Wednesday, May 31, 2023 2:39:27 PM
If they are 'acting as principal' in the trade, they could be held liable and probably should know that answer.
But many brokers are just clearinghouses or placeholders (see 'discount broker') and hold most securities in their inventory (then flip them to you) and probably have no clue (nor would they admit) where they came from.
But many brokers are just clearinghouses or placeholders (see 'discount broker') and hold most securities in their inventory (then flip them to you) and probably have no clue (nor would they admit) where they came from.
Recent DBMM News
- Form 10-Q - Quarterly report [Sections 13 or 15(d)] • Edgar (US Regulatory) • 04/14/2026 08:45:29 PM
- Form 10-Q - Quarterly report [Sections 13 or 15(d)] • Edgar (US Regulatory) • 01/14/2026 09:46:30 PM
- Form 10-K - Annual report [Section 13 and 15(d), not S-K Item 405] • Edgar (US Regulatory) • 11/28/2025 10:01:05 PM
- Form 10-Q - Quarterly report [Sections 13 or 15(d)] • Edgar (US Regulatory) • 07/15/2025 09:01:51 PM

