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janice shell

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janice shell

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Re: SevenTenEleven post# 41347

Tuesday, 09/23/2014 3:42:36 PM

Tuesday, September 23, 2014 3:42:36 PM

Post# of 41474
If you contacted R&T any time after 2012 at the latest, they were already aware they had problems, but it's unclear for how long they continued to issue the stock Pagnano wanted them to issue.

The SEC’s investigation was conducted by Michael Paley and Katherine Bromberg in the New York Regional Office, and the litigation against Heathrow and Pagnano will be led by Jack Kaufman. The SEC’s examination of R&T was conducted by Steven Vitulano, Kenneth Liebl, Paul Eberhard, and Hitan Patel in the New York office’s broker-dealer inspection program.
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