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Microcap & Penny Stocks : Rocky Mountain Int'l (OTC:RMIL former OTC:OVIS)
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To: Pugs who wrote (19597)11/18/1997 7:26:00 PM
From: Riley G  Read Replies (2) of 55532
 
Another past poster on the SI thread that was caught dead in his tracks when he posted his slander with other nays!

Riley G
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sec.gov
CORRECTION TO HEADING REGARDING ROBERT QUIEL

On September 12, the Digest included an article titled ROBERT QUIEL FOUND TO HAVE PROVIDED INFORMATION TO THE NASD (Rel. 34-39056). The title should have read ROBERT QUIEL FOUND TO HAVE FAILED TO PROVIDE INFORMATION TO THE NASD.

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ROBERT QUIEL FOUND TO HAVE PROVIDED INFORMATION TO NASD

The Commission sustained NASD disciplinary action against Robert A.Quiel. The NASD had found that Quiel failed to give provide information requested by the NASD's staff and failed to cooperate with the NASD's investigation. The NASD censured Quiel, fined him $12,500, suspended him for 30 days, and required Quiel to requalify as a general securities representative.

The NASD sent Quiel a series of letter regarding his trading activities in certain securities and his receipt of certain funds. Although Quiel indicated in one of his responses that he was unable to provide any information to the NASD, Quiel admitted at the National Business Conduct Committee hearing that he in fact had responsive information. Quiel also claimed that he was unable to respond because he had lost or misplaced certain records. Quiel, however, failed to inform the NASD about the circumstances of the records' disappearance or any efforts that he had taken to locate them. The Commission sustained the NASD's sanctions against Quiel.
Rel. 34-39056

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