Sentences with phrase «financial disclosure forms resulting»

Not exact matches

Further, PDC urges you to carefully review and consider the cautionary statements and disclosures, specifically those under the heading «Risk Factors,» made in its Quarterly Report on Form 10 - Q, its Annual Report on Form 10 - K for the year ended December 31, 2016 (the «2016 Form 10 - K»), filed with the U.S. Securities and Exchange Commission («SEC») on February 28, 2017 and amended on May 1, 2018, and other filings with the SEC for further information on risks and uncertainties that could affect the Company's business, financial condition, results of operations, and prospects, which are incorporated by this reference as though fully set forth herein.

Morton had difficulty overcoming controversy regarding his failure to properly file financial disclosure forms in 2013, and his $ 5,000 fine in 2013 by the Financial Industry Regulatory Agency for borrowing $ 315,000 from seven of his clients, resulting in his firing by LPL Ffinancial disclosure forms in 2013, and his $ 5,000 fine in 2013 by the Financial Industry Regulatory Agency for borrowing $ 315,000 from seven of his clients, resulting in his firing by LPL FFinancial Industry Regulatory Agency for borrowing $ 315,000 from seven of his clients, resulting in his firing by LPL FinancialFinancial.