From October 6, 2009 through December 10, 2010 Oppenheimer engaged in the unregistered distribution of the securities of Quasar Aerospace, Inc. (QASP), Encounter Technologies, Inc. (ENTI), My Social Income, Inc. (MSOA), Strategic Rare Earth Metals, Inc. (SREH), Sebastian River Holdings, Inc. (SBRH), and Shot Spirit Corporation (SSPT) on behalf of a customer.
The over 2.5 billion cumulative shares sold through the Customer’s account generated approximately $12,000,000 in proceeds of which Oppenheimer was paid $588,400 in commissions.
Those were all Christopher Davies tickers except for QASP and MSOA
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