Get the letter Dolphin mentions and send a copy to
Post# of 11038
Posted On: 11/23/2015 11:54:35 AM
Re: Pennyplayer #6727
Get the letter Dolphin mentions and send a copy to FINRA. This is a very "irregular" situation.
My take is that they got caught NSS --selling unregistered and unauthorized shares for the ones who don't want to mention NSS--.
Don't think they are holding funds already distributed by DTCC. That would put them also in conflict with DTCC.
My take is that they got caught NSS --selling unregistered and unauthorized shares for the ones who don't want to mention NSS--.
Don't think they are holding funds already distributed by DTCC. That would put them also in conflict with DTCC.
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IMHO
Always, always do you own DD. Only invest funds you can afford to lose and trust nobody but yourself.
Always, always do you own DD. Only invest funds you can afford to lose and trust nobody but yourself.
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