Oh, oh. I guess Veronica has no answer. Per j
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Posted On: 02/18/2019 4:23:13 PM
Oh, oh. I guess Veronica has no answer.
Per janice shell.
"Friend of Foe"?? Sheesh, the author can't even get his title right?
So... He's saying TAs are potentially dicey because the can collect HUGE amounts like--GASP!!--$500 for executing conversions?
There's a great deal more involved than that, and many more players. Yes, some TAs do collude with crooks. Others don't. Either way, it's an issue that seems to be of increasing interest to the SEC and FINRA, though as usual they're moving slowly.
ABSOLUTELY JANICE...and it should create interest with the SEC and FINRA
Per janice shell.
"Friend of Foe"?? Sheesh, the author can't even get his title right?
So... He's saying TAs are potentially dicey because the can collect HUGE amounts like--GASP!!--$500 for executing conversions?
There's a great deal more involved than that, and many more players. Yes, some TAs do collude with crooks. Others don't. Either way, it's an issue that seems to be of increasing interest to the SEC and FINRA, though as usual they're moving slowly.
ABSOLUTELY JANICE...and it should create interest with the SEC and FINRA
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