Carefree Group Inc (CRFU)

[youhavenoidea]

The cc of your email has reached the website of the Securities Investor Protection Corporation. SIPC was created by an act of United States Congress to provide protection to customers of member stockbrokers who encounter financial difficulties and are unable to meet their obligations to their customers. SIPC has no regulatory authority and does not become involved in complaints between stockbrokers and their customers. The only time SIPC becomes involved with a broker-dealer is when that entity encounters financial difficulties and is unable to meet its obligations to its customers. Empire Financial Group Inc. is a member of SIPC. The examining authority for that firm is the Financial Industry Regulatory Authority, www.finra.com . Any problems you are having should be brought to the attention of FINRA.

[opmoney]

Nice tradin Cajun!

[Cajunrich]

Hey Chump....Im pretty much done with SYNS...I sold every share I had at .22 and .24 ..except for my 250 bucks worth of stock that I bought at .02. I just want to see what kind of multibagger I can get......SO keep sending your emails to the SEC and who ever else you want to send them tooo..but please..please...quit clogging up my mailbox with stupid post on SYNS. I dont CARE IF IT IS A SCAM...80% of pink sheet stocks are scams....get on..get off..make money ..and run! What are you actually a LONG share holder in some pink company? please you have personally made up a screen name to bash SYNS and i appreciate...cause I had no one to talk to! But now im pretty much done...so later dayzzzzzzzz

[youhavenoidea]

They sell gas? 10m?

OMG

*PLEASE DO NOT REPLY TO THIS MESSAGE*
Dear Sir or Madam:
Thank you for your recent e-mail to the group electronic mailbox of the Division of Enforcement at the United States Securities and Exchange Commission in Washington, D.C. We appreciate your taking the time to write to us. This automated response confirms that the Division of Enforcement has received your e-mail. You can rest assured that an attorney in the Office of Internet Enforcement will review your e-mail promptly.

We are always interested in hearing from members of the public, and you may be assured that the matter you have raised is being given careful consideration in view of the Commission's overall enforcement responsibilities under the federal securities laws. It is, however, the Commission's policy to conduct its inquiries on a non-public basis -- so this may be the only response that you receive. If your complaint is more in the nature of a consumer complaint (such as a dispute with your broker or a problem with your brokerage or retirement account), you should contact our Office of Investor Education and Assistance -- they may be able to help you. You may reach the Office of Investor Education and Assistance via telephone at [phone]or through the Web at HYPERLINK "http://www.sec.gov/complaint.shtml"www.sec.gov/complaint.shtml.

The Commission conducts its investigations on a non-public basis to preserve the integrity of its investigative process as well as to protect persons against whom unfounded charges may be made or against whom the Commission determines that enforcement action is not necessary or appropriate. Subject to the provisions of the Freedom of Information Act, we cannot disclose to you any information which we may gather and we cannot confirm to you the existence or non-existence of an investigation, unless made a matter of public record in proceedings brought before the Commission or in the courts.

If you are unsure where you should direct your inquiry or you want to learn more about how the SEC handles inquiries and complaints, please visit the SEC Complaint Center at HYPERLINK "http://www.sec.gov/complaint.shtml"www.sec.gov/complaint.shtml.

Should you have any additional information or questions pertaining to this matter, please feel free to communicate directly with us at HYPERLINK "mailto:[e-mail]"[e-mail].

We appreciate your interest in the work of the Commission and its Division of Enforcement.
Very truly yours,
S/
John Reed Stark
Chief, Office of Internet Enforcement
United States Securities & Exchange Commission

[youhavenoidea]

YOU GOTTA BE KIDDING ME

LMAO

http://www.aviationfs.com/

[Chili Palmer]

Is this a good stock?

[youhavenoidea]

SYNS'S IR DEPT..GET READY FREDDY, OR IS IT EDDIE

http://investorshub.advfn.com/boards/read_msg.asp?message_id=23738212

[youhavenoidea]

SYNS'S IR DEPT..GET READY

http://www.stock-broker-negligence.com/stock_fraud_claims.html

Stock Fraud Attorney
Stock Broker Fraud Claims

Free Claim Evaluation
Click Here
Stock brokers, investment advisers and financial planners are required to deal with their clients with the utmost integrity. They are not permitted to place their own interests ahead of their clients. This duty is called a fiduciary duty because they are in a position of trust. If the stock broker or investment adviser breaches that fiduciary duty and causes you injury, you may have a stock fraud claim and may be able to recover damages for any losses caused by the stock broker misconduct. In addition to a stock fraud claim against the individual broker, in many situations you may have the right to recover from the stockbroker’s firm if the firm was involved in the misconduct or failed to supervise the broker.

The federal securities laws and most state securities laws make it illegal to make any material misstatement of fact as well as the failure to disclose a material fact or set of facts in connection with the purchase or sale of securities. Since securities are defined very broadly, these laws may apply to many different financial instruments.

In addition to misstatements and omissions in connection with the purchase or sale of a security, there are a number of other types of securities fraud claims including the following:

Unsuitability
Churning and Unauthorized Trading
Breach of Fiduciary Duty
Failure to Execute
Failure to Supervise



If you or a loved one has been harmed by stock broker or stock fraud, please call or email our experienced stock fraud lawyers today. We'll evaluate your stock fraud claim for free and help you get the justice you deserve.

[youhavenoidea]

SYNS'S IR DEPT..DOES THIS RING A BELL??

http://www.expertlaw.com/library/consumer/financial_planners.html

Fraud and Misconduct by Stock Brokers and Financial Planners
By Aaron Larson
Law Offices of Aaron Larson
July, 2004
Contents
Churning - The Excessive Trading of Stock
Unsuitable Investments
Excessive Concentration
Misrepresentations
Failure to Follow Instructions
Misappropriation
When you use a stock broker or financial planner to help manage your investments, you place a great deal of trust in that individual. In working with your financial planner, you should be aware of common acts of fraud and misconduct which may occur with your investment account:

Churning - The Excessive Trading of Stock
As a stock broker profits by making commissions on each purchase or sale of stock, a stock broker may engage in "churning" in order to obtain higher commissions from your account. While it is not always apparent from a review of trading records if a stock broker has engaged in excessive trading or has reaped excessive commissions, it is possible to determine whether the growth in the account was sufficient to cover trading expenses, and whether purchases and sales of stock are made to the advantage of the investor - particularly where the amount of trading is excessive as compared to the amount of money invested. With enough questionable trading activity, it may be possible to establish that "churning" has occurred. You can protect yourself from "churning" by limiting the stock broker's authority to engage in discretionary trading.

Unsuitable Investments
A stock broker recommends that an investor purchase securities which the broker knows or should understand are not suited to the client's needs or investment goals. For example, the stock broker may recommend high risk stocks to an older client whose actual needs are for stability and a consistent income. Sometimes a stock broker will encourage clients to purchase a particular stock which is being pushed by the brokerage firm, and may mislead the client about the quality of the investment.

Excessive Concentration
Investors typically benefit from having a diversified portfolio, in which losses in one sector are offset by profits in another. If a financial planner or brokerage over-concentrates investment in a particular stock or sector of the market, an investor will typically face an excessive risk of loss.

Misrepresentations
A broker misrepresents a material fact about an investment or trade, or fails to inform the investor of a material fact, resulting in the client's making an investment decision from which the investor would otherwise have abstained. By way of example, in conduct known as "touting", a brokerage firm might encourage a client to invest in "house stocks", essentially low-value stocks which are part of an investment scheme to achieve the artificial inflation of their value, knowing full well that no fully informed investor would make the recommended investment. Similarly, a stock broker may claim to have inside information about a "hot stock" - if true, the broker is likely engaging in illegal insider trading, and if not the broker is lying.

Failure to Follow Instructions
The broker is instructed by the investor to engage in or abstain from a particular trade or activity, and either does not follow the instruction or ignores the instruction. For example, a stock broker may engage in trades in an account over which he has no discretion to make trades, or a stock broker doesn't follow an investor's instruction to sell a stock that the firm is touting.

Misappropriation
The stock broker or financial planner steals money from the client's account, perhaps fabricating losses to cover the loss, or providing fake records to hide the deductions.

[youhavenoidea]

It's going to get better after we post NYC court documents

rut ro shaggy

[youhavenoidea]

SYNS'S IR DEPT

READ CAREFULLY

Prohibited Conduct

You should be aware that certain types of conduct in the securities industry are prohibited, including the following:

Recommending to a customer the purchase or sale of a security that is unsuitable given the customer's age, financial situation, investment objective, and investment experience. Investment in a particular type of security may be unsuitable or the amount or frequency of transactions may be excessive and therefore unsuitable for a given customer.


Purchasing or selling securities in a customer's account without first contacting the customer and the customer did not specifically authorize the sale or purchase, unless the broker has received from the customer written discretionary authority to effect transactions in the account or the broker was given discretion as to price and time.


Switching a customer from one mutual fund to another when there is no legitimate investment purpose underlying the switch.


Misrepresenting or failing to disclose material facts concerning an investment. Examples of information that may be considered material and that should be accurately presented to customers include: the risks of investing in a particular security; the charges or fees involved; company financial information; and technical or analytical information, such as bond ratings.


Removing funds or securities from a customer's account without the customer's prior authorization.


Charging a customer excessive markups, markdowns, or commissions on the purchase or sale of securities.


Guaranteeing customers that they will not lose money on a particular securities transaction, making specific price predictions, or agreeing to share in any losses in the customer's account.


Private securities transactions between a broker and a customer that may violate NASD rules, particularly where such transactions are done without the knowledge and permission of the sales representative's firm.


Trading for a firm's account in preference to a customer by trading ahead of a customer limit order, absent a valid exception.


Failure by a market maker to display a customer limit order in its published quotes, absent a valid exception.


Failing to use reasonable diligence to see that a customer's order is executed at the best possible price, given prevailing market conditions.


Purchasing or selling a security while in possession of material, non-public information regarding an issuer.


Using any manipulative, deceptive, or other fraudulent device or contrivance to effect any transaction in, or induce the purchase or sale of, any security.


About FINRA | Press Room | Resources | Career Opportunities | FAQ | Site Map | Contact Us

©2007 FINRA. All rights reserved. | Legal Notices and Privacy Policy.
FINRA is a trademark of the Financial Industry Regulatory Authority, Inc.

[youhavenoidea]

SYNS'S IR DEPT

What to Do If a Broker Calls to Pitch an IPO

Selling shares of stock to the public through an initial public offering (IPO) is a tried and true way for a company to raise money by expanding its ownership base. Purchasing any securities product, including an IPO, carries risk. Before you invest, FINRA Investor Education encourages you to:

Be alert to warning signs that might signal a fraudulent sales pitch such as:

Guarantees of big profits with little or no risk


Claims that IPOs are always good investments


Promises that your broker is not receiving any compensation


Suggestions that you are getting inside (non-public) information


Pressure tactics to invest immediately


Request - and read - a preliminary prospectus. Also known as a "red herring," this document must be filed with the SEC. Pay particular attention to the risk factors section. Be wary if a broker tells you that you don’t need a copy of the prospectus to make a decision, or to ignore the prospectus or certain information in it.


Ask and get answers to any and all questions you might have about the investment, specifically:

Has the SEC declared the offering "effective," meaning that the company can complete its securities sales?


Always remember: this only means that the company has disclosed certain facts. This is not a seal of approval from the SEC.


Do you view the IPO as a short- or long-term investment?


Exactly what does the company do?


What is its operating history (profits, revenues, or history of losses) as a private entity?


What are the major risks facing the company?


Hang up if you feel you are not getting straight answers to your questions or are being pressured to act immediately or encouraged to invest an amount that is beyond your means.


If you decide to invest, read the final prospectus, paying particular attention to the changes made from the preliminary prospectus.


If you do decide to invest in an IPO, or are considering it, you should know:

You should not send your money to your broker (or the broker’s clearing agent) prior to the effective date, since the securities can’t be sold prior to that date.


Unless specifically stated in the prospectus, there is no minimum number or shares you must buy.


You do not have to agree to buy shares in the company after it begins trading publicly in order to buy shares of the IPO.


You have the right to request that your name be placed on a "do not call" list to avoid future phone calls.
Before conducting business with a brokerage firm or broker, take the time to check their professional background by using FINRA's online investor tool, FINRA BrokerCheck.



Don’t forget: if an investment sounds too good to be true - it probably is.


About FINRA | Press Room | Resources | Career Opportunities | FAQ | Site Map | Contact Us

©2007 FINRA. All rights reserved. | Legal Notices and Privacy Policy.
FINRA is a trademark of the Financial Industry Regulatory Authority, Inc.

[youhavenoidea]

HEY..SYNS'S IR DUDE

Check this box if you would like to proceed without looking up the brokerage firm.

If we receive a complaint against a broker or brokerage firm who does not hold an FINRA license, we'll probably send your complaint to the SEC or a state securities regulator. This may cause some delay in the handling of your complaint.


Home > Investor Information > Investor Complaint Center



Investor Complaint Center

Tell us about the firm or individual you have a complaint against







* Required Fields
Brokerage Firm Name: *
Salesperson or
Firm Representative: First Name:
Middle Name:
Last Name:


Address of the Office you
do Business With: * Street Address:

City:
State/Province:
Check this box if you do not use a salesperson or your salesperson was not involved in the conduct that is the subject of your complaint.

Business Phone:

[youhavenoidea]

Home > Investor Information > Investor Complaint Center



Investor Complaint Center

Search results
Search again


Instructions: Please try to locate the brokerage firm against whom you wish to file a complaint, using the search engine provided. If you're not sure of the name of the brokerage firm, you may want to check an account statement or confirmation. Periods (".") and other punctuation should be used with "begins with" searches. If you're not sure of the punctuation, you may want to use a "sounds like" search (8 characters minimum).

Your search for begins with 'EMPIRE FINANCIAL GROUP' returned 1 result(s). Click on the name of the firm below to select the firm or search again.

CRD# Firm Name
28759 EMPIRE FINANCIAL GROUP, INC.



Check this box if you would like to proceed without looking up the brokerage firm.

If we receive a complaint against a broker or brokerage firm who does not hold an FINRA license, we'll probably send your complaint to the SEC or a state securities regulator. This may cause some delay in the handling of your complaint.





Search again



Instructions: Please try to locate the brokerage firm against whom you wish to file a complaint, using the search engine provided. If you're not sure of the name of the brokerage firm, you may want to check an account statement or confirmation. Periods (".") and other punctuation should be used with "begins with" searches. If you're not sure of the punctuation, you may want to use a "sounds like" search (8 characters minimum).

[youhavenoidea]

Home > Investor Information > Investor Complaint Center



Investor Complaint Center

My Complaint Involves Problems With:



Buy or sell orders
Brokerage firm or broker
Insider trading
Manipulation of security price or volume
Account transfer
401(k), pension or retirement plan
SEC filing or report
Investment adviser/financial planner
Mutual fund
Public companies
Transfer agent
Commodity futures
Other




--------------------------------------------------------------------------------





About FINRA | Press Room | Resources | Career Opportunities | FAQ | Site Map | Contact Us
©2007 FINRA. All rights reserved. | Legal Notices and Privacy Policy.
FINRA is a trademark of the Financial Industry Regulatory Authority, Inc.

[youhavenoidea]

Home > Investor Information > Investor Complaint Center



Investor Complaint Center

Read our Investor Complaint Program brochure to learn about how we'll handle your complaint and other actions, such as arbitration and mediation, you may want to take to recover any money or securities.


How to file a complaint:

You have two options when filing a complaint. You can use our online complaint form or you can print out a complaint form and mail or fax it to us.

If you have a question about your investments or our rules, please go to the Frequently Asked Questions area of our Web site.

You also can forward spam or junk email recommending that you invest in a stock or other investment. Before you proceed:


Have you contacted the firm?


Have you been defrauded by the firm or your broker?


When should you complain?


Are you seeking the return of money or securities?

[youhavenoidea]

SYNS'S IR DEPT

THEY'RE NEXT

http://www.finra.org/InvestorInformation/InvestorProtection/InvestorComplaintCenter/index.htm

[youhavenoidea]

SYNS'S IR DEPT

THEY'RE NEXT

Home > Investor Information > Investor Protection > Investor Complaint Center
Printer-Friendly
Investor Complaint Center

With the help of investors, FINRA has been successful in disciplining brokers and firms that have violated securities rules and regulations. We appreciate your willingness to take the time and effort to assist us in collecting the necessary evidence to enforce securities rules and regulations, which helps us to protect investors. FINRA and other regulatory agencies are far more effective with your cooperation and assistance. Together, we can ensure that America's securities markets remain the most ethical and respected in the world.



If you believe you have been the subject of unfair or improper business conduct by a brokerage firm or broker, you may file an investor complaint with FINRA.



Go to the Investor Complaint Center.


Home > Investor Information > Investor Protection
Printer-Friendly
Check the Background of Your Investment Professional

FINRA BrokerCheck



Look Up a Securities Firm or Broker in BrokerCheck





FINRA BrokerCheck is a free online tool to help investors check the professional background of current and former FINRA-registered securities firms and brokers. It should be the first resource investors turn to when choosing whether to do business with a particular broker or brokerage firm.

Features of FINRA BrokerCheck include:

Search capabilities for both a broker and brokerage firm
Online delivery of a report on a broker or brokerage firm
Explanatory information to help investors better understand the content, context and source of the information provided
Links to additional resources and tools
The information made available through FINRA BrokerCheck is derived from the Central Registration Depository (CRD®), the securities industry online registration and licensing database, as reported on industry registration/licensing forms brokers, brokerage firms and regulators complete. BrokerCheck features professional background information on approximately 672,000 currently registered brokers and 5,100 currently registered securities firms. Information is also available on thousands of formerly registered firms and brokers.



For questions regarding BrokerCheck, FINRA provides a toll-free hotline, [phone], available Monday through Friday from 8 a.m. until 8 p.m., Eastern Time; or, you may also email us.



Please note that in order to access BrokerCheck, your computer must have cookies enabled.


Investment Adviser Public Disclosure

Look up an Investment Adviser Firm

This Web site allows you to search for information about Investment Adviser (IA) firms regulated by, and electronically registered with, the Securities and Exchange Commission (SEC) or state regulators. The SEC regulates IA firms with more than $25 million in assets under management (and certain other IA firms that meet other statutory criteria). IA firms regulated by the SEC must submit their required registration forms (Form ADV) to the SEC via the Investment Adviser Registration Depository (IARD®). Some state-regulated IA firms also submit their registration forms (also on Form ADV) through the IARD.

Additional Investor Resources

List of State Securities Regulators

Additional information may be obtained through state disclosure programs.

Professional Designations Database

Learn about the designations that many investment professionals hold.



Invest Wisely



Investor Center







About FINRA | Press Room | Resources | Career Opportunities | FAQ | Site Map | Contact Us

©2007 FINRA. All rights reserved. | Legal Notices and Privacy Policy.
FINRA is a trademark of the Financial Industry Regulatory Authority, Inc.


http://www.finra.org/InvestorInformation/InvestorProtection/p005882

[youhavenoidea]

SOUND FAMILIAR
SYNS'S IR DEPT??

http://investorshub.advfn.com/boards/read_msg.asp?message_id=23736320

[youhavenoidea]

painting the tape
Definition

The illegal practice in which traders buy and sell a specific security among themselves, creating the illusion of high trading volume and significant investor interest, which can attract unsuspecting investors who might then buy the stock and enable the traders to profit.

[youhavenoidea]

PLEASE DO NOT REPLY TO THIS MESSAGE*
Dear Sir or Madam:
Thank you for your recent e-mail to the group electronic mailbox of the Division of Enforcement at the United States Securities and Exchange Commission in Washington, D.C. We appreciate your taking the time to write to us. This automated response confirms that the Division of Enforcement has received your e-mail. You can rest assured that an attorney in the Office of Internet Enforcement will review your e-mail promptly.

We are always interested in hearing from members of the public, and you may be assured that the matter you have raised is being given careful consideration in view of the Commission's overall enforcement responsibilities under the federal securities laws. It is, however, the Commission's policy to conduct its inquiries on a non-public basis -- so this may be the only response that you receive. If your complaint is more in the nature of a consumer complaint (such as a dispute with your broker or a problem with your brokerage or retirement account), you should contact our Office of Investor Education and Assistance -- they may be able to help you. You may reach the Office of Investor Education and Assistance via telephone at [phone]or through the Web at HYPERLINK "http://www.sec.gov/complaint.shtml"www.sec.gov/complaint.shtml.

The Commission conducts its investigations on a non-public basis to preserve the integrity of its investigative process as well as to protect persons against whom unfounded charges may be made or against whom the Commission determines that enforcement action is not necessary or appropriate. Subject to the provisions of the Freedom of Information Act, we cannot disclose to you any information which we may gather and we cannot confirm to you the existence or non-existence of an investigation, unless made a matter of public record in proceedings brought before the Commission or in the courts.

If you are unsure where you should direct your inquiry or you want to learn more about how the SEC handles inquiries and complaints, please visit the SEC Complaint Center at HYPERLINK "http://www.sec.gov/complaint.shtml"www.sec.gov/complaint.shtml.

Should you have any additional information or questions pertaining to this matter, please feel free to communicate directly with us at HYPERLINK "mailto:[e-mail]"[e-mail].

We appreciate your interest in the work of the Commission and its Division of Enforcement.
Very truly yours,
S/
John Reed Stark
Chief, Office of Internet Enforcement
United States Securities & Exchange Commission

[youhavenoidea]

PAINT THAT TAPE AT THE CLOSE EW

[youhavenoidea]

HEY SYNS'S IR DUDE.. DOES THIS RING-A-BELL?????

It is also the primary Self Regulatory Organization (SRO) responsible for the regulation of its industry, with oversight from the Securities and Exchange Commission (SEC).

NASD

Not to be confused with Financial Industry Regulatory Authority.
For the Carnegie Mellon University research project, see Network-Attached Secure Disks.

NASD executive office on K Street in downtown Washington, D.C.NASD, Inc. (formerly known as the National Association of Securities Dealers) is an industry organization representing persons and companies involved in the securities industry in the United States. It is also the primary Self Regulatory Organization (SRO) responsible for the regulation of its industry, with oversight from the Securities and Exchange Commission (SEC).

Contents [hide]
1 History
2 Structure
3 Functions: Regulation and licensure
4 Size
5 Criticism
5.1 FINRA moving away from large fines
6 Arbitration
7 See also
8 References
9 External links



[edit] History
The NASD was founded in response to the 1938 Maloney Act amendments to the Securities Exchange Act of 1934. In 1971, NASD launched a new computerized stock trading system called the National Association of Securities Dealers Automated Quotations (NASDAQ) stock market. The NASDAQ and AMEX stock exchanges merged in 1998. Two years later, the NASDAQ underwent a major recapitalization and became an independent entity from NASD. In July 2007, the SEC approved the formation of a new SRO to be a successor to NASD. The NASD and the member regulation, enforcement and arbitration functions of the New York Stock Exchange were then consolidated into the newly created Financial Industry Regulatory Authority (FINRA).See SEC Release No. 34-56145


[edit] Structure
The NASD Board of Governors consists of two staff members (the CEO and the President of one of NASD's divisions), seven individuals representing the industry, seven more individuals representing the industry, and two individuals categorized as "non-public" but also representing the industry. [1]


[edit] Functions: Regulation and licensure
NASD regulates trading in equities, corporate bonds, securities futures, and options, with authority over the activities of more than 5,025 brokerage firms, approximately 169,470 branch offices, and more than 658,170 registered securities representatives. All firms dealing in securities that are not regulated by another SRO, such as by the Municipal Securities Rulemaking Board ("MSRB"), are required to be member firms of the NASD.

NASD licenses individuals and admits firms to the industry, writes rules to govern their behavior, examines them for regulatory compliance, and is sanctioned by the U.S. Securities and Exchange Commission ("SEC") to discipline registered representatives and member firms that fail to comply with federal securities laws and NASD's rules and regulations. It provides education and qualification examinations to industry professionals. It also sells outsourced regulatory products and services to a number of stock markets and exchanges (e.g. American Stock Exchange ("AMEX") and the International Securities Exchange ("ISE").

NASD founded the NASDAQ ("National Association of Securities Dealers Automated Quotations") stock market in 1971. In 2006, NASD demutualized from NASDAQ by selling its ownership interest.


[edit] Size
NASD has a staff of nearly 2,000 and an annual budget of more than $500 million. [2] The NASD is funded primarily by assessments of member firms' registered representatives and applicants, annual fees paid by members, and by fines that it levies. The annual fee that each member pays includes a basic membership fee, an assessment based on gross income, a fee for each principal and registered representative, and charge for each branch office.


[edit] Criticism
In recent years, the securities market has become increasingly "retail"; with a majority of Americans owning stock through their employers and personal investing. Being an industry organization, the NASD has been accused of turning a blind eye to broker/dealers' biggest abuses. Some feel that while larger problems have gone unaddressed, the NASD has pursued minor rule violations. As a result of this, various groups feel that investors continue to lose money through various broker/dealer scams which should have been previously addressed. [citation needed]


[edit] FINRA moving away from large fines
After several years of punitive enforcement actions, FINRA has reduced the number of fines in excess of $1 million. According to a study by Deborah G. Heilizer and Brian L. Rubin, both partners in Washington with Sutherland Asbill & Brennan LLP, regulators with NASD – now FINRA – and NYSE Regulation obtained fines of over $1 million in 35 actions taken in 2005. But in 2006, that number dropped to 19. And the number of enforcement actions over $5 million also fell. In 2005, there were seven such actions as opposed to three in 2006. According to the written report, the “data suggest that securities regulators may have retrenched their efforts to regulate through the use of novel theories.”[3]





[edit] Arbitration
The NASD operates the nation's largest arbitration forum for the resolution of disputes between customers and member firms, as well as between brokerage firm employees and their firms. Virtually all agreements between investors and their stockbrokers include mandatory arbitration agreements, whereby investors (and the brokerage firms) waive their right to trial in a court of law. The fairness of such mandatory arbitration clauses has been called into question; however, U.S. courts have consistently found them to be lawful.

As of June 2005, the pool of arbitrators consisted of 2,700 individuals classified by the NASD as industry panelists and 3,700 individuals classified as non-industry panelists.

In 1987, in Shearson/American Express v. McMahon, the United States Supreme Court ruled that account forms signed by customers requiring arbitration for disputes were enforceable contracts. Brokerage firms now require all customers to sign such documents, requiring binding arbitration.

For disputes between customers and member firms, the panel that decides the case consists of three arbitrators, one industry panelist and two non-industry panelists. For disputes between an employee and member firms, all three arbitrators are industry panelists. For a given case, the two sides are provided separate lists by NASD of local, available arbitrators, from which they chose. If one side rejects all listed arbitrators, NASD names the arbitrators who will serve; these can be rejected only for biases, misclassification, conflicts, or undisclosed material information, and biases or conflicts must be identified prior to the beginning of hearings. For an overview of the Securities Arbitration process, see Introduction to Securities Arbitration.

According to NASD, there were 6,074 cases for arbitration filed in 2005, a decrease from the peak of 8,945 cases filed in 2003. The average time to complete a case has risen from 10.5 months in 1995 to 14.3 months in 2005, a decrease from 2004 when it was 15.4 months. The percentage of cases where customers are awarded damages has fallen from slightly above 50% in the 2000-2002 period to slightly above 40% in 2005. The NASD rates any positive award to a customer as a win for the customer regardless of the magnitude of losses or legal fees.[4]

NASD rules do not require parties to be represented by attorneys. A party may appear pro se, or be represented by a non-attorney in arbitration. However, representation by a non-attorney is not advised since this may be the unauthorized practice of law. [5] Brokerage firms routinely hire attorneys, so a customer who does not can be at a serious disadvantage. One organization whose members specialize in representing customers against brokerage firms in NASD and NYSE arbitration is the Public Investors Arbitration Bar Association ("PIABA").

In June 2006, Lewis D. Lowenfels, one of two partners at the New York law firm of Tolins & Lowenfels, and co-author of the looseleaf treatise Bromberg and Lowenfels on Securities Fraud and Commodities Fraud, 2d said of the NASD arbitration process: "What started out as a relatively swift and economical process for a public customer claimant to seek justice has evolved into a costly extended adversarial proceeding dominated by trial lawyers and the usual litigation tactics." [4]

Wikibooks has a book on the topic of
Series license



[edit] See also
FINRA
NASDAQ
List of finance topics
American Academy of Financial Management
Alternative display facility
ACT (Nasdaq)
Securities regulation in the United States

[edit] References
^ NASD Board of Governors
^ About NASD
^ [ 'Supersized’ fines on the wane, study says – Oct. 3, 2007, issue of “Investment News”]
^ a b Is This Game Already Over? Critics Say Arbitration Panels Often Have Hidden Conflicts, Gretchen Morgenson, New York Times, June 18, 2006
^ NASD Frequently Asked Questions, "Do I need a lawyer for arbitration?"

[edit] External links
NASD home page
Securities and Exchange home page
NASD Regulations
Retrieved from "http://en.wikipedia.org/wiki/NASD"
Categories: NPOV disputes | All articles with unsourced statements | Articles with unsourced statements since March 2007 | 1939 establishments | Industry trade groups | Financial regulation in the United States | Self-regulatory organizations | Financial regulation | Economy of the United States | United States law | Securities

[youhavenoidea]

Bounty Program at the SEC
The SEC is authorized to pay a bounty to a person who provides information that leads to the recovery of a civil penalty from those who violate the insider trading laws. With some exceptions, the SEC is permitted to award a bounty from the civil penalties actually recovered from violators. The total amount of the bounty may not exceed ten percent of the penalty.

The SEC has sole discretion whether to pay a bounty, the amount of the payment, and to whom the payment would be made. The SEC is not authorized to pay bounties for information about other violations of the securities laws.

For more information, read about the bounty program.

http://www.sec.gov/answers/bounty.htm




--------------------------------------------------------------------------------
Home | Previous Page

[youhavenoidea]

We have sent off some emails here TOO. Yup, we're RATS

Insider Trading: Information on Bounties

Section 21A(e) of the Securities Exchange Act of 1934 ("Exchange Act") [15 U.S.C. 78u-l(e)] authorizes the Securities and Exchange Commission ("Commission") to award a bounty to a person who provides information leading to the recovery of a civil penalty from an insider trader, from a person who "tipped" information to an insider trader, or from a person who directly or indirectly controlled an insider trader. This pamphlet is designed to provide interested persons with information on bounties and the Commission's rules for making a bounty application. Section 21A(e) of the Exchange Act and the Commission's bounty rules are set out at the end of this pamphlet.

What is "Insider Trading?"
"Insider trading" refers generally to buying or selling a security, in breach of a fiduciary duty or other relationship of trust and confidence, while in possession of material, nonpublic information about the security. Insider trading violations may also include "tipping" such information, securities trading by the person "tipped" and securities trading by those who misappropriate such information. Examples of insider trading cases that have been brought by the Commission are cases against: corporate officers, directors, and employees who traded the corporation's securities after learning of significant, confidential corporate developments; friends, business associates, family members, and other "tippees" of such officers, directors, and employees, who traded the securities after receiving such information; employees of law, banking, brokerage and printing firms who were given such information in order to provide services to the corporation whose securities they traded; government employees who learned of such information because of their employment by the government; and other persons who misappropriated, and took advantage of, confidential information from their employers.
Because insider trading undermines investor confidence in the fairness and integrity of the securities markets, the Commission has treated the detection and prosecution of insider trading violations as one of its enforcement priorities.

How Much May be Paid as a Bounty?
Insider trading may result in enforcement action by the Commission or in criminal prosecution by the Department of Justice. The Exchange Act permits the Commission to bring suit against insider traders to seek injunctions, which are court orders that prohibit violations of the law under threat of fines and imprisonment. The Commission may also seek other relief against insider traders, including recovery of any illegal gains (or losses avoided) and payment of a civil penalty. The amount of a civil penalty can be up to three times the profit gained (or loss avoided) as a result of insider trading.
The Commission is permitted to make bounty awards from the civil penalties that are actually recovered from violators. With minor exceptions, any person who provides information leading to the imposition of a civil penalty may be paid a bounty. However the total amount of bounties that may be paid from a civil penalty may not exceed ten percent of that penalty.

How Will the Commission Make Bounty Determinations?
All Commission determinations regarding bounties including whether to make a payment, to whom a payment shall be made, and the amount of a payment (if any), are in the sole discretion of the Commission. Any such determination is final and not subject to judicial review. Nothing in the Commission's rules or in this pamphlet is intended to limit the Commission's discretion with respect to bounties.
In making determinations regarding bounty applications the Commission will be guided by the purposes of the bounty provisions. These purposes include the intent of the United States Congress to encourage persons with information about possible insider trading to come forward. The Commission will also consider other factors that it deems relevant. Examples of other factors that may be relevant are: the importance of the information provided by an applicant; whether the information was provided voluntarily; the existence of other applications in the matter; and the amount of the penalty from which bounties may be paid.

Normally, the Commission will not make any determination on a bounty application until a payment of a penalty is both ordered by a court and recovered. A person who files an application meeting the requirements of the Commission's rules will be notified of the Commission's determination on the application.

How and When Do You Apply for a Bounty?
An application must be clearly marked as an "Application for Award of a Bounty," and must contain the information required by the Commission's rules. The application must give a detailed statement of the information that the applicant has about the suspected insider trading.
Any person who desires to provide information to the Commission that may result in the payment of a bounty may do so by any means desired. The Commission encourages persons having information regarding insider trading to provide that information in writing, either at the time they initially provide the information to the Commission or as soon as possible afterwards. Providing information in writing reduces the possibility of error, helps assure that appropriate action will be taken, and minimizes subsequent burdens and the possibility of factual disputes. In any event, a written application for a bounty must be filed within 180 days after the day on which the court orders payment of the civil penalty.

Can You Apply for a Bounty Anonymously?
The Commission recognizes that there may be instances when a bounty applicant wishes to remain temporarily anonymous. The bounty rules take these instances into account. While the Commission will only award bounties to applicants who provide their identity and mailing address, that information may be added by a later amendment to the application. The amendment must be filed within 180 days after the entry of the court order requiring the payment of the penalty upon which the bounty is based. An anonymous applicant who fails to file such an amendment (and anyone who fails to make a written application) runs the risk of losing eligibility for a bounty through lapse of time and ignorance of the fact that a penalty has been recovered.
Absent compelling cause, the Commission ordinarily does not disclose the identity of a confidential source. In some instances however disclosure of that identity will be legally required, or will be essential for the protection of the public interest. For example, a court may order disclosure during litigation, or the Commission may need to present the testimony of a bounty claimant to ensure the success of an enforcement action. Consequently while the Commission and its staff will give serious consideration to requests to maintain the confidentiality of a source's identity, no guarantees of confidentiality are possible.

Statutory and Regulatory Provisions

Section 21A(e) of the Exchange Act
[T]here shall be paid from amounts imposed as a penalty under this section and recovered by the Commission or the Attorney General, such sums, not to exceed 10 percent of such amounts, as the Commission deems appropriate to the person or persons who provide information leading to the imposition of such penalty. Any determinations under this subsection, including whether, to whom, or in what amount to make payment, shall be in the sole discretion of the Commission, except that no such payment shall be made to any member, officer, or employee of any appropriate regulatory agency, the Department of Justice, or a self-regulatory organization. Any such determination shall be final and not subject to judicial review.

Subpart C of Part 201 of Title 17 of the Code of Federal Regulations
Procedures Pertaining to the Payment of Bounties Pursuant to Subsection 21A(e) of the Securities Exchange Act of 1934

Rule 61 Scope of subpart
Section 21A of the Securities Exchange Act of 1934 authorizes the courts to impose civil penalties for certain violations of that Act. Subsection 21A(e) permits the Commission to award bounties to persons who provide information that leads to the imposition of such penalties. Any such determination, including whether, to whom, or in what amount to make payments, is in the sole discretion of the Commission. This subpart sets forth procedures regarding applications for the award of bounties pursuant to subsection 21A(e). Nothing in this subpart shall be deemed to limit the discretion of the Commission with respect to determinations under subsection 21A(e) or to subject any such determination to judicial review.

Rule 62 Application required.
No person shall be eligible for the payment of a bounty under subsection 21A(e) of the Securities Exchange Act of 1934 unless such person has filed a written application that meets the requirements of this subpart and, upon request, provides such other information as the Commission or its staff deems relevant to the application.

Rule 63 Time and place of filing.
Each application pursuant to this subpart and each amendment thereto must be filed within one hundred eighty days after the entry of the court order requiring the payment of the penalty that is subject to the application. Such applications and amendments shall be addressed to: Office of the Secretary, Securities and Exchange Commission, 100 F Street, NE, Washington, DC 20549-9303.

Rule 64 Form of application and information required.
Each application pursuant to this subpart shall be identified as an Application for Award of a Bounty and shall contain a detailed statement of the information provided by the applicant that the applicant believes led or may lead to the imposition of a penalty. Except as provided by Rule 65 of this subpart, each application shall state the identity and mailing address of, and be signed by, the applicant. When the application is not the means by which the applicant initially provides such information, each application shall contain: the dates and times upon which, and the means by which, the information was provided; the identity of the Commission staff members to whom the information was provided; and, if the information was provided anonymously, sufficient further information to confirm that the person filing the application is the same person who provided the information to the Commission.

Rule 65 Identity and signature.
Applications pursuant to this subpart may omit the identity, mailing address, and signature of the applicant; provided that such identity, mailing address and signature are submitted by an amendment to the application. Any such amendment must be filed within one hundred eighty days after the entry of the court order requiring the payment of the penalty that is subject to the application.

Rule 66 Notice to applicants.
The Commission will notify each person who files an application that meets the requirements of this subpart, at the address specified in such application, of the Commission's determination with respect to such person's application. Nothing in this subpart shall be deemed to entitle any person to any other notice from the Commission or its staff.

Rule 67 Applications by legal guardians.
An application pursuant to this subpart may be filed by an executor, administrator, or other legal representative of a person who provides information that may be subject to a bounty payment or by the parent or guardian of such a person if that person is a minor. Certified copies of the letters testamentary, letters of administration, or other similar evidence showing the authority of the legal representative to file the application must be annexed to the application.

Rule 68 No promises of payment.
No person is authorized under this subpart to make any offer or promise, or otherwise to bind the Commission with respect to the payment of any bounty or the amount thereof.



http://www.sec.gov/divisions/enforce/insider.htm



--------------------------------------------------------------------------------
Home | Previous Page Modified: 01/06/2006

[youhavenoidea]

Division of Enforcement
The Division of Enforcement investigates possible violations of securities laws, recommends Commission action when appropriate, either in a federal court or before an administrative law judge, and negotiates settlements.

About the Division
--------------------------------------------------------------------------------
Enforcement Actions
--------------------------------------------------------------------------------
Federal Court Actions

Administrative Proceedings

ALJ Initial Decisions & Orders

Commission Opinions


Trading Suspensions
--------------------------------------------------------------------------------
Investors Claims Funds
--------------------------------------------------------------------------------
Internet Enforcement Program
--------------------------------------------------------------------------------
Delinquent Filings Program
--------------------------------------------------------------------------------
Prime Bank Fraud Information Center
--------------------------------------------------------------------------------
Insider Trading Bounty Program
--------------------------------------------------------------------------------
Investor Alerts
--------------------------------------------------------------------------------
Selected Accounting and Auditing Enforcement Releases
--------------------------------------------------------------------------------
Tips & Complaints
--------------------------------------------------------------------------------




http://www.sec.gov/divisions/enforce.shtml

--------------------------------------------------------------------------------
Contact | Employment | Links | FOIA | Forms | Privacy Modified: 04/25/2007

[youhavenoidea]

Litigation
This page provides information on SEC enforcement actions, opinions issued by the Commission, briefs filed by SEC staff, trading suspensions, and notices concerning the creation of investors claims funds in specific cases.

Litigation Releases - Federal Court Actions

--------------------------------------------------------------------------------
Administrative Proceedings - Notices & Settlements

--------------------------------------------------------------------------------
ALJ Initial Decisions & Orders
--------------------------------------------------------------------------------
Reports of Investigations
--------------------------------------------------------------------------------
Commission Opinions & Orders
--------------------------------------------------------------------------------
Trading Suspensions
--------------------------------------------------------------------------------
Investors Claims Funds
--------------------------------------------------------------------------------
Amicus / Friend of the Court Briefs
--------------------------------------------------------------------------------
Appellate Court Briefs
--------------------------------------------------------------------------------
SEC Rules of Practice
--------------------------------------------------------------------------------
SEC Rules on Fair Fund and Disgorgement Plans
--------------------------------------------------------------------------------

http://www.sec.gov/litigation.shtml

[youhavenoidea]

SEC Center for Complaints and Enforcement Tips
Through this page you can file a complaint or provide us with tips on potential securities law violations. We welcome hearing from you because your information may alert us to a bad broker or firm, an unfair practice in the securities industry that needs to be changed, or the latest fraud.

How Do I Reach the SEC?
There are several ways to file a complaint:

Complaints - Use one of our online forms to file your complaint electronically.

Tips - Report a potential violation of the securities laws directly to [e-mail]. Please do not use this email box for general comments or questions.


http://www.sec.gov/complaint.shtml

Spams - Forward investment-related spam e-mails to [e-mail].

Questions - Use our "Fast Answers" web page for general questions about the federal securities laws or your investments.
If you do not want to communicate electronically, either print and fill out a form or write us a letter. Our address is: SEC Complaint Center, 100 F Street NE, Washington, D.C. 20549-0213. You can also send a fax to 202-772-9295.
Whistleblower Protection: If you work for a publicly traded company and have been fired, demoted, suspended, threatened, harassed, or discriminated against for reporting a potential shareholder fraud to a supervisor, federal regulator, or member of Congress, then please contact OSHA’S Office of Investigative Assistance right away. OSHA is the federal agency that investigates and handles these sorts of "whistleblower" complaints.

What Information Should I Provide?
We can best respond to you if we receive accurate and complete information. Though you are not required to furnish any more information than you wish, critical information for us to completely evaluate your complaint or tip includes:

Your name, mail and email addresses, and telephone numbers.

The name, mail and email addresses, telephone numbers, and website address of any individual or company you mention in the complaint.

If you have a complaint about a security or a securities salesperson, specific details of how, why, and when you were defrauded or encountered problems with investments or your broker or adviser.
What Happens After I Send Information to the SEC?
We thoroughly review and evaluate your information so that we may refer it to the appropriate SEC office. The Office of Investor Education and Advocacy will handle certain general questions about the securities laws and complaints relating to financial professionals or a complainant's personal financial matters. The professionals in this office can counsel you regarding possible remedies and may, under appropriate circumstances, approach brokerage firms, advisers or other financial professional concerning matters you have raised.

Attorneys in the Division of Enforcement evaluate information and tips concerning violations of the federal securities laws. It is the general policy of the SEC to conduct its investigations on a confidential basis to preserve the integrity of its investigative process as well as to protect persons against whom unfounded charges may be made or where the SEC determines that enforcement action is not necessary or appropriate.

Subject to the provisions of the Freedom of Information Act, the SEC cannot disclose the existence or non-existence of an investigation and any information gathered unless made a matter of public record in proceedings brought before the SEC or in the courts. You can find information about public enforcement actions on our Web site.



http://www.sec.gov/complaint.shtml

--------------------------------------------------------------------------------
Contact | Employment | Links | FOIA | Forms | Privacy Modified: 07/31/2007

[youhavenoidea]

Watch how the scammers paint the tape at the close to finish it up higher or flat..Never fails..They're eventually going to get nailed by the SEC AND WHO KNOWS WHO ELSE

[youhavenoidea]

WASH TRADING..SYNS NEXT???

SEC Charges Two Texas Swindlers In Penny Stock Spam Scam Involving Computer Botnets
09/07/07

The Securities and Exchange Commission has filed securities fraud charges against two Texas individuals in a high-tech scam that hijacked personal computers nationwide to disseminate millions of spam emails and cheat investors out of more than $4.6 million. The scheme involved the use of so-called computer "botnets" or "proxy bot networks," which are networks comprised of personal computers that, unbeknownst to their owners, are infected with malicious viruses that forward spam or viruses to other computers on the Internet. The scheme began to unravel, however, when a Commission enforcement attorney received one of the spam emails at work.

The Commission alleges that Darrel Uselton and his uncle, Jack Uselton, both recidivist securities law violators, illegally profited during a 20-month "scalping" scam by obtaining shares from at least 13 penny stock companies and selling those shares into an artificially active market they created through manipulative trading, spam email campaigns, direct mailers, and Internet-based promotional activities. Scalping refers to recommending that others purchase a security while secretly selling the same security in the market.

In related enforcement actions, the Attorney General's Office for Texas and the Harris County District Attorney's Office indicted the Useltons for engaging in organized criminal activity and money laundering. The Texas criminal authorities also have seized more than $4.2 million from bank accounts associated with the Useltons.

"This latest step in the Commission's anti-spam initiative is intended to protect investors from fraud artists who would treat the investing public as their personal ATM machines," said SEC Chairman Christopher Cox. "The use of bots to spread investment spam at exponentially higher rates is making this type of fraud an even more virulent threat to ordinary investors. Not only are victims getting hit with get-rich-quick spam, but by turning the victims' computers into zombies, these fraudsters are sending out still more spam to others. Given estimates that up to one-quarter of all personal computers connected to the Internet are part of a botnet, and the thriving market in selling lists of compromised computers to hackers and spammers, the SEC is taking this very seriously. We remain aggressively committed to tracking down anyone attempting to use bots to prey on investors with false or misleading spam about securities."

Linda Chatman Thomsen, SEC Director of Enforcement, said, "The scheme executed by the Useltons reflects a widespread contempt for investors and the marketplace. We will track down the swindlers engaged in these fraudulent schemes and hold them accountable."

The Commission's complaint, filed in U.S. District Court in Houston, alleges that the Useltons orchestrated a series of spam email campaigns using an array of computer botnets to anonymously flood the inboxes of American investors with millions of spam emails touting near-worthless penny stocks with baseless price projections and other unfounded claims. Each campaign, which featured a single company, lasted anywhere from several days to several weeks.

The Commission alleges that between May 2005 and December 2006, the Useltons obtained more than $4.6 million through their fraudulent scheme. According to the complaint, the Useltons and the companies they controlled typically received unrestricted shares from penny stock companies for little or no money, in return for purported financing or promotional activities.

The Commission's complaint alleges that the Useltons violated the antifraud provisions of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Commission seeks permanent injunctions, disgorgement with prejudgment interest, and civil penalties against each of the individual defendants, as well as penny stock bars against the Useltons.

Darrel Uselton was disciplined by the National Association of Securities Dealers (NASD) in 2004 and 2005. Jack Uselton was permanently enjoined by the Commission from violating the anti-fraud provision in a 2002 settled action.

The company stocks that were the subject of the Useltons’ spam campaign, according to the SEC’s complaint, included Oretech, Inc.; Intelligent Sports, Inc.; Advanced Powerline Technologies; Notch Novelty Corporation; Avondale Resources Corporation; Spooz, Inc.; ESPRE Solutions, Inc.; Grifco International, Inc.; Leatt Corporation; Adrenaline Nation Entertainment, Inc.; Equipment and Systems Engineering, Inc.; Gulf Petroleum Exchange, Inc. (currently Software Effective Solutions Corp.); and Wentworth Energy, Inc.

The SEC in March 2007 suspended trading in the securities of three of the companies (Advanced Powerline Technologies, Leatt Corporation, and Software Effective Solutions Corp.) as part of its anti-spam initiative. The SEC revoked the registration of the securities of Oretech, Inc. in December 2005.

The Commission acknowledges the assistance of the Attorney General's offices for New York and Texas, The Harris County (Houston, Texas) District Attorney's Office, the Federal Bureau of Investigation, the Texas State Securities Board, the State of Oklahoma Department of Securities, the National Association of Securities Dealers and the National Cyber-Forensics and Training Alliance.

The Commission's investigation is continuing.

Additional materials: Litigation Release No. LR-20187

[youhavenoidea]

SYNS NEXT??

Spam suspects charged over $4.6m share con
Pump-and-dump
By John Leyden → More by this authorPublished Tuesday 10th July 2007 13:28 GMTTwo Texans have been charged with securities fraud and money laundering offences over a pump-and-dump email stock scam.

The case follows an investigation by the Securities and Exchange Commission (SEC) into the illegal use of pump-and-dump junk mails to promote the sale of at least 13 low-value stocks between May 2005 and December 2006.

Darrel Uselton, 40, and his uncle, Jack Usleton, 69, allegedly used a series of spam emails campaigns to trick the gullible into buying worthless stocks on the basis of bogus insider information. The dynamic duo are suspected of using a network of compromised zombie PCs to distribute junk mail stock tips.

Investigators reckon gullible users were defrauded out of $4.6m in furtherance of the scam before the dodgy duo were caught. The pair allegedly made the mistake of sending one of their fraudulent emails to a SEC lawyer, prompting the launch of an investigation that ultimately led to charges against the two. Texas criminal authorities have seized more than $4.2m from bank accounts associated with the Useltons.

The prosecution of the Useltons is part of a larger SEC crackdown on stock scams. The SEC suspended trading of 35 companies which had been the subject of pump-and-dump emails in March. ®

4 comments posted — Comment period finished

[youhavenoidea]

HERE'S THE REAL DEAL

http://www.millionairesconcierge.com/

[youhavenoidea]

SOONER OR LATER THEY WILL STEP IN..37 EMAILS SO FAR

*PLEASE DO NOT REPLY TO THIS MESSAGE*
Dear Sir or Madam:
Thank you for your recent e-mail to the group electronic mailbox of the Division of Enforcement at the United States Securities and Exchange Commission in Washington, D.C. We appreciate your taking the time to write to us. This automated response confirms that the Division of Enforcement has received your e-mail. You can rest assured that an attorney in the Office of Internet Enforcement will review your e-mail promptly.

We are always interested in hearing from members of the public, and you may be assured that the matter you have raised is being given careful consideration in view of the Commission's overall enforcement responsibilities under the federal securities laws. It is, however, the Commission's policy to conduct its inquiries on a non-public basis -- so this may be the only response that you receive. If your complaint is more in the nature of a consumer complaint (such as a dispute with your broker or a problem with your brokerage or retirement account), you should contact our Office of Investor Education and Assistance -- they may be able to help you. You may reach the Office of Investor Education and Assistance via telephone at [phone]or through the Web at HYPERLINK "http://www.sec.gov/complaint.shtml"www.sec.gov/complaint.shtml.

The Commission conducts its investigations on a non-public basis to preserve the integrity of its investigative process as well as to protect persons against whom unfounded charges may be made or against whom the Commission determines that enforcement action is not necessary or appropriate. Subject to the provisions of the Freedom of Information Act, we cannot disclose to you any information which we may gather and we cannot confirm to you the existence or non-existence of an investigation, unless made a matter of public record in proceedings brought before the Commission or in the courts.

If you are unsure where you should direct your inquiry or you want to learn more about how the SEC handles inquiries and complaints, please visit the SEC Complaint Center at HYPERLINK "http://www.sec.gov/complaint.shtml"www.sec.gov/complaint.shtml.

Should you have any additional information or questions pertaining to this matter, please feel free to communicate directly with us at HYPERLINK "mailto:[e-mail]"[e-mail].

We appreciate your interest in the work of the Commission and its Division of Enforcement.
Very truly yours,
S/
John Reed Stark
Chief, Office of Internet Enforcement
United States Securities & Exchange Commission

[youhavenoidea]

DO A GOOGLE SEARCH ON THIS IAN LAMPHERE DUDE..DIRECTOR OF SYNS WITH ANYTHONY MAROTTA

NOT GOOD..BUYER BEWARE

http://www.google.com/search?hl=en&q=Ian+Lamphere+sec

yiiiiiiiiiiiiiiiiiiiiiikes

http://investorshub.advfn.com/boards/board.asp?board_id=5247

[youhavenoidea]

Edgar J. Ward III

Registered Representative



Empire Financial Group, Inc.

866.253.EFGI (3344)

561.544.0200

Dir 561 544 0202

Fax [phone]

[e-mail]





Regards,



Edgar J. Ward III

Registered Representative



Empire Financial Group, Inc.

866.253.EFGI (3344)

561.544.0200

Dir 561 544 0202

Fax [phone]

[e-mail]

[youhavenoidea]

COULD THIS HAPPEN TOO SYNS?

WOOOOOOOOOOOOOOOOOOOOOOOOOOOOOOOOOO


.S. SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C.
SECURITIES EXCHANGE ACT OF 1934
RELEASE NO. 51305 / March 3, 2005
The Securities and Exchange Commission announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 ("Exchange Act"), of over-the-counter trading of the securities of CMKM Diamonds, Inc. (Pink Sheets symbol "CMKX"), also known as Casavant Mining Kimberlite International, Inc., of Las Vegas, Nevada. The suspension will commence at 9:30 a.m. EST, March 3, 2005, through 11:59 p.m. EST, on March 16, 2005.

The Commission temporarily suspended trading in the securities of CMKM Diamonds because of questions that have been raised about the adequacy of publicly available information concerning, among other things, CMKM Diamonds' assets and liabilities, mining and other business activities, share structure and stock issuances, and corporate management. Since the fiscal year ending December 31, 2002, CMKM Diamonds has been delinquent in its periodic filing obligations under Section 13(a) of the Exchange Act. The Commission is concerned that CMKM Diamonds may have unjustifiably relied on a Form S-8 to issue unrestricted securities. The Commission is also concerned that CMKM Diamonds and/or certain of its shareholders may have unjustifiably relied on Rule 144(k) of the Securities Act of 1933 ("Securities Act") in conducting an unlawful distribution of its securities that failed to comply with the resale restrictions of Rules 144 and 145 of the Securities Act.

The Commission cautions brokers, dealers, shareholders, and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by CMKM Diamonds.

Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not he has complied with the rule, he should not enter any quotation but immediately contact the staff of the Securities and Exchange Commission in Washington, D.C. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, he should refrain from entering quotations relating to the securities of CMKM Diamonds until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. If any broker or dealer enters any quotation for the stock of CMKM Diamonds that is in violation of the rule, the Commission will consider the need for prompt enforcement action. For questions related to the operation of Rule 15c2-11, please contact the Division of Market Regulation at [phone].

If any broker, dealer or other person has any information that may relate to this matter, please contact the CMKM Diamonds Investor Line of the Pacific Regional Office of the Securities and Exchange Commission at [phone] or by email at [e-mail].

[youhavenoidea]

SO WE HAVE X-BROKERS,COFFESHOP OWNERS AND A BUNCH OF WANNABE WARREN BUFFET'S

ROTF

[youhavenoidea]

Ian Lamphere last deal was a coffee shop LMFAO

Market Pulse Breaking News Alert for Wednesday, August 11, 2004: SYNS -- Synesi, Inc. Signs Letter of Intent to Acquire Port City Coffee Roasters!
Market Wire, August, 2004
Market Pulse News Alert for this AM, Stocks to Watch are: Synesi, Inc. (OTC: SYNS), Alkermes, Inc. (NASDAQ: ALKS), Starbucks Corp. (NASDAQ: SBUX) and Microsoft Corp. (NASDAQ: MSFT).

Investors need to be watching Synesi, Inc. (OTC: SYNS) this AM! Synesi is interested in compelling ventures in world coffee markets that show tremendous room for market share growth. Synesi intends to expand rapidly throughout the Northeast and then nationwide by establishing or acquiring coffee roasters and outlets in model markets. Synesi had great news out after yesterday's bell regarding a potential acquisition! This could be excellent news for investors!

Synesi, Inc. (OTC: SYNS) announced the company has signed a letter of intent to acquire Port City Coffee Roasters, the Portsmouth, NH-based coffee roasting and wholesale company. While the transaction remains subject to the signing of definitive agreements and customary closing conditions, Synesi officials are enthusiastic about the acquisition.

Ian Lamphere, Synesi President and CEO, noted, "Port City Coffee Roasters has achieved popular brand recognition throughout the Northeast for the past fifteen years of its operation. It has proven its profitability, and we are confident that under Synesi ownership, Port City will increase its market share in the Northeast immensely."

[youhavenoidea]

Anthony "Warren Buffet" Marotta?

LooooooooooooooooooL

[Chili Palmer]

I was thinking more like the next Berkshire-Hathaway

[youhavenoidea]

THE NEXT MSFT..NOT!

[Chili Palmer]

Just tell me is this a good stock?

[Cajunrich]

Sweeeeeeet I like the Johanesssberg Exchange...I used to trade out there when I would take my annual safari's out East, over the pond!

[youhavenoidea]

U.S. SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C.
SECURITIES EXCHANGE ACT OF 1934
RELEASE NO. 51305 / March 3, 2005
The Securities and Exchange Commission announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 ("Exchange Act"), of over-the-counter trading of the securities of CMKM Diamonds, Inc. (Pink Sheets symbol "CMKX"), also known as Casavant Mining Kimberlite International, Inc., of Las Vegas, Nevada. The suspension will commence at 9:30 a.m. EST, March 3, 2005, through 11:59 p.m. EST, on March 16, 2005.

The Commission temporarily suspended trading in the securities of CMKM Diamonds because of questions that have been raised about the adequacy of publicly available information concerning, among other things, CMKM Diamonds' assets and liabilities, mining and other business activities, share structure and stock issuances, and corporate management. Since the fiscal year ending December 31, 2002, CMKM Diamonds has been delinquent in its periodic filing obligations under Section 13(a) of the Exchange Act. The Commission is concerned that CMKM Diamonds may have unjustifiably relied on a Form S-8 to issue unrestricted securities. The Commission is also concerned that CMKM Diamonds and/or certain of its shareholders may have unjustifiably relied on Rule 144(k) of the Securities Act of 1933 ("Securities Act") in conducting an unlawful distribution of its securities that failed to comply with the resale restrictions of Rules 144 and 145 of the Securities Act.

The Commission cautions brokers, dealers, shareholders, and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by CMKM Diamonds.

Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not he has complied with the rule, he should not enter any quotation but immediately contact the staff of the Securities and Exchange Commission in Washington, D.C. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, he should refrain from entering quotations relating to the securities of CMKM Diamonds until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. If any broker or dealer enters any quotation for the stock of CMKM Diamonds that is in violation of the rule, the Commission will consider the need for prompt enforcement action. For questions related to the operation of Rule 15c2-11, please contact the Division of Market Regulation at [phone].

If any broker, dealer or other person has any information that may relate to this matter, please contact the CMKM Diamonds Investor Line of the Pacific Regional Office of the Securities and Exchange Commission at [phone] or by email at [e-mail].

[youhavenoidea]

http://www.miami-dadeclerk.com/public-records/searchresult2.asp?page=1

TYPE IN MAROTTA..CLICK BEGIN A NEW SEARCH

WOW

[youhavenoidea]

why do you think they used carefree elite, and not carefree lifestyles?

LOLOLO0L

[youhavenoidea]

http://www.miami-dadeclerk.com/public-records/searchresult2.asp?page=1

County Recorder's Record Search Results

** Click on the Clerk's File No to see more details on that record. **
Party Name: CAREFREE LIFESTYLE
Img Clerk's
File No GRP Doc.
Type Rec.
Date Plat
Book/Page Rec.
Book/Page First Party (Code) 1
Second Party

2004 R 1095 1 JUD 01/02/04 N/A 21946/3556 CAREFREE LIFESTYLE INC (R) ENTERPRISE RENT A CAR CO
2004 R 48540 1 NCO 01/22/04 6/830 21990/4543 CAREFREE LIFESTYLES (D) WHOM CONCERNED
2004 R 249884 1 CVP 04/09/04 N/A 22197/1543 CAREFREE LIFESTYLES INC (R) DOURA, RENAUD
2004 R 900832 1 CVP 10/14/04 N/A 22730/2486 CAREFREE LIFESTYLES INC (R) ABOARD PUBLISHING INC
2004 R 917245 1 CVP 10/19/04 N/A 22744/2764 CAREFREE LIFESTYLES INC (R) MAJESTY ENTERPRISES OF FLA (LLC)
2004 R 978072 1 CVP 11/04/04 N/A 22794/3147 CAREFREE LIFESTYLES INC (R) MAJESTY ENTERPRISES OF FLA (LLC)
2004 R 1019024 1 CVP 11/17/04 N/A 22829/2033 CAREFREE LIFESTYLES INC (R) LANDMARK G M B H
2004 R 1137238 1 CVP 12/20/04 N/A 22922/4748 CAREFREE LIFESTYLES INC (R) MESA, MANUEL
2004 R 1171150 1 JUD 12/29/04 N/A 22950/3934 CAREFREE LIFESTYLES INC (R) LANDMARK GMBH
2005 R 24286 1 CVP 01/07/05 N/A 22982/2430 CAREFREE LIFESTYLES INC (R) MAJESTY ENTERPRISES OF FLA (LLC)
2005 R 835265 1 CVP 08/10/05 N/A 23659/1402 CAREFREE LIFESTYLE INC (R) CAPO, KARINA
2005 R 897480 1 CVP 08/24/05 N/A 23715/4880 CAREFREE LIFESTYLES INC (D) GARCIA, GLORIA L
2005 R 897507 1 CVP 08/24/05 N/A 23716/20 CAREFREE LIFESTYLES INC (D) GARCIA, GLORIA L
2005 R 900512 1 CVP 08/25/05 N/A 23718/2979 CAREFREE LIFESTYLE INC (R) CAPO, KARINA
2006 R 159929 1 REL 02/14/06 N/A 24235/4338 CAREFREE LIFESTYLES LTD (R) JEC FAMILY LP
2006 R 408508 1 CVP 04/17/06 N/A 24432/4096 CAREFREE LIFESTYLES INC (R) MAJESTY ENTERPRISES OF FLA (LLC)
2006 R 408802 1 CVP 04/17/06 N/A 24433/272 CAREFREE LIFESTYLES INC (R) MAJESTY ENTERPRISES OF FLA (LLC)
2006 R 614109 1 CVP 06/07/06 N/A 24600/966 CAREFREE LIFESTYLES INC (R) PEGG, TAMIE
2006 R 620659 1 CVP 06/08/06 N/A 24606/346 CAREFREE LIFESTYLES INC (R) PEGG, TAMIE
2006 R 705692 1 CVP 06/29/06 N/A 24675/3841 CAREFREE LIFESTYLE INC (R) CATALAN, PAULINA
2006 R 737667 1 CVP 07/10/06 N/A 24702/881 CAREFREE LIFESTYLE INC (R) CATALAN, PAULINA
2006 R 847739 1 CVP 08/04/06 N/A 24792/4383 CAREFREE LIFESTYLE INC (R) REINFRIED, ROBIN
2007 R 507991 1 CVP 05/21/07 N/A 25634/334 CAREFREE LIFESTYLE INC (R) CATALAN, PAULINA
2007 R 668349 1 CVP 07/06/07 N/A 25757/955 CAREFREE LIFESTYLES INC (R) BELLSOUTH ADVERTISING & PUBLISHING
2007 R 881819 1 CVP 09/06/07 N/A 25905/1536 CAREFREE LIFESTYLES INC (R) R K NETMEDIA INC

BEGIN A NEW SEARCH Displaying 1-25 of 25 records
MODIFY CURRENT SEARCH
printer friendly

[youhavenoidea]

Synesi, Inc. Announces New President & CEO Anthony Marotta of Carefree Elite
Date : 07/20/2007 @ 8:22AM
Source : BusinessWire
Stock : Carefree Elite (SYNS)
Quote : 0.25 0.0 (0.00%) @ 10:03AM
<< Back Quote Chart Trades Level2


Synesi, Inc. Announces New President & CEO Anthony Marotta of Carefree Elite




Synesi, Inc. (Pink Sheets:SYNS) announced today that Anthony Marotta has been appointed President and CEO of the Company.

Anthony began his career as a national sales manager with Rae Mar Cable, an industrial products supplier. Possessing broad product knowledge and a keen understanding of marketing, Anthony excelled as an astute and resourceful negotiator. Building on his experience, Anthony opened his first entrepreneurial venture and his rapid success resulted in the prompt sale of the profitable retail operation.

Anthony joined U.S. Coachworks and in a mere 5 years, managed to lead the start-up that manufactures custom limos from zero to $30 million in sales. His expertise guided the development of a national reseller network that significantly increased corporate profits. In 1995, Anthony and his brother Gary joined forces to introduce Carefree Limo in Great Neck, NY.

The venture provided luxury vehicle rental to celebrities and top corporate executives. Simultaneously, the pair operated Worldwide Motorsports Leasing, an exotic auto leasing firm. In 1999, the brothers sold the profitable operation for a multi-million dollar profit.

In 2000, Gary and Anthony brought the concept to South Florida, opening Carefree Elite® in Miami Beach and expanding their product offering to include strategic alliances with leasing agents throughout the U.S.

The content of this release may contain "forward-looking statements." These forward-looking statements rely on a number of assumptions concerning future events and are subject to a number of uncertainties and other factors, many of which are outside of the Company’s control, which may cause actual results to differ materially from such statements. Such risks and uncertainties include, but are not limited to, economic and competitive factors affecting market conditions, services, products, prices and other factors. The Company, its management, employees, directors, shareholders, and agents are not responsible for updating the information contained in this press release beyond the published date.

INFO ON ANTHONY MAROTTA


County Recorder's Record Search Results

** Click on the Clerk's File No to see more details on that record. **
Party Name: MAROTTA, ANTHONY
Img Clerk's
File No GRP Doc.
Type Rec.
Date Plat
Book/Page Rec.
Book/Page First Party (Code) 1
Second Party

1978 R 61316 1 AFF 03/07/78 N/A 9965/1775 MAROTTA, ANTHONY (D) WHOM CONCERNED
1978 R 61317 1 WDE 03/07/78 41/610 9965/1776 MAROTTA, ANTHONY (D) HOWE, STANLEY M
1978 R 61319 1 SMO 03/07/78 N/A 9965/1779 MAROTTA, ANTHONY &W MANUELA (R) DONEN, ISAAC &W EDITH K
1978 R 78724 1 SMO 03/27/78 N/A 9985/1269 MAROTTA, ANTHONY &W MANUELA (R) CHASE FED SV&L ASSN
1979 R 61742 1 FST 03/01/79 N/A 10315/1729 MAROTTA, ANTHONY J (D) FINANCE AMERICA IND PLAN INC
1980 R 158281 1 PRE 06/13/80 N/A 10778/1317 MAROTTA, ANTHONY J (R) FINANCE AMERICA IND PLAN INC
1993 R 151961 1 JUD 03/26/93 N/A 15857/1981 MAROTTA, ANTHONY J (R) SUN BNK/MIA N A
2000 R 110529 1 AFF 03/08/00 N/A 19015/2453 MAROTTA, ANTHONY J (R) SUN BNK MIA NA
2001 R 165051 1 WDE 04/06/01 16321/3562 19586/3883 MAROTTA, ANTHONY (R) HERNANDEZ, RAUL JR
2001 R 579994 1 WDE 10/23/01 16321/3562 19970/889 MAROTTA, ANTHONY (D) GIMENEZ, JUAN E
2002 R 746251 1 WDE 12/03/02 35/560 20838/1623 MAROTTA, ANTHONY R (R) EROICI INC
2002 R 746252 1 MOR 12/03/02 35/560 20838/1624 MAROTTA, ANTHONY R (D) UNIBANK
2002 R 746253 1 MOR 12/03/02 35/560 20838/1640 MAROTTA, ANTHONY R (D) SAEWITZ, MAX P &W
2003 R 711639 1 MOR 09/24/03 35/560 21680/184 MAROTTA, ANTHONY R (D) COHEN, RICHARD D
2003 R 711640 1 FST 09/24/03 N/A 21680/196 MAROTTA, ANTHONY R (D) COHEN, RICHARD D
2003 R 854971 1 SMO 11/15/03 N/A 21827/4276 MAROTTA, ANTHONY R (R) GLASR, TODD
2004 R 121604 1 JUD 02/24/04 N/A 22064/4604 MAROTTA, ANTHONY (R) JEC FAMILY LTD PARTNERSHIP
2004 R 232279 1 LIS 04/05/04 35/560 22179/2953 MAROTTA, ANTHONY (R) JEC FAMILY LTD PARTNERSHIP
2004 R 232280 1 JUD 04/05/04 N/A 22179/2954 MAROTTA, ANTHONY (R) JEC FAMILY LTD PARTNERSHIP
2004 R 325644 1 FTL 05/06/04 N/A 22271/4643 MAROTTA, ANTHONY R (R) INTERNAL REV SERV
2004 R 449151 1 CVP 06/05/04 N/A 22372/821 MAROTTA, ANTHONY (D) FEDERAL LIEN CORP
2004 R 475936 1 REL 06/15/04 N/A 22393/3884 MAROTTA, ANTHONY R (R) INTERNAL REV SERV
2004 R 652333 1 WDE 08/02/04 17174/3190 22533/2342 MAROTTA, ANTHONY (R) LUCAS CAPITAL LLC
2004 R 652334 1 MOR 08/02/04 17174/3190 22533/2344 MAROTTA, ANTHONY (D) ARGENT MTG CO LLC
2004 R 652335 1 MOR 08/02/04 17174/3190 22533/2367 MAROTTA, ANTHONY (D) ARGENT MTG CO LLC
2004 R 712982 1 LIS 08/17/04 35/560 22581/4286 MAROTTA, ANTHONY (R) JEC FAMILY LTD PARTNERSHIP
2004 R 835217 1 CVP 09/24/04 N/A 22678/1227 MAROTTA, ANTHONY (D) FEDERAL LIEN CORP
2004 R 854307 1 MOR 09/30/04 35/560 22693/3892 MAROTTA, ANTHONY R (D) AMEDIA, FRANK J
2004 R 855904 1 CVP 09/30/04 N/A 22695/323 MAROTTA, ANTHONY (R) JEC FAMILY LTD PARTNERSHIP
2004 R 944567 1 CVP 10/26/04 N/A 22766/4205 MAROTTA, ANTHONY (R) JEC FAMILY (LP)
2004 R 973857 1 CVP 11/03/04 N/A 22791/849 MAROTTA, ANTHONY (R) JEC FAMILY LTD PARTNERSHIP
2004 R 988192 1 CVP 11/08/04 N/A 22802/4873 MAROTTA, ANTHONY (R) JEC FAMILY LTD PARTNERSHIP
2004 R 992118 1 CVP 11/09/04 N/A 22807/954 MAROTTA, ANTHONY (R) JEC FAMILY LTD PARTNERSHIP
2004 R 1044307 1 CVP 11/23/04 N/A 22847/613 MAROTTA, ANTHONY (D) FEDERAL LIEN CORP
2004 R 1078825 1 CVP 12/06/04 N/A 22876/3199 MAROTTA, ANTHONY (R) JEC FAMILY LTD PARTNERSHIP
2004 R 1137238 1 CVP 12/20/04 N/A 22922/4748 MAROTTA, ANTHONY (R) MESA, MANUEL
2005 R 77241 1 LIS 01/25/05 35/560 23024/3625 MAROTTA, ANTHONY R (R) 6301 PINETREE LLC
2005 R 79195 1 AMO 01/25/05 N/A 23026/1658 MAROTTA, ANTHONY R (D) COHEN, RICHARD D
2005 R 79196 1 AMO 01/25/05 N/A 23026/1660 MAROTTA, ANTHONY R (D) COHEN, RICHARD D
2005 R 148671 1 LIS 02/14/05 35/560 23081/4219 MAROTTA, ANTHONY R (R) MADRIS, RUSSELL
2005 R 446305 1 CVP 05/04/05 N/A 23333/4714 MAROTTA, ANTHONY R (R) 6301 PINETREE (LLC)
2005 R 514193 1 SMO 05/19/05 N/A 23392/221 MAROTTA, ANTHONY R (R) MADRIS, RUSSELL
2005 R 514194 1 SMO 05/19/05 N/A 23392/222 MAROTTA, ANTHONY R (R) AMEDIA, FRANK J
2005 R 514195 1 WDE 05/19/05 35/560 23392/223 MAROTTA, ANTHONY R (D) 6301 PINETREE LLC
2005 R 514196 1 AFF 05/19/05 N/A 23392/225 MAROTTA, ANTHONY R (D) WHOM CONCERNED
2005 R 609496 1 CVP 06/14/05 N/A 23471/18 MAROTTA, ANTHONY R (R) MADRIS, RUSSELL
2005 R 643872 1 CVP 06/22/05 N/A 23499/2137 MAROTTA, ANTHONY R (R) 6301 PINETREE (LLC)
2005 R 672360 1 SMO 06/28/05 N/A 23522/1300 MAROTTA, ANTHONY R (R) UNIBANK
2006 R 159929 1 REL 02/14/06 N/A 24235/4338 MAROTTA, ANTHONY (R) JEC FAMILY LP
2006 R 159930 1 MOR 02/14/06 17174/3190 24235/4344 MAROTTA, ANTHONY (D) WASHINGTON MUTUAL BNK FA

BEGIN A NEW SEARCH Displaying 1-50 of 56 records NEXT PAGE
MODIFY CURRENT SEARCH


County Recorder's Record Search Results

** Click on the Clerk's File No to see more details on that record. **
Party Name: MAROTTA, ANTHONY

Img Clerk's
File No GRP Doc.
Type Rec.
Date Plat
Book/Page Rec.
Book/Page First Party (Code) 1
Second Party

1978 R 61316 1 AFF 03/07/78 N/A 9965/1775 MAROTTA, ANTHONY (D) WHOM CONCERNED
1978 R 61317 1 WDE 03/07/78 41/610 9965/1776 MAROTTA, ANTHONY (D) HOWE, STANLEY M
1978 R 61319 1 SMO 03/07/78 N/A 9965/1779 MAROTTA, ANTHONY &W MANUELA (R) DONEN, ISAAC &W EDITH K
1978 R 78724 1 SMO 03/27/78 N/A 9985/1269 MAROTTA, ANTHONY &W MANUELA (R) CHASE FED SV&L ASSN
1979 R 61742 1 FST 03/01/79 N/A 10315/1729 MAROTTA, ANTHONY J (D) FINANCE AMERICA IND PLAN INC
1980 R 158281 1 PRE 06/13/80 N/A 10778/1317 MAROTTA, ANTHONY J (R) FINANCE AMERICA IND PLAN INC
1993 R 151961 1 JUD 03/26/93 N/A 15857/1981 MAROTTA, ANTHONY J (R) SUN BNK/MIA N A
2000 R 110529 1 AFF 03/08/00 N/A 19015/2453 MAROTTA, ANTHONY J (R) SUN BNK MIA NA
2001 R 165051 1 WDE 04/06/01 16321/3562 19586/3883 MAROTTA, ANTHONY (R) HERNANDEZ, RAUL JR
2001 R 579994 1 WDE 10/23/01 16321/3562 19970/889 MAROTTA, ANTHONY (D) GIMENEZ, JUAN E
2002 R 746251 1 WDE 12/03/02 35/560 20838/1623 MAROTTA, ANTHONY R (R) EROICI INC
2002 R 746252 1 MOR 12/03/02 35/560 20838/1624 MAROTTA, ANTHONY R (D) UNIBANK
2002 R 746253 1 MOR 12/03/02 35/560 20838/1640 MAROTTA, ANTHONY R (D) SAEWITZ, MAX P &W
2003 R 711639 1 MOR 09/24/03 35/560 21680/184 MAROTTA, ANTHONY R (D) COHEN, RICHARD D
2003 R 711640 1 FST 09/24/03 N/A 21680/196 MAROTTA, ANTHONY R (D) COHEN, RICHARD D
2003 R 854971 1 SMO 11/15/03 N/A 21827/4276 MAROTTA, ANTHONY R (R) GLASR, TODD
2004 R 121604 1 JUD 02/24/04 N/A 22064/4604 MAROTTA, ANTHONY (R) JEC FAMILY LTD PARTNERSHIP
2004 R 232279 1 LIS 04/05/04 35/560 22179/2953 MAROTTA, ANTHONY (R) JEC FAMILY LTD PARTNERSHIP
2004 R 232280 1 JUD 04/05/04 N/A 22179/2954 MAROTTA, ANTHONY (R) JEC FAMILY LTD PARTNERSHIP
2004 R 325644 1 FTL 05/06/04 N/A 22271/4643 MAROTTA, ANTHONY R (R) INTERNAL REV SERV
2004 R 449151 1 CVP 06/05/04 N/A 22372/821 MAROTTA, ANTHONY (D) FEDERAL LIEN CORP
2004 R 475936 1 REL 06/15/04 N/A 22393/3884 MAROTTA, ANTHONY R (R) INTERNAL REV SERV
2004 R 652333 1 WDE 08/02/04 17174/3190 22533/2342 MAROTTA, ANTHONY (R) LUCAS CAPITAL LLC
2004 R 652334 1 MOR 08/02/04 17174/3190 22533/2344 MAROTTA, ANTHONY (D) ARGENT MTG CO LLC
2004 R 652335 1 MOR 08/02/04 17174/3190 22533/2367 MAROTTA, ANTHONY (D) ARGENT MTG CO LLC
2004 R 712982 1 LIS 08/17/04 35/560 22581/4286 MAROTTA, ANTHONY (R) JEC FAMILY LTD PARTNERSHIP
2004 R 835217 1 CVP 09/24/04 N/A 22678/1227 MAROTTA, ANTHONY (D) FEDERAL LIEN CORP
2004 R 854307 1 MOR 09/30/04 35/560 22693/3892 MAROTTA, ANTHONY R (D) AMEDIA, FRANK J
2004 R 855904 1 CVP 09/30/04 N/A 22695/323 MAROTTA, ANTHONY (R) JEC FAMILY LTD PARTNERSHIP
2004 R 944567 1 CVP 10/26/04 N/A 22766/4205 MAROTTA, ANTHONY (R) JEC FAMILY (LP)
2004 R 973857 1 CVP 11/03/04 N/A 22791/849 MAROTTA, ANTHONY (R) JEC FAMILY LTD PARTNERSHIP
2004 R 988192 1 CVP 11/08/04 N/A 22802/4873 MAROTTA, ANTHONY (R) JEC FAMILY LTD PARTNERSHIP
2004 R 992118 1 CVP 11/09/04 N/A 22807/954 MAROTTA, ANTHONY (R) JEC FAMILY LTD PARTNERSHIP
2004 R 1044307 1 CVP 11/23/04 N/A 22847/613 MAROTTA, ANTHONY (D) FEDERAL LIEN CORP
2004 R 1078825 1 CVP 12/06/04 N/A 22876/3199 MAROTTA, ANTHONY (R) JEC FAMILY LTD PARTNERSHIP
2004 R 1137238 1 CVP 12/20/04 N/A 22922/4748 MAROTTA, ANTHONY (R) MESA, MANUEL
2005 R 77241 1 LIS 01/25/05 35/560 23024/3625 MAROTTA, ANTHONY R (R) 6301 PINETREE LLC
2005 R 79195 1 AMO 01/25/05 N/A 23026/1658 MAROTTA, ANTHONY R (D) COHEN, RICHARD D
2005 R 79196 1 AMO 01/25/05 N/A 23026/1660 MAROTTA, ANTHONY R (D) COHEN, RICHARD D
2005 R 148671 1 LIS 02/14/05 35/560 23081/4219 MAROTTA, ANTHONY R (R) MADRIS, RUSSELL
2005 R 446305 1 CVP 05/04/05 N/A 23333/4714 MAROTTA, ANTHONY R (R) 6301 PINETREE (LLC)
2005 R 514193 1 SMO 05/19/05 N/A 23392/221 MAROTTA, ANTHONY R (R) MADRIS, RUSSELL
2005 R 514194 1 SMO 05/19/05 N/A 23392/222 MAROTTA, ANTHONY R (R) AMEDIA, FRANK J
2005 R 514195 1 WDE 05/19/05 35/560 23392/223 MAROTTA, ANTHONY R (D) 6301 PINETREE LLC
2005 R 514196 1 AFF 05/19/05 N/A 23392/225 MAROTTA, ANTHONY R (D) WHOM CONCERNED
2005 R 609496 1 CVP 06/14/05 N/A 23471/18 MAROTTA, ANTHONY R (R) MADRIS, RUSSELL
2005 R 643872 1 CVP 06/22/05 N/A 23499/2137 MAROTTA, ANTHONY R (R) 6301 PINETREE (LLC)
2005 R 672360 1 SMO 06/28/05 N/A 23522/1300 MAROTTA, ANTHONY R (R) UNIBANK
2006 R 159929 1 REL 02/14/06 N/A 24235/4338 MAROTTA, ANTHONY (R) JEC FAMILY LP
2006 R 159930 1 MOR 02/14/06 17174/3190 24235/4344 MAROTTA, ANTHONY (D) WASHINGTON MUTUAL BNK FA

BEGIN A NEW SEARCH Displaying 1-50 of 56 records NEXT PAGE
MODIFY CURRENT SEARCH
printer friendly


Img Clerk's
File No GRP Doc.
Type Rec.
Date Plat
Book/Page Rec.
Book/Page First Party (Code) 2
Second Party

2006 R 283599 1 AMO 03/16/06 N/A 24331/1192 MAROTTA, ANTHONY (D) AMERIQUEST MTG CO
2006 R 283600 1 AMO 03/16/06 N/A 24331/1194 MAROTTA, ANTHONY (D) US BNK NA TRU
2006 R 283601 1 SMO 03/16/06 N/A 24331/1196 MAROTTA, ANTHONY (R) U S BANK N A TRU
2006 R 335959 1 AMO 03/29/06 N/A 24373/3028 MAROTTA, ANTHONY (D) AMERIQUEST MTG CO
2006 R 335960 1 AMO 03/29/06 N/A 24373/3029 MAROTTA, ANTHONY (D) WELLS FARGO BNK N A TRU
2006 R 335961 1 SMO 03/29/06 N/A 24373/3030 MAROTTA, ANTHONY (R) WELLS FARGO BNK NA TRU

BEGIN A NEW SEARCH Displaying 51-56 of 56 records PREV PAGE
MODIFY CURRENT SEARCH
printer friendly


http://www.miami-dadeclerk.com/public-records/searchresult2.asp?page=1

[youhavenoidea]

another 11 emails to the SEC and this is all we get so far.

PLEASE DO NOT REPLY TO THIS MESSAGE*
Dear Sir or Madam:
Thank you for your recent e-mail to the group electronic mailbox of the Division of Enforcement at the United States Securities and Exchange Commission in Washington, D.C. We appreciate your taking the time to write to us. This automated response confirms that the Division of Enforcement has received your e-mail. You can rest assured that an attorney in the Office of Internet Enforcement will review your e-mail promptly.

We are always interested in hearing from members of the public, and you may be assured that the matter you have raised is being given careful consideration in view of the Commission's overall enforcement responsibilities under the federal securities laws. It is, however, the Commission's policy to conduct its inquiries on a non-public basis -- so this may be the only response that you receive. If your complaint is more in the nature of a consumer complaint (such as a dispute with your broker or a problem with your brokerage or retirement account), you should contact our Office of Investor Education and Assistance -- they may be able to help you. You may reach the Office of Investor Education and Assistance via telephone at [phone]or through the Web at HYPERLINK "http://www.sec.gov/complaint.shtml"www.sec.gov/complaint.shtml.

The Commission conducts its investigations on a non-public basis to preserve the integrity of its investigative process as well as to protect persons against whom unfounded charges may be made or against whom the Commission determines that enforcement action is not necessary or appropriate. Subject to the provisions of the Freedom of Information Act, we cannot disclose to you any information which we may gather and we cannot confirm to you the existence or non-existence of an investigation, unless made a matter of public record in proceedings brought before the Commission or in the courts.

If you are unsure where you should direct your inquiry or you want to learn more about how the SEC handles inquiries and complaints, please visit the SEC Complaint Center at HYPERLINK "http://www.sec.gov/complaint.shtml"www.sec.gov/complaint.shtml.

Should you have any additional information or questions pertaining to this matter, please feel free to communicate directly with us at HYPERLINK "mailto:[e-mail]"[e-mail].

We appreciate your interest in the work of the Commission and its Division of Enforcement.
Very truly yours,
S/
John Reed Stark
Chief, Office of Internet Enforcement
United States Securities & Exchange Commission

[youhavenoidea]

(to Superstition – By Stevie Wonder)

Ve-ry suspicious, writing’s on the wall,
Ve-ry suspicious, that it’s about to fall,
Thirteen months since running, cannot trace the cash
Almost a trillion printed, hope is in the past.

When you plead the fifth, when you’re put on the stand,
You’re gonna suffer,
Revocation’s on the way

Ve-ry suspicious, what happened to “The Plan”?,
Bad luck was the problem, they’re doing all they can,
Keep me in a daydream, keep me goin’ strong,
Frizzy’s gonna save us, someone pass the bong.

When you plead the fifth, when you’re put on the stand,
You’re gonna suffer,
Revocation any day, yeh, yeh.

Ve-ry suspicious, what more can I say,
Ve-ry suspicious, the SEC’s been paid,
Thirteen months since running, cannot trace the cash
Almost a trillion printed, hope is in the past.

When you plead the fifth, when you’re put on the stand,
You’re gonna suffer,
Revocation’s on the way, ya, ya, ya