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Re: Cassandra post# 7560

Tuesday, 01/24/2012 5:35:36 PM

Tuesday, January 24, 2012 5:35:36 PM

Post# of 88869
Really? Why would a Market Maker or Broker risk large fines and perhaps suspension by selling some Series 144 without an "Opinion" and without the properly signed "Exemption" form that frees shares already filed with the SEC. Why would their Transfer Agent simply change the numbers and risk their reputation without proper documentation?

Seems like a lot of exposure for the TA, MM or Broker for some piddly little Pinkie Management team that wants them to do something illegal. Pray tell, how are they doing it?