Rule 15c3-3 requires that "a broker or dealer shall promptly obtain and shall thereafter maintain the physical possession or control of all fully-paid and excess margin securities carried by a broker or dealer for the account of customers."
Possession and control is what it is all about. My broker knows it, and the day they found out I knew it, they stopped all correspondence, whether by phoen, e-mail, or post.
My broker will not identify who the party was they bought the shares from on my behalf. Are they protecting a competitor? Or did they even try to buy them? Where is the money I gave them for which I got nothing in return?
Anyways, delivering my worthless stock to me is going to cost them a lot more than they ever could have imagined.
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