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Replies to post #150710 on Medical Marijuana Inc (MJNA)
deafelephant
12/01/13 10:54 AM
#150724 RE: strategydoc #150710
Common violations that may lead to SEC investigations include: Misrepresentation or omission of important information about securities Manipulating the market prices of securities Stealing customers' funds or securities Violating broker-dealers' responsibility to treat customers fairly Insider trading (violating a trust relationship by trading on material, non-public information about a security) Selling unregistered securities.