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Tuesday, October 24, 2023 12:46:36 PM
Why do you think George had to withdraw the appeal? He wouldn't have had to if that was all old stuff that no longer applied.
Nothing has been presented that indicates the Notice of Deficiency has been resolved. The only hope would be that vague "agreement" George mentioned, but that was with SEC, not FINRA. So I'm not sure how that could be interpreted as taking care of the FINRA problem.
Those 6 missing filings are still just that, missing. And they were the reason FINRA denied the name and ticker change last time. And yes, that custodian was also from AFTER the time of the delinquencies and made the case that they were a new company and those should not apply to them. FINRA did not buy it. They still wanted to see the filings, which could not be produced. And that George cannot produce either.
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