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federal agency denying, revoking, barring or suspending | registration or licensing as a broker-dealer, agent, | investment adviser, investment adviser representative or | federal covered investment adviser; |
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| (2) The securities regulator of a state or the | Securities and Exchange Commission against a broker- | dealer, agent, investment adviser, investment adviser | representative or federal covered investment adviser; |
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| (3) The Securities and Exchange Commission or a self- | regulatory organization suspending or expelling the | registrant or licensee from membership in the self- | regulatory organization; |
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| (4) A court adjudicating a United States Postal Service | fraud order; |
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| (5) The insurance regulator of a state denying, | suspending or revoking registration or licensing as an | insurance producer or its equivalent; |
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| (6) A depository institution or financial services | regulator suspending or barring the person from the | depository institution or other financial services | business; or |
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| (7) The United States Commodity Futures Trading | Commission denying, suspending or revoking registration | under the federal Commodity Exchange Act; |
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| F.__Is the subject of an adjudication or determination, | after notice and opportunity for hearing, by the Securities | and Exchange Commission, the United States Commodity Futures | Trading Commission, the Federal Trade Commission, a federal | depository institution regulator or a depository | institution, insurance or other financial services regulator | of a state that the person intentionally or knowingly | violated the federal Securities Act of 1933, the federal | Securities Exchange Act of 1934, the federal Investment | Advisers Act of 1940, the federal Investment Company Act of | 1940, the federal Commodity Exchange Act, the securities or | commodities law of a state or a federal or state law under | which a business involving investments, franchises, | insurance, banking or finance is regulated; |
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| G.__Is insolvent, either because the person's liabilities exceed | the person's assets or because the person can not meet the | person's obligations as they mature.__The |
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