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Tiresias

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Tiresias

Re: Rocco5 post# 75341

Tuesday, 07/26/2016 7:24:08 PM

Tuesday, July 26, 2016 7:24:08 PM

Post# of 105602
this from FINRA action taken against CP Capital. Almost sounds like BC

CP Capital allowed two persons to act in registered capacities without being registered
and qualified in such capacities. Specifically, between April 2009 and August 2009, AB,
an unlicensed individual, signed off as the registered representative on check and wire....

Latest action is April 29 of this year. Almost an echo of what BC is being looked at for.


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