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justfrank

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justfrank

Re: Spyster post# 64779

Tuesday, 02/13/2007 9:54:22 AM

Tuesday, February 13, 2007 9:54:22 AM

Post# of 157300
By the SEC? No by the NASD. Rules of conduct are different than breaking the law.


http://www.nasd.com/web/groups/enforcement/documents/oho_disciplinary_decisions/nasdw_012550.pdf
(2) For issuing sales literature that omitted material information and contained misleading
information in violation of NASD Conduct Rules 2110, 2210(d)(1)(A), and 2210(d)(1)(B), Taboada is
suspended for six months from associating with any member firm in any capacity and fined $25,000.
(2) Taboada’s suspension shall become effective at the
opening of business on May 3, 2004, and end at the close of

Don't let your prejudices, assumptions and ego cause you to come to conclusions which on the surface seem sound and correct but in reality are flawed

My Board for discussion of any stock.

http://www.investorshub.com/boards/board.asp?board_id=8758

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