Wednesday, July 21, 2021 2:29:18 PM
Years back, after the suspension, he was using the old 'naive CEO' excuse. So, as the CEO of a local company, I offered input and help. Instead of listening to me, he pulled a BS move and got the 211 process killed. And NO it did not have anything to do with the MM that was working on it! He decided to go around the MM and contacted FINRA direct, which is a MAJOR NO-NO. The 211 is STRICTLY between the MM & FINRA! No ifs, ands, or buts about it!
Of course some peeps are still blaming the MM, even though they know better....
In case I forgot to mention it above, Always Just My Opinion
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