Has the Firm or any of its members or former members (while associated with the Firm), in the past five years provided services in any way related to a security or to activities or transactions (whether or not consummated) which are or maybe subject to the Securities Acts of 1933 and 1934, any state blue sky or securities law, and other law related to any purchase, sale or offer to purchase or sell a security or any rules or regulations issued pursuant to any of the foregoing? Yes No (If "yes", please complete the Securities Supplement) Staff Information Please list professional legal personnel by category, using the following *designations. (Please attach a separate sheet if additional space is required). O = Owner/Officer/Shareholder S = Sole Practitioner A = Associate Attorney OC = Of Counsel Attorney P = Partner RP = Retired Partner EA = Employed Attorney PT = Part Time Attorney (less than 20 hours a month) Name of each Attorney Firm Year Admitted to Year Primary Area C.E. Designation* the State Bar Joined of Practice Yes or Association Firm Specialty No. 19. Please advise the following regarding the Applicant staff: Firm’s *Total # of Clerical # of Lawyers # of Lawyers Number of Support Staff added within terminated or Attorneys the past 12 resigned past months 12 months *If over 10 attorneys, please complete the Risk Management Supplement Risk Management 20. Is the office computerized or automated? Yes No If what parts or areas of the operation and practice are computerized or automated? “yes”, 21. Does the Firm maintain a docket/date control system and procedures with an independent date control(s) for all
Has the Firm or any of its members or former members (while associated with the Firm), in the past five years provided services in any way related to a security or to activities or transactions (whether or not consummated) which are or maybe subject to the Securities Acts of 1933 and 1934, any state blue sky or securities law, and other law related to any purchase, sale or offer to purchase or sell a security or any rules or regulations issued pursuant to any of the foregoing? Yes No (If "yes", please complete the Securities Supplement) Staff Information Please list professional legal personnel by category, using the following *designations. (Please attach a separate sheet if additional space is required). O = Owner/Officer/Shareholder S = Sole Practitioner A = Associate Attorney OC = Of Counsel Attorney P = Partner RP = Retired Partner EA = Employed Attorney PT = Part Time Attorney (less than 20 hours a month) Name of each Attorney Firm Designation* Year Admitted to the State Bar Association Year Joined Firm Primary Area of Practice Specialty C.E. Yes or No. 19. Please advise the following regarding the Applicant Firm’s staff: *Total Number of Attorneys # of Clerical Support Staff # of Lawyers added within the past 12 months # of Lawyers terminated or resigned past 12 months *If over 10 attorneys, please complete the Risk Management Supplement Risk Management 20. Is the office computerized or automated? Yes No If “yes”, what parts or areas of the operation and practice are computerized or automated? 21. Does the Firm maintain a docket/date control system and procedures with an independent date control(s) for all