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Thursday, July 28, 2011 5:36:56 PM
So, contrary to your statement - "PS, finra did not ask to see the deal, they don't do that" - I did confirm that FINRA actually does indeed "do that".
I do not have my notes handy, but that was the gist of my conversation. Also, out of courtesy to my contact (who was not particularly comfortable discussing this with me), I will not post the name or number here. Finally, my apologies to the board for not posting this much earlier. I have been engaged in a rather large personal issue (selling a primary residence and, now, packing up for a move to another state), kids are home from school, and a million other things going on as well. I should have shared this weeks ago - on the other hand, no one has bought this issue up for a while, but since it has been dragged up out of the murky depths once again, it presents the opportunity to share what I learned. Thanks for the reminder.....
M78
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