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<br />ADV AIl Pages <br /> <br />Page 15 of36 <br /> <br />(5) imposed a civil money penalty on you or any advisory affiliate, or ordered you or any (": ~, <br />advisory affiliate to cease and desist from any activity? <br /> <br />D. Has any other federal regulatory agency, any state regulatory agency, or any foreign <br />finanCial regulatory authority: <br />(1) ever found you or any advisory affiliate to have made a false statement or omission, <br />or been dishonest, unfair, or unethical? <br />(2) ever found you or any advisory affiliate to have been involved in a violation of <br />investment-related regulations or statutes? <br />(3) ever found you or any advisory affiliate to have been a cause of an investment- <br />related business having its authorization to do business denied, suspended, revoked, <br />or restricted? <br />(4) in the past ten years, entered an order against you or any advisory affiliate In <br />connection with an investment-related activity? <br />(5) ever denied, suspended, or revoked your or any advisory affiliate's registration or <br />license, or otherwise prevented you or any advisory affiliate, by order, from <br />associating with an investment-related business or restricted your or any advisory <br />affiliate's activity? <br /> <br />E. Has any self-regulatory organization or commodities exchange ever: <br />(i) 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 Its rules <br />(other than a violation designated as a "minor rule violation" under a plan approved <br />by the SEC)? <br />(3) found you or any advisory affiliate to have been the cause of an investment-related <br />business having its authorization to do business denied, suspended, revoked, or <br />restricted? <br />(4) disciplined you or any advisory affiliate by expelling or suspending you or the <br />advisory affiliate from membership, barring or suspending you or the advisory <br />affiliate from association with other members, or otherwise restricting your or the <br />advisory affiliate's activities? <br /> <br />l':" (';,", <br />C €' <br />C. @ <br />C €' <br />C ~ <br /> <br />Co ~ <br />C @ <br /> <br />C € <br /> <br />c (!, <br /> <br />FORM ADV <br />UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION <br />IPrimary Business Name: PATTERSON 81 ASSOCIATES IcRD Number: 110735 <br /> <br />Rev. OS/2003 <br /> <br />ADV - Annual Amendment, Page 15 <br />3/29/2004 11:09:50 AM <br /> <br />lItem 11 Disclosure Information (Continued) <br /> <br />F. Has an authorization to act as an attorney, accountant, or federal contractor granted to C cr. <br />you or any advisory affiliate ever been revoked or suspended? <br /> <br />G. Are you or any advisory affiliate now the subject of any regulatory proceeding that could C @ <br />result in a "yesn answer to any part of Item l1.C., 11.0., or 11.E.? <br /> <br />For "yes" answers to the following Questions. complete a Civil Judicial Action DRP: <br /> <br />https:/lcrd.nasd.comlIadlContent/PrintHist/ Adv/Pageslcrd_iad_AdvAlIPages.asp?RetNum=&vi... 2/14/2005 <br />