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Application Red Flags

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surfkast Member Level  Tuesday, 08/13/19 03:58:51 PM
Re: MWM post# 156159
Post # of 156954 
Application Red Flags
The following are examples of red flags that require close examination by the broker-dealer to comply with Rule 15c2-11. These examples, however, may not provide firm evidence of microcap fraud or even incorrect issuer information. Brokers should scrutinize issuer information if reliable sources for the information are not found.

1. Trading Suspensions.
2. Concentration of ownership of the majority of outstanding, freely tradable stock.

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