Followers | 515 |
Posts | 67527 |
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Alias Born | 06/10/2009 |
Sunday, February 15, 2015 9:30:01 PM
I always wonder how much longer Steve will have this shell. The SEC could (should) halt this shell asap.
"against Kramer, FINRA did not hesitate to identify Kramer as a bad actor, which disqualifies him from some types of market participation.
By virtue of FINRA Rule 6490(d)(3)(3), if the regulator has “actual knowledge that … promoters or other persons connected to the issuer … are the subject of a pending, adjudicated or settled regulatory action or investigation by a federal, state or foreign regulatory agency, or a self-regulatory organization; or a civil or criminal action related to fraud or securities laws violations,” it can reject corporate action requests."
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