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Form U6 (FOR CRD-IARD Organization) U6 - Official Federal Forms

Form U6 (FOR CRD-IARD Organization) Form. This is a national form and can be used in FINRA .
 Fillable pdf Last Modified 6/1/2009
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Rev. Form U6 (06/2003) PRIMARY BUSINESS NAME: U6 - SUBJECT OF ACTION ENTITY NAME: CRD DBA NAME: BUSINESS STREET ADDRESS LINE 1: CITY: LEGAL STATUS OF SUBJECT: CORPORATION PARTNERSHIP STATE OF FORMATION: IARD PRIMARY BUSINESS NAME: BUSINESS STREET ADDRESS LINE 1: CITY: STATE: BUSINESS STREET ADDRESS LINE 2: COUNTRY: ZIP/POSTAL CODE: SOLE PROPRIETORSHIP LIMITED LIABILITY COMPANY COUNTRY OF FORMATION: DATE OF FORMATION (MM/DD/YYYY): OTHER (SPECIFY) STATE: BUSINESS STREET ADDRESS LINE 2: COUNTRY: ZIP/POSTAL CODE: CRD #: BD NUMBER: IARD LEGAL STATUS OF SUBJECT: CORPORATION PARTNERSHIP OTHER (SPECIFY) STATE OF FORMATION: REGULATOR CONTACT: COUNTRY OF FORMATION: DATE OF FORMATION (MM/DD/YYYY): SOLE PROPRIETORSHIP LIMITED LIABILITY COMPANY (LLC) LIMITED LIABILITY PARTNERSHIP (LLP) REGULATOR PHONE NUMBER: Page 1 of 7 American LegalNet, Inc. www.FormsWorkflow.com Rev. Form U6 (06/2003) PRIMARY BUSINESS NAME: BD NUMBER: DISCLOSURE REPORTING PAGES U6 - BANKRUPTCY/SIPC/COMPROMISE WITH CREDITORS DRP This Disclosure Reporting Page is an INITIAL OR AMENDED IARD SEC Only IA Disclosure Expiration Date: ________________________ 1. Action Type: [Circle one: Bankruptcy, Compromise, Declaration, Liquidated, Other, Receivership] 2. Action Date (MM/DD/YYYY): ___________________ If not exact, provide explanation: Exact Explanation 3. If the financial action relates to an organization over which you exercise(d) control, enter Organization Name and your position, title or relationship: Was the Organization investment-related? Yes No 4. Court (Name of Federal, State or Foreign Court), Location of Court (City or County and State or Country), Docket/Case Number and Bankruptcy Chapter Number (if Federal Bankruptcy Filing): 5. Is action currently pending? Yes No 6. If not pending, provide disposition type: [Circle one: Direct Payment Procedure, Discharged, Dismissed, Dissolved, Other, SIPA Trustee Appointed, Satisfied/Released] 7. Disposition Date (MM/DD/YYYY): __________________ If not exact, provide explanation: Exact Explanation 8. Provide a brief summary of events leading to the action and if not discharged, explain. (The information must fit within the space provided.): 9. If a SIPA trustee was appointed or a direct payment procedure was begun, enter the amount paid or agreed to be paid by the subject; or the name of the trustee: Yes No Currently Open? Date Direct Payment Initiated/Filed or Trustee Appointed (MM/DD/YYYY): _______________ Exact Explanation If not exact, provide explanation: 10. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the action as well as the current status or final disposition. Include the details as to creditors, terms, conditions, amounts due and settlement schedule (if applicable). Your information must fit within the space provided. Page 2 of 7 American LegalNet, Inc. www.FormsWorkflow.com Rev. Form U6 (06/2003) PRIMARY BUSINESS NAME: U6 - CIVIL JUDICIAL DRP This Disclosure Reporting Page is an INITIAL OR AMENDED BD NUMBER: One event may result in more than one affirmative answer to the above items. Use only one DRP to report details related to the same event. Unrelated civil judicial actions must be reported on separate DRPs. IARD SEC Only IA Disclosure Expiration Date: ________________________ 1. Court Action initiated by: (Name of regulator, foreign financial regulatory authority, SRO, commodities exchange, Agency, Firm, Private Plaintiff, etc.) 2. Principal Relief Sought: [Circle one: Cease and Desist, Civil Penalty(ies)/Fine(s), Disgorgement, Injunction, Money Damages (Private/Civil Complaint), Other, Restitution, Restraining Order] Other Relief Sought: 3. Filing Date of Court Action (MM/DD/YYYY): ____________________ If not exact, provide explanation: Exact Explanation 4. Principal Product Type: [Circle one: Annuity(ies) - Fixed, Annuity(ies) - Variable, Banking Products (Other than CD(s)), CD(s), Commodity Options(s), Debt - Asset Backed, Debt - Corporate, Debt - Government, Debt - Municipal, Derivative(s), Direct Investment(s) - DPP & LP Interest(s), Equity - OTC, Equity Listed (Common & Preferred Stock), Futures - Commodity, Futures - Financial, Index Options(s), Insurance, Investment Contract(s), Money Market Fund(s), Mutual Fund(s), No Product, Options, Other, Penny Stock(s), Unit Investment Trust(s)] Other Product Types: 5. Formal Action was brought in (include name of Federal, Military, State or Foreign Court, Location of Court - City or County and State or Country, Docket/Case Number): 6. Employing Firm when activity occurred which led to the civil judicial action: 7. Describe the allegations related to this civil action. (The information must fit within the space provided.): 8. Current Status? Pending On Appeal Final 9. If on appeal, action appealed to (provide name of court): Date Appeal Filed (MM/DD/YYYY): ______________ Page 3 of 7 American LegalNet, Inc. www.FormsWorkflow.com Rev. Form U6 (06/2003) PRIMARY BUSINESS NAME: BD NUMBER: U6 - CIVIL JUDICIAL DRP (CONTINUED) 10. If pending, date notice/process was served (MM/DD/YYYY): __________________ If not exact, provide explanation: Exact Explanation If Final or On Appeal, complete all items below. For Pending Actions, complete Item 14 only. 11. How was matter resolved: [Circle one: Consent, Dismissed, Judgment Rendered, Opinion, Other, Settled, Withdrawn] 12. Resolution Date (MM/DD/YYYY): ____________________ If not exact, provide explanation: Exact Explanation 13. Resolution Detail: A. Were any of the following Sanctions Ordered? (Check all appropriate items): Monetary/Fine Amount: $_____________ Revocation/Expulsion/Denial Censure Bar Disgorgement/Restitution Cease and Desist/Injunction Suspension B. Other Sanctions: C. Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against broker, date paid and if any portion of penalty was waived: 14. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the action, as well as the current status or final disposition and/or
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