Replies to post #56904 on Bantek Inc (BANT)

[vulken17]

Well I guess they are to blame because they facilitate the process & route the orders. There are things called SARS which are used as a precursor for suspicious activity. Mishandling of these SARS rules results in violations & fines. Pretty much fits the bill here. In a few months I take it that the brokerage(s) will be fined.

[vulken17]

SEC charges Alpine Securities with failure to file suspicious activity reports

Agency says Utah broker-dealer failed to document suspicious microcap stock trades

Jun 5, 2017

https://www.investmentnews.com/article/20170605/FREE/170609972/sec-charges-alpine-securities-with-failure-to-file-suspicious?X-IgnoreUserAgent=1