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Re: hhi3 post# 119333

Wednesday, 10/07/2015 4:53:01 PM

Wednesday, October 07, 2015 4:53:01 PM

Post# of 160012
Did CEO Steven Samblis say What Fine????

This is a pretty interesting article

https://friendsofvutv.files.wordpress.com/2015/10


FINRA has this neat function on their web site called “Broker Check“. (http://brokercheck.finra.org/). When you enter Steven M. Samblis, you get a report on his history. It’s an interesting read. Granted, there are some items in the report that have been previously reported, and discussed, however there are a few things that apparently haven’t.

Here is the report: Samblis_FINRABrokerCheck

What perhaps was not know previously was that there were TWO “Regulatory Events”. One on or about 2/10/2000, in which it appears Mr. Samblis Stipulated and Consented, to the Sanctions of “AGREES NOT TO ENGAGE IN THE OFFER OR SALE OF ANY SECURITY FROM OFFICES IN THE STE OF FLORIDA OR TO INDIVIDUALS RESIDING IN FLORIDA FOR 10 YEARS“. WOW… 10-years… that seems like a degree of sanction associated with a serious offense. And… Mr. Samblis agreed to it.

The second one has been previously reported, mentioned, and discussed, however, what was interesting is, it appears Mr. Samblis never paid the fine because the fine was discharged in his bankruptcy filing April 1991. So it appears Mr. Samblis never actually paid the fine. That Regulatory Event also apparently blew back on his boss, Donald G. Asquith. OPPS ! Mr. Asquith is listed in the document as Mr. Samblis’s supervisor. WOW… its one thing to screw up, but to have it blow back on your boss is not good for the performance review. The text goes on to indicate that the decision against Mr. Samblis was appealed, but the decision was affirmed – i.e. he/they lost the appeal.



WOW so did CEO Steven Samblis pay the fine or not?

https://friendsofvutv.files.wordpress.com/2015/10/samblis_finrabrokercheck.pdf

How come Steven Samblis doesn't mention this on his FB page or newly created Tumblr page?

If Steven Samblis never paid the fine.....he is saying What Fine?