One Step Ahead

[SPARK]

Prior to starting StockPatrol.com, Mr. Bernstein was a noted securities lawyer who represented dozens of public companies and brokerage firms. His clients included a group of brokerage firms that were involved in underwriting small, so-called emerging growth companies. To his regret, Mr. Bernstein became aware of certain aspects of his clients’ activities, and didn’t disclose those activities to securities regulators. As a result, Mr. Bernstein agreed to plead guilty to participating in a conspiracy to commit securities fraud, and was sentenced to probation
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