation:
radio button unchecked Pending (Skip to Item 24.)
radio button unchecked On Appeal (Complete Items 20-23; and consider Item 24.)
radio button unchecked Final (Complete Items 20-22; and Item 23 if applicable; and consider Item 24.)
20. Resolution:  
radio button unchecked Denied
radio button checked Dismissed
radio button unchecked Judgment (other than monetary)
radio button unchecked Monetary Judgment to the Individual (Agent/Representative)
radio button unchecked Monetary Judgment to Customer
radio button unchecked No Action
radio button unchecked Settlement that includes a monetary payment to customer
radio button unchecked Settlement without a monetary payment to customer
radio button unchecked Withdrawn
radio button unchecked Other (specify)
 
21. Disposition Date (MM/DD/YYYY):
radio button checked Exact radio button unchecked Explanation

If not exact, provide explanation:

22. Monetary Compensation Details 

(If you checked "Monetary Judgment to Customer" or "Settlement that includes a monetary payment to customer" in Item 20, or otherwise a payment of money must be made to the customer, provide the following information.)

A. Total Amount:

$

B. Was the individual required to pay any portion of the total amount?  

radio button unchecked YES radio button checked NO

C. If you answered "Yes," to Item 22-B, indicate:

(1) The individual's contribution amount:

$

(2) Was any portion waived?

radio button unchecked YES radio button checked NO

If "Yes," how much?

$

(3) Final Amount:

$

(4) Was final amount paid in full?

radio button unchecked YES radio button checked NO

If "Yes," date paid in full:

If "No," explain the circumstances:

23. On Appeal - Judicial Review: 

If the individual appealed, provide the following information. (If brought in a foreign jurisdiction, provide all the information below in English):

A. Action Appealed to: 

(Provide the name of the federal, military, state, foreign, or international court to which the individual appealed):

B. Location of the Court:

Street Address:

City or County:

State/Country:

Postal Code:

C. Docket/Case Name:

D. Docket/Case Number:

E. Date Appeal filed (MM/DD/YYYY)

radio button unchecked Exact radio button unchecked Explanation

If not exact, provide explanation:

F. Appeal Details (including status):

24. Summary of the Circumstances (Optional):

You may use this space to provide a brief summary of the circumstances leading to the customer complaint, arbitration/CFTC reparation and/or civil litigation as well as the current status or final disposition(s). The information must fit within the space provided.