Rocky Mountain Int'l (OTC:RMIL former OTC:OVIS) Message Board

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

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To: tonto who wrote (37570)	1/21/1998 8:48:00 AM
From: tonto	Read Replies (2) of 55532

Market Maker: COMMISSION SUSTAINS NASD ACTION AGAINST JOHN FIERO The Commission has sustained disciplinary action taken by the NASD against John J. Fiero of Jersey City, New Jersey. Fiero is president and sole owner of Fiero Brothers, Inc., an NASD member firm. The NASD censured Fiero, fined him $20,000, and suspended him for six months. The Commission found that Fiero improperly refused to be interviewed in an NASD investigation unless he was allowed to obtain a copy of his transcript as soon as it was available. The Commission noted that NASD members and their associated persons had previously been warned that they could not impose conditions on their obligation to supply the NASD with requested information. In sustaining the sanctions assessed by the NASD, the Commission stated that "Fiero's obstructionist tactics threatened the public by impeding the NASD in carrying out its regulatory mandate to protect public investors." (Rel. 34-39544; File No. 3-9274) Was Fiero at one time an RMIL market maker? Could he be/have been a naked short?

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