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Form ADV Part 1A Item 11H(1)(a) · Answer type: yn · Item 11 - Disclosure Information
Item 11H(1)(a) asks whether any state or foreign court has, in the past ten years, enjoined the firm or any advisory affiliate in connection with any investment-related activity.
This question captures civil court injunctions issued within the last decade by state courts or foreign courts (but not federal courts, which are covered elsewhere). An injunction is a court order that prohibits specific conduct or requires certain actions to prevent ongoing or future harm.
Enjoined means a court issued an injunctive order against the firm or affiliate, typically following civil litigation where plaintiffs sought court intervention to stop allegedly harmful conduct. Injunctions can be temporary (preliminary) or permanent, and may prohibit specific business activities or require compliance measures.
Yes
The firm reports that state or foreign courts have enjoined the firm or advisory affiliates in connection with investment-related activities within the past ten years.
No
The firm reports No under 11H(1)(a). This answer applies only to this question.
11H(1)(a) - In the past ten years, enjoined you or any advisory affiliate in connection with any investment-related activity?
This appears in Item 11H(1), which covers civil court findings and actions, with specific time limitation and court jurisdiction focus.
What 11H(1)(a) does not reveal is the specific conduct that prompted injunctions, which courts issued them, when within the ten-year period they occurred, whether they remain in effect, or what compliance changes resulted. Injunctions can range from narrow restrictions to broad business limitations.
Yes
Review detailed disclosure narratives to understand what conduct prompted injunctive relief, which courts issued injunctions, when they occurred within the ten-year window, which affiliates were affected, and their current status.
No
The firm reports No under 11H(1)(a). Review the other Item 11 rows separately because each question has its own scope.