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Re: strategydoc post# 150710

Sunday, 12/01/2013 10:54:48 AM

Sunday, December 01, 2013 10:54:48 AM

Post# of 238624
Currently reviewing why SEC would do an inquiry. Not a good sign when a lawyer (Michelle Sides) is being investigated by a law enforcement agency. If she was a good lawyer, this wouldn't be happening.

Common violations that may lead to SEC investigations include:

Misrepresentation or omission of important information about securities

Manipulating the market prices of securities

Stealing customers' funds or securities

Violating broker-dealers' responsibility to treat customers fairly

Insider trading (violating a trust relationship by trading on material, non-public information about a security)

Selling unregistered securities.



http://www.sec.gov/News/Article/Detail/Article/1356125787012

“Never argue with an idiot; he will bring you down to his level and win from experience.” Brad Slipiec