Access Power & Co Inc (ACCR)

[swingingRichard]

Thank you. That's perfect. Patrick can add MASTER CRIMINAL to his resume. LOL

This broker has been involved in one or more disclosure events involving certain final criminal matters, regulatory actions, civil judicial proceedings,or arbitrations or civil litigations

NASD RULES 2110, 2330(F), 3060(A): JENSEN, WHILE ASSOCIATED WITH HISMEMBER FIRM, PAID CASH TO ANOTHER FIRM'S TRADER AND THE WIFEOF THE TRADER SO THAT THE TRADER WOULD CONTINUE TO CONDUCTHIS FIRM'S SECURITIES TRANSACTIONS THROUGH ITS ACCOUNT WITHJENSEN. JENSEN, WHILE ASSOCIATED WITH HIS MEMBER FIRM, SERVEDAS THE REGISTERED REPRESENTATIVE OF RECORD ON A CORPORATEACCOUNT OF A CUSTOMER AND SHARED IN LOSSES AND GAINS IN THECUSTOMER'S ACCOUNT WITHOUT WRITTEN AUTHORIZATION FROM THEFIRM OR THE CUSTOMER TO SHARE IN THE PROFITS OR LOSSES OF THECUSTOMER'S ACCOUNT AND HE DID NOT SHARE IN THE PROFITS ANDLOSSES IN DIRECT PROPORTION TO HIS FINANCIAL CONTRIBUTIONS TOTHE ACCOUNT.

Current Status:Final