Compliance Information
In the past five years has the Company or any of its affiliate firms been the subject of any of the following actions by any government agency (Government agencies include city, state, federal public agencies, quasi-public agencies, authorities and corporations, public development corporations and local development corporations):
Compliance Information (Part II)
In the past ten years has the Company or any of its current or past Key People or affiliate firms:
An INVESTIGATION includes an appearance before a grand jury by representatives of a business entity, any oral or written inquiry or review of the entity’s documents by a public agency, temporary commission or other investigative body including, but not limited to, subpoenas and/or search warrants, or questioning of employees concerning the general operation or a specific project of activities of such business entity.