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fourkids_9pets

02/09/12 9:20 AM

#8469 RE: fourkids_9pets #8468

here's the info out of finra re: BMAS

note where BMAS has .. er .. made a market on the poorly
watched OTC

http://www.otcbb.com/asp/tradeact_mv.asp?SearchBy=mp&Issue=BMAS&SortBy=volume&Month=1-1-2012&IMAGE1.x=17&IMAGE1.y=2

from jan 2011 >>>>


B. The firm also consents to the imposition of the following sanctions:

A censure and fine of $22,500 comprised of a $17,500 fine for OATS reporting violations
and a $5,000 fine for deficient supervisory procedures.


The firm agrees to pay the monetary sanction^) upon notice that this AWC has been
accepted and that such paymentfs) are due and payable. It has submitted an Election of
Payment form showing the method by which it proposes to pay the fine imposed.
The firm specifically and voluntarily waives any right to claim that it is unable to pay,
now or at any time hereafter, the monetary sanction(s) imposed in this matter.
The sanctions imposed herein shall be effective on a date set by FINRA staff.



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have to go to www.finra.org
and do a broker check for each *broker*

like i've posted >>> they know the odds of them being caught
are slim to none .. what is interesting is the finra employee
i was chatting with the other day .. indicated more and more
retail are forwarding on complaints >> which to me is better
than apathy or passive acceptance

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4kids
all jmo