SI
SI
discoversearch

We've detected that you're using an ad content blocking browser plug-in or feature. Ads provide a critical source of revenue to the continued operation of Silicon Investor.  We ask that you disable ad blocking while on Silicon Investor in the best interests of our community.  If you are not using an ad blocker but are still receiving this message, make sure your browser's tracking protection is set to the 'standard' level.
Microcap & Penny Stocks : Rocky Mountain Int'l (OTC:RMIL former OTC:OVIS)
 Public ReplyPrvt ReplyMark as Last ReadFilePrevious 10Next 10PreviousNext  
To: s martin who wrote (21549)11/25/1997 2:03:00 PM
From: Riley G  Read Replies (3) of 55532
 
Is this you?

RG
-----

Subject: Re: Steven Martin

At 10:46 AM 11/25/97 -0800, you wrote:
>Can this Steven Martin be the same s martin?
>http://www.nasdr.com/2720/9711dis.txt

Disciplinary Actions Disciplinary Actions Reported For November
NASD Regulation, Inc. (NASD RegulationSM) has taken disciplinary actions
against the following firms and individuals for violations of National
Association of Securities Dealers, Inc. (NASDr) rules; federal securities
laws, rules, and regulations; and the rules of the Municipal Securities
Rulemaking Board. Unless otherwise indicated, suspensions will begin with
the opening of business on Monday, November 17, 1997. The information
relating to matters contained in this Notice is current as of the end of
October 24.

---cut to findings------
Steven Wayne Martin (Registered Representative, Whitehouse, Texas) was fined
$22,000, suspended from association with any NASD member in any capacity for
18 months, and ordered to requalify by exam. The sanctions were based on
findings that Martin failed to timely respond to NASD requests for
information.
Martin also submitted to his member firm an annual compliance checklist form
that contained false and misleading responses to questions.
Report TOU ViolationShare This Post
 Public ReplyPrvt ReplyMark as Last ReadFilePrevious 10Next 10PreviousNext  

HomeMailHotSubjectMarksPeopleMarksKeepersSettings
Terms Of UseContact UsCopyright/IP PolicyPrivacy PolicyAbout UsFAQAdvertise on SI
© 2025 Knight Sac Media.  Data provided by Twelve Data, Alpha Vantage, and CityFALCON News