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Technology Stocks : Research Frontiers (REFR)

REFR 1.847

-1.2%

Nov 14 9:30 AM EST

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N. Dixon

To: StockDung who wrote (8222)	1/5/2014 12:59:53 PM
From: ravenseye	1 Recommendation of 50167

Regulatory sanctions[edit] In November 2000, the NASD (now FINRA) sanctioned Asensio & Company Inc. and Manuel Asensio, for Short Selling, Trade Reporting, and Internet Advertising Violations.[5] In July 2006, the National Adjudicatory Council of the NASD upheld a hearing panel's ruling[6] that barred Asensio "from association with any NASD member in any capacity" and fined him $20,000. The NASD barred Asensio and his firm for failing to respond to requests for information. It found that Asensio made statements in research reports that criticized PolyMedica Corp. that were "misleading," by stating incorrectly that he was shorting the company when he was not, and by making similar disclosure rule violations.[7][8] Asensio denied wrongdoing.[8] All appeals were denied. In August 2007, Asensio Brokerage Services, Inc. nka Integral Securities, Inc. was expelled by FINRA for failure to pay fines and/or costs.[9] en.wikipedia.org lma(zz)o is that exposed enough? hurry, get your yellow journalist cohort to do a wikipedia edit!

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