AI
Tuesday, September 02, 2008 8:45:18 PM
interesting wording...."Anderson improperly sold more than 259 billion shares of unregistered securities of CMKM Diamonds, Inc. in 569 separate transactions."
and...."Anderson was a registered representative associated with NevWest Securities Corporation, a broker-dealer registered with the Commission during that period"
this appears that it could fall under E & O insurance...?$$...key word.."improperly " not fraudulently.....if I was anderson depending on what i really did know or not i would be asking who was the co. e & o carrier ASAP.....they should be notified
just a couple of thoughts....afterall the sec thought all nevwest did was not report red flags & hit them w/a fine of 100k.....& jefferies took a walk w/the 9's excuse
*subject to testimony in our case
from another board
http://pqibex.shutterpoint.com (Moosehead Lake Keno)
and...."Anderson was a registered representative associated with NevWest Securities Corporation, a broker-dealer registered with the Commission during that period"
this appears that it could fall under E & O insurance...?$$...key word.."improperly " not fraudulently.....if I was anderson depending on what i really did know or not i would be asking who was the co. e & o carrier ASAP.....they should be notified
just a couple of thoughts....afterall the sec thought all nevwest did was not report red flags & hit them w/a fine of 100k.....& jefferies took a walk w/the 9's excuse
*subject to testimony in our case
from another board
http://pqibex.shutterpoint.com (Moosehead Lake Keno)
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