(1) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to (a) any felony or (b) a misdemeanor involving: investments or an investment-related business, or any fraud, false statements, or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses?
(2) been charged with any felony, or a misdemeanor listed in Item IV (1)?