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lucky, mydog

02/11/21 5:37 PM

#17053 RE: lesgetrich #17052

What I'm disputing is precisely your certainty in the contention that the company may be facing further enforcement action.

the key word is "may". that is an absolute certainty. those are basic securities regulations. every company that is suspended may face further enforcement action. no mm will sponsor a 211 until it is certain that they are not.
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lucky, mydog

02/11/21 5:40 PM

#17054 RE: lesgetrich #17052

this might help you out some. see part 3 (b)(2)

https://www.finra.org/sites/default/files/p126234.pdf