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Thursday, April 30, 2015 11:12:31 PM
What happens if a purported Rule 144 transaction does not, or cannot, strictly comply with Rule 144? A selling security holder that does not comply with Rule 144 and does not have an alternative available exemption from registration requirements may be deemed an underwriter that has sold without registration. Non-compliance could result in rescission of the transaction, civil liability, or even criminal liability.
FYI- I am a Note holder/along with many others who are not happy, such as Alonzo is claiming we are!
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