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Microcap & Penny Stocks : Rocky Mountain Int'l (OTC:RMIL former OTC:OVIS)

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To: michael d kugler who wrote (14229)11/6/1997 1:47:00 AM
From: Tom R. Clarksburg  Read Replies (1) of 55532
 
Amazing you still don't get it. Thereis no need to file 13D for that type of holding because the 950,000shares are in separate accounts, they are not under my firm's name. I own more than 30% of 3 small cap stocks for my clients and have never been required to file because when the DTC pulls up the records, they see that the 1.5M shares of XYZ company I own is not under my firm's name they are under each inviduals clients' name.

You should know that?? You are supposedly a broker.
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