cgky Message Board - Msg: 18661279

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Microcap & Penny Stocks : cgky

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To: hcm1943 who started this subject	3/5/2003 6:12:05 PM
From: StockDung	of 27

Registered Representative Fined and Suspended for Statements that He Posted on an Internet Finance Message Board — NASD settled a matter involving a registered representative that posted 75 messages on an Internet finance message board in which he failed to disclose the fact that he was a registered representative and the name of the member firm with which he was associated. NASD also found that the representative posted 15 messages in which he made statements containing predicted or projected investment results and that, in one message, he made exaggerated, unwarranted, or misleading statements. NASD found that the registered representative violated NASD rules, fined the representative $10,000, and suspended him in all capacities for 40 days.

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