Part of the settlement...yet a few years later via
Post# of 11035
Quote:
In its 2013 examination letter, FINRA identified microcap fraud and anti-money laundering compliance as regulatory priorities that it would focus on throughout the year because of the risk they pose to investor protection and market integrity. FINRA specified the importance that firms monitor customer accounts liquidating microcap and low-priced OTC securities to ensure, among other things, that the firm is not facilitating, enabling or participating in an unregistered distribution.
added: http://www.businesswire.com/news/home/2012091...R-Clearing
http://www.corclearing.com/sites/default/file...es_acq.pdf
Has anyone looked up the names of the board members affiliated to other companies....PERSHING stands right out to me...just saying
$CRGP
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Quote:
If the broker-dealer fails to deliver for 13 days, the regulation imposes a “close out” duty to purchase and deliver securities “of like kind and quantity.”
https://www.bloomberg.com/opinion/articles/20...ify%20wall
https://www.scotusblog.com/case-files/cases/m...v-manning/