Posted On: 09/26/2016 2:40:25 PM
Post# of 7802
Let me make it more clear for the purposefully ignorant:
Micah Eldred is CEO and Managing Partner of Spartan Securities. So your statement of "I saw no mention of Micah" is just plain misleading. What's that quote about it being difficult to get a man to understand something when his salary depends on him not understanding it?
So 16 years ago Kyle "permitted Magnan to become associated with the firm". That sounds very minor to me, especially if Magnan failed to disclose whatever caused the problem to begin with. Nor does that issue have anything to do with SFRX finding treasure.
Quote:
FINRA Says Fla. Brokerage Turned Blind Eye To Laundering
By Carmen Germaine
Law360, New York (September 13, 2016, 4:39 PM EDT) -- The Financial Industry Regulatory Authority on Monday filed a complaint against a Florida brokerage firm it says failed to implement an appropriate anti-money laundering program and ignored dozens of red flags as clients traded millions of dollars' worth of securities.
The complaint, filed in FINRA's Office of Hearing Officers, alleges Clearwater-based Spartan Securities Group Ltd. facilitated sales of over $17 million worth of securities, collecting hundreds of thousands of dollars in commissions and markups, despite numerous anti-money laundering red flags suggesting the securities may have been...
Micah Eldred is CEO and Managing Partner of Spartan Securities. So your statement of "I saw no mention of Micah" is just plain misleading. What's that quote about it being difficult to get a man to understand something when his salary depends on him not understanding it?
So 16 years ago Kyle "permitted Magnan to become associated with the firm". That sounds very minor to me, especially if Magnan failed to disclose whatever caused the problem to begin with. Nor does that issue have anything to do with SFRX finding treasure.
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