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Replies to post #340709 on Spongetech Delivery Systems, Inc. (fka SPNGQ)
starfire
01/17/13 2:40 AM
#340711 RE: 236T568 #340709
"The Commission's complaint alleged that, from February to April 2001, Badian, Graham, Pond, and others participated in a scheme to manipulate Sedona's stock price. The complaint also alleged that Graham and others aided and abetted violations of the broker-dealer record-keeping requirements through the creation of trade tickets which falsely reported short sales of Sedona stock as "long" sales, and that Pond, Birnbaum, and defendant Shaye Hirsch violated NASD Conduct Rule 3010 by failing to supervise brokers at Pond." http://www.sec.gov/litigation/litreleases/2013/lr22593.htm