19 Jul Len Krick Documentation
Len Krick has supplied us with the documentation related to his recent case with the Nevada Securities Division. This documentation includes everything from the 2006 No-Action Letter from the SEC to Country Business, Inc., all the way through to the compliance checklist and listing agreement language now being used by Len Krick as a result of his experience.
You can view all the below forms at this link with numbers 2 and 9 in MS Word Format if you would care to use them.
- November 8, 2006 – SEC’s “CBI” No‐Action Letter
- Len Krick’s Stock Sale Acknowledgement, Notification, and Disclaimer
- March 23, 2011 ‐ Subpoena from the State of Nevada Securities Division
- May 17, 2011 ‐ Position Paper from Krick to State of Nevada Securities Division
- April 20, 2011 ‐ Amendment to listing Agreement Converting to Consulting Agreement
- May 23, 2011 ‐ Proposal by Krick to Nevada Securities Division
- May 24, 2011 ‐ No‐Action letter from the Nevada Securities Division to Krick
- June 8, 2011 ‐ Compliance and Indemnification Letter From Krick to Thomas Schuman (Shareholder selling stock to Michael Baker Corporation)
- May 25, 2011 ‐ “CBI” No‐Action Letter Compliance Checklist to be used by Krick going forward
- June 28, 2011 ‐ Language added to Sunbelt Business brokers of Las Vegas, Inc. Listing Agreement