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Re: cpw13154 post# 75831

Friday, 06/28/2019 8:48:57 AM

Friday, June 28, 2019 8:48:57 AM

Post# of 84336
Ohhhhhh that’s good stuff.

I didn’t know he had a non-SEC related criminal background.

That’s just too much.

The SEC does criminal background checks before you can hold a Series 6 or Series 7.

If wants the Series Suite and be a CBOE sponsored trader there’s no way they’ll let you with a felony charge unless it was fully expunged and not a crime of violence or as they put it; “a crime of moral turpitude”.

So I guess he just wants to run Tyr Equity but not be a trader and that’s a blurry line but I don’t think the SEC would let a bunch of Series 7 people be lead around by a felon.

Yeah...he’s just a through and through crook and I have no doubt he’ll serve real time. Maybe not for LTNC but for something else or maybe LTNC and something else

Who knows