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<br />ADV All Pages <br /> <br />Page 14 of36 <br /> <br />is the date the final order, judgment, or decree was entered, or the date any rights of appeal from <br />preliminary orders, judgments, or decrees lapsed. <br /> <br />You must complete the appropriate Disclosure Reporting Page ("DRP") for "yes" answers to the <br />questions in this Item 11. <br /> <br />For "yes" answers to the following questions, complete a CriMinal Action DRP: <br /> <br />A. In the past ten years, have you or any advisory affiliate: <br />(1) been convicted of or plead guilty or nolo contendere ("no contest") In a domestic, <br />foreign, or military court to any felony? <br />(2) been charged with any felony? <br /> <br />YES NO <br />C' €. <br /> <br />c @ <br /> <br />If you are registered or registering with the SEe, you may limit your response to Item <br />11.A(2) to charges that are currently pending. <br /> <br />B. In the past ten years, have you or any advisory affiliate: <br />(1) been convicted of or plead guilty or nolo contendere C'no contest") In a domestic, C <!:' <br />foreign, or military court to a misdemeanor involving: investments or an <br />Investment-related business, or any fraud, false statements, or omissions, wrongful <br />taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a <br />conspiracy to commit any of these offenses? <br />(2) been charged with a misdemeanor listed In 11.8(1)1 C (;) <br /> <br />If you are registered or registering with the SEe, you may limit your response to Item <br />11.B(2) to charges that are currently pending. <br /> <br />FORM ADV <br />UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION <br />~primary Business Name: PATTERSON It ASSOCIATES IcRD Number: 110735 ~ <br /> <br />Rev. OS/2003 <br /> <br />ADV - Annual Amendment, Page 14 <br />3/29/2004 11:09:50 AM <br /> <br />lItem 11 Disclosure Information (Continued) <br /> <br />For "yes" answers to the following questions. complete a Requlatory Action DRP: <br /> <br />C. Has the SEe or the Commodity Futures Trading Commission (CFTC) ever: <br />(1) found you or any advisory affiliate to have made a false statement or omission? <br /> <br />(2) found you or any advisory affiliate to have been involved in a violation of SEe or <br />CFTC regulations or statutes? <br />(3) found you or any advisory affiliate to have been a cause of an investment-related <br />business having Its authorization to do business denied, suspended, revoked, or <br />restricted? <br /> <br />(4) entered an order against you or any advisory affiliate in connection with investment- <br />related activity? <br /> <br />YES NO <br />C @:. <br />C (i' <br /> <br />Co € <br /> <br />(":, € <br /> <br />https:/Icrd.nasd.comlIad/Content/PrintHistJ AdvlPages/crd_iad_Adv AllPages.asp?RefNum=&vi... 2/14/2005 <br />