Havana Roasters Coffee Companies Inc (THRC)

[TooFrank]

Denial of Corporate Action Requests

In some circumstances, FINRA may decline to process corporate action requests. It can find a request deficient only if:

* staff believes that the forms and documentation submitted are incomplete, inaccurate or lack proper authority;

* the issuer is not current in its reporting obligations;

* FINRA has knowledge that parties related to the action are the subject of pending, adjudicated or settled regulatory action or investigation, or civil or criminal action related to fraud or securities law violations;

* a government authority has provided information indicating that persons related to the action may be involved in fraudulent activities; and

* there is significant uncertainty in the settlement and clearance process for the security.

https://www.securitieslawyer101.com/2018/finra-rule-6490-lawyers/