News Focus
News Focus
icon url

loanranger

04/22/11 5:21 PM

#100977 RE: janice shell #100976

Which is why I posted:
So maybe they set up an alert for the symbol and provide the following boilerplate to address the issue, whether composed by Etrade or by someone else on their behalf.

But the real bottom line question of the post, which I guess I disguised a bit too well ("but wouldn't an account holder be able to determine whether this is their boilerplate response to EIGH inquiries regardless of whether they held shares?"), was:
Have you not, as an Etrade customer, inquired about the issue yourself?
icon url

samsamsamiam

04/23/11 11:16 AM

#101022 RE: janice shell #100976

If he wrote it he's probably in trouble - if he denied writing it and he did - he is in bigger trouble!
Hasn't been around that long.

BTW - Wasn't there another brokerage email that quoted there was going to be that dividend - that appeared like they were just quoting the press release as well?



RYAN C. OGDEN
CRD# 5425821

Currently employed by and registered with the following FINRA Firms:
E*TRADE SECURITIES LLC
4005 WINDWARD PLAZA DRIVE
ALPHARETTA, GA 30005
CRD# 29106
Registered with this firm since: 10/19/2007

Report Summary for this Broker
The report summary provides an overview of the broker's professional background and conduct. The individual broker, a FINRA-registered firm(s), and/or securities regulator(s) have provided the information contained in this report as part of the securities industry's registration and licensing process. The information contained in this report was last updated by the broker, a previous employing brokerage firm, or a securities regulator on 03/11/2011.

Broker Qualifications
This broker is registered with:
2 Self-Regulatory Organizations
52 U.S. states and territories

Is this broker currently suspended or inactive with any regulator? No

This broker has passed:
0 Principal/Supervisory Exams
2 General Industry/Product Exams
1 State Securities Law Exam

Registration and Employment History
This broker was previously registered with the following FINRA member firms:

No information reported.

For additional registration and employment history details as reported by the individual broker, refer to the Registration and Employment History section of this report.
Disclosure of Customer Disputes, Disciplinary, and Regulatory Events
This section includes details regarding disclosure events reported by or about this broker to CRD as part of the securities industry registration and licensing process. Examples of such disclosure events include formal investigations and disciplinary actions initiated by regulators, customer disputes, certain criminal charges and/or convictions, as well as financial disclosures, such as bankruptcies and unpaid judgments or liens.

Are there events disclosed about this broker? No