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Non-Tech : Auric Goldfinger's Short List
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To: BelowTheCrowd who wrote (2525)7/5/1999 10:29:00 PM
From: Richard James  Read Replies (1) of 19428
 
Mike, My wife is always concerned that I am careful not to give legal advice and I am not, but you have it straight. (After I amended a civil case to include RICOH, the case was settled with the broker, a dime was dropped with Postal and the local DA, FBI and SEC (one client was with the state insurance fraud department so we got a little action) and the result was the registered representative served 2 of a 4 year state sentence. But I do still have difficulty understanding RICOH, which is usually exercised in the criminal arena, where I do not work.

Point is, civil charges can lead to a criminal conviction, once the case is all tied up in a pretty bow for the Feds, and I had a rather tight case.
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