"he's doing all this issuing--of stock and of notes--as part of his business, not as an impartial court appointed custodian. So wouldn't that make him an unlicensed broker?"
This is more properly answered by one or more of the securities attorneys who follow DD Fraud board.
However, can you clarify what you mean by 'part of his business'? What business is that other than the hijacked company?
Maybe I don't fully follow the machinations that are involved in these hijackings. I'm nott aware that acting as management of a public corporation (as legal custodian) and issuing stock and notes would constitute brokering as I understand the term, butt I'll defer to the securities experts on this and also to your clarification of my understanding of what is going on here and what 'business' other than the hijacked corporation's business is intended by 'his business'.
As I understand the term, a broker is generally an intermediary who effects a transaction between two (or more) parties and obtains compensation for this service of matching buyer and seller or vendor and purchaser. Butt the term may have a different or more specific meaning in the area of US securities law. I don't know.
Sumbuddy with securities law expertise will though.
What happened to CGardener - he seems to have ceased posting in September? He'd know the answer.
I hope he's OK and I hope he comes back to posting here.
Heck, I still miss Jim Bishop. Hope he's OK too.
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