4
The event code for the disclosure.
11 = (a)(1)(A) External Finding
12 = (a)(1)(B) Customer Complaint
Involving Certain Allegations
13 = (a)(1)(C) Named in a Regulatory
Proceeding
14 = (a)(1)(D) Subject to Other Regulatory
Actions
15 = (a)(1)(E) Criminal Actions Involving
Felonies and Certain Misdemeanors
16 = (a)(1)(F) Associated with a Financial
Entity Subject to Certain Actions
17 = (a)(1)(G) Civil Litigation; Arbitration
Matters; or Certain Claims for Damages
18 = (a)(1)(H) Statutory Disqualification
19 = (a)(2) Disciplinary Action Taken by a
Firm Against an Associated Person
20 = (b) Internal Conclusion
Alleged Activity Period Date
1
The start date of the alleged activity. MM/DD/YYYY
Alleged Activity Period Date
2
The date the alleged activity ended. MM/DD/YYYY
Alleged Activity Period Date
Flag 1
1, Y, N, Missing
Alleged Activity Period Date
Flag 2
1, Y, N, Missing
Complaint Related to
Representative Flag
Indicates the complaint is primarily related to a Representative.