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fourkids_9pets

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fourkids_9pets

Re: fourkids_9pets post# 19726

Monday, 02/13/2017 3:31:30 PM

Monday, February 13, 2017 3:31:30 PM

Post# of 20257

The SEC’s order finds that Sidoti & Company LLC had no written policies or procedures in place from November 2014 to July 2015 as it pertained to those making investment decisions for an affiliated hedge fund that invested in issuers covered by Sidoti’s research department and some other issuers for which Sidoti provided investment banking services.



imagine that ..

a New York-based brokerage firm has agreed to pay a $100,000 penalty to settle charges of compliance and trading surveillance failures

There were 126 instances from Nov. 3, 2014 to May 5, 2015

4kids

10/5/07 -- there are no coincidences here ...
oh and like many other longs .. not selling at this level --

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