Anthony @ Equity Investigations, Dear Anthony, Message Board

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Strategies & Market Trends : Anthony @ Equity Investigations, Dear Anthony,

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To: Anthony@Pacific who wrote (72403)	7/3/2001 10:51:12 PM
From: CaptainSEC	Read Replies (1) of 122087

Here's another inaccuracy. SLPH report: This is the same Steve Muth who has been sanctioned by the NASDR (http://www.nadsr.com) a number of times, including regarding his involvement in the recent promotion of Creative Host Services (CHST) which mysteriously ran from $1 to $29 and all the way back down again. I agree, Steven Ernest Muth has been sanctioned by the NASDR a number of times, and he does have CHST-related consumer complaints pending against him, but according to the NASDR disclosure report on him I just received, he has not been sanctioned by the NASDR for anything involving CHST. The date for the 1 NASDR sanction which IS listed is 1991; obviously not CHST related. There are a few older cases against Muth that have 'vanished' from his NASDR file; if anyone is interested, the CHST Whodunit thread has details. I can't provide a direct link to the freely available public information which follows, but anyone can get it by going to nasdr.com and typing in his name and CRD number. (The URL given in the SLPH report has a typo and won't work) NASDR Public Disclosure Program July 03, 2001 Page 1 This information is current as of: 07/03/2001 ________________________________________________________________________________ NASD Registered Person: STEVEN ERNEST MUTH CRD Number: 1436358 Criminal Actions: 0 Regulatory Actions: 1 Civil Judicial Actions: 0 Terminations: 0 Customer Complaints: 5 Investigations: 0 Bonds: 0 Bankruptcies: 0 Judgment/Liens: 0 ****** REGULATORY ACTION (1 of 1) ****** Reporting Source: Regulator (Form U-6) Date Reported: 11/21/1991 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 01/31/1991 Docket/ Case Number: C3A910020 Employing Firm: WILLIAM BARTON FINANCIAL, INC. Allegations: Current Status: Final Resolution: Consent Resolution Date: 11/21/1991 Sanctions Ordered: Monetary/Fine, Censure, Suspension Monetary Amount: $2,500.00

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