Indemnity Bond For Investment Adviser
Indemnity Bond For Investment Adviser Form. This is a Idaho form and can be use in Blue Sky Secretary Of State.
Tags: Indemnity Bond For Investment Adviser, Idaho Secretary Of State, Blue Sky
COURT COUNTY .OF. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ......... .. : Index No. : Plaintiff(s) -against- Calendar No. : JUDICIAL SUBPOENA : STATE OF IDAHO : DEPARTMENT OF FINANCE Securities Bureau : INDEMNITY BOND FOR INVESTMENT ADVISER Defendant(s) : ...................................................... STATE OF IDAHO ) ) ss. COUNTY OF ) THE PEOPLE OF THE STATE OF NEW YORK KNOW ALL MEN BY THESE PRESENTS, that TO (Investment Adviser) of the County of___________________________, State of_______________________________, as Principal and GREETINGS: ______________________________, State of_________________________________, a surety corporation duly qualified to do WE COMMAND YOU, that allas surety,andheld and being laid aside, youthe State of Idaho, and/or any business in the State of Idaho business is excuses firmly bound unto and each of you attend before the Honorable at the Court person, firm or corporation interested, in the sum of TWENTY-FIVE THOUSAND DOLLARS ($25,000) lawful , located at payment whereof well and truly to be made, we do bind ourselves, County of money of the United States of America for the in room , on the day of , 20 , at our and each of our heirs, assigns, executors and administrators, jointlyo'clock in the firmly by these presents. and severally, noon, and at any recessed or adjourned date, to testify and give evidence as a witness in this action on the part of the The condition of this obligation is such, that whereas, the Idaho Department of Finance, under the provisions of the Idaho Securities Act, has registered the said PRINCIPAL herein named as a Investment Adviser to sell securities in the state of Idaho. Your failure to comply with this subpoena is punishable as a contempt of court and will make you liable to the party on whose behalf this subpoena was issued for a maximum penalty of $50 and all damages sustained as a result ofWHEREAS, the said Investment Adviser is authorized by said Act to appoint Agents and represent and AND your failure to comply. assist said Investment Adviser in the sale of said securities. Witness, Honorable , one of the Justices of the NOW Court in THEREFORE, if the above of County, day bounded PRINCIPAL herein named shall truly report to the Idaho , 20 Department of Finance the names and addresses of all agents so appointed and employed in the sale of said securities, and said PRINCIPAL herein named as such Investment Adviser, and each and every Agent registered by said Investment Adviser shall well and truly comply with the provisions of the Idaho Securities Act, and then this (Attorney must sign above and type name below) obligation to be void, otherwise to remain in full force and effect. PROVIDED, HOWEVER, AND UPON THE FOLLOWING EXPRESS CONDITIONS: Attorney(s) for That, every person having a cause of action under the Idaho Securities Act, may initiate suit in any court of competent jurisdiction against the PRINCIPAL and/or the surety upon this bond. No suit may be maintained to enforce any liability on the bond unless brought within three years after the sale or other act upon which it is based. Office and P.O. Address PROVIDED, always, that nothing herein shall be construed to make the total maximum liability hereunder of the above named PRINCIPAL and/or surety more than TWENTY-FIVE THOUSAND DOLLARS regardless of the Telephone No.: number of acts of omission or commission of the above named PRINCIPAL and/or its agents. INDEMNITY BOND FOR INVESTMENT ADVISER - 1 Facsimile No.: E-Mail Address: Mobile Tel. No.: (Continued on Reverse) American LegalNet, Inc. www.USCourtForms.com COURT COUNTY .OF. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ......... .. : Index No. : Plaintiff(s) Calendar No. : JUDICIAL SUBPOENA PROVIDED, FURTHER, that before any person, firm or corporation shall have any right of action, or any -against: right whatsoever, against the PRINCIPAL and/or the surety upon this bond, and before any such right of action, or any such right whatsoever shall exist or arise, such person, firm or corporation, within the period of three years after : the termination of this bond, must have given to the surety and the PRINCIPAL written notice of claim under this bond, and it is hereby stipulated and agreed that the giving of such notice of claim under this bond within said period : of three years shall be a condition precedent to any such right of action or right whatsoever against the PRINCIPAL Defendant(s) and/or the surety and the failure to give such notice as aforesaid shall render this obligation null and void and of no : . . .... ...... ... . .......... effect .as. to. such .person, .firm.or. corporation.. . . . . . . . . . . . . . . . . . . . . PROVIDED, FURTHER, that either the PRINCIPAL or the surety may cancel this bond as an entirety by givingTHE PEOPLE OF notice to the Idaho Department of Finance at Boise, Idaho, and if cancelled by the surety, thirty (30) days THE STATE OF NEW YORK copy of said notice of cancellation shall be sent by registered mail to the PRINCIPAL hereunder. Said notice to the Idaho TO Department of Finance shall also be sent by registered mail. In case of such cancellation by either the PRINCIPAL or the surety, no further obligation shall be incurred under this bond after the expiration of said thirty (30) days, but the liability of the PRINCIPAL and surety shall apply as above set out as of any acts or omissions which may have occurred prior to the effective date of such cancellation. GREETINGS: The period for which this bond shall remain in force and effect, unless previously cancelled as hereabove WE COMMAND YOU, that all business and excuses being laid aside, you and each of you attend before provided for, shall be from date hereof until [_________________________, 20_____] [continuous] (strike out , the Honorable at the Court one), at the expiration of which time it shall ipso facto cease and terminate as to all future transactions only. located at County of in room , on the day of , 20 , at o'clock in the noon, and at any recessed orIN WITNESS WHEREOF, the said parties hereunto have set theiron the part of the their respective seals adjourned date, to testify and give evidence as a witness in this action hand and affixed this______ day of_______________________, 20____. Your failure to comply with this subpoena is punishable as a contempt of court and will make you liable to the party on whose behalf this subpoena was ______________________________________________ a issued for a maximum penalty of $50 and all damages sustained as (NAME OF INVESTMENT ADVISER FIRM) result of your failure to comply. (SEAL) Honorable Witness, Court in County, day of ______________________________________________ , one of the Justices of the (SIGNATURE OF OFFICER OF THE FIRM) , 20 ______________________________________________ (NAME OF SURETY COMPANY) (Attorney must sign above and type name below) (SEAL) ______________________________________________ Attorney(s) for (SIGNATURE OF OFFICER) ______________________________________________ (TITLE OF OFFICER) Office and P.O. Address C:\MyFiles\IAbond.wpd Telephone No.: Facsimile No.: E-Mail Address: Mobile Tel. No.: INDEMNITY BOND FOR INVESTMENT ADVISER - 2 American LegalNet, Inc. www.USCourtForms.com