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Re: alyssa1 post# 11306

Wednesday, 10/12/2016 2:13:00 PM

Wednesday, October 12, 2016 2:13:00 PM

Post# of 107602
To my knowledge Tracy has not been the "subject of" any SEC investigation. He has been 'subject to' subpoena regarding a 'client' in an attempted fishing expedition, but that is legally far different than being the 'subject of' an investigation.

I take it you didn't actually read the SEC's court filings. The subpoenas in question were not about his clients. They were about a rather large number of Forms S-1 he'd compiled and opined on.

No securities attorney, busy or otherwise, wants to get a subpoena from the SEC.