Friday, October 07, 2022 4:13:32 PM
This week UBS was fined $3M in two actions by FINRA and censured. The actions were straightforward, they did not properly close out FTDs. They sold stock that they did not have, and then they did not deliver that stock. FOR NINE YEARS.https://t.co/09j8cwwJox
— Dave Lauer (@dlauer) October 6, 2022
Dave Lauer (@dlauer)
This week "UBS" was fined $3M in two actions by FINRA and censured. The actions were straightforward, they did not properly close out 'FTDs'.
They sold stock that they did not have, and then they did not deliver that stock. FOR NINE YEARS.
https://t.co/09j8cwwJox
Twitter•Yesterday at 3:04 PM
Meanwhile OTC Markets / CNBC murdered(?/time will tell if NWGC rises back to life) a never indicted OTC stock in late Sept last year, according the CEO's (Big Bad Bob's) last PR, and shoved a mac truck up our rear ends over BS from a 2017 stock the SEC has let live that even Nevada Revoked(?) by now, or should have, and that the SEC should have revoked for 5-6 years for not filing SEC financials?
Read this again:
This week UBS' was fined $3M in two actions by FINRA and censured. The actions were straightforward, they did not properly close out FTDs. They sold stock that they did not have, and then they did not deliver that stock. FOR NINE YEARS.
Stocks in the current NWGC situation have come back to life...
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