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wynsurf

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wynsurf

Re: puppydotcom post# 258233

Thursday, 09/04/2008 12:57:52 AM

Thursday, September 04, 2008 12:57:52 AM

Post# of 358439
Puppydotcom,this is from FINRA today.eom

Retail brokers are the first line of defense for the markets," said Susan L. Merrill, Executive Vice President and Chief of Enforcement. "Brokerage firms and their employees must take action to ensure that they are not participating in illegal sales of unregistered securities. In this case, the respondents failed to take appropriate action and illegally sold millions of shares of unregistered securities into the public marketplace."

http://www.finra.org/PressRoom/NewsReleases/2008NewsReleases/P039148
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