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Microcap & Penny Stocks : ProNetLink..(PNLK)

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To: lazarre who wrote (4072)	5/14/1998 7:46:00 PM
From: Pakman2000	Read Replies (4) of 8242

CHATFIELD......... First POST here: Chatfield Dean & Co. (Greenwood Village, Colorado) and Scott Carothers (Registered Principal, Greenwood Village, Colorado) submitted a Letter of Acceptance, Waiver and Consent pursuant to which they were fined $25,000, jointly and severally. Carothers was suspended from association with any NASD member as a financial and operations principal for 10 business days and required to requalify by exam as a financial and operations principal. Without admitting or denying the allegations, the respondents consented to the described sanctions and to the entry of findings that the firm, acting through Carothers, conducted a securities business while failing to maintain its minimum required net capital

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