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Technology Stocks : Stock Swap
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To: Yiqun Xie who wrote (16067)1/9/1999 4:47:00 AM
From: Patrick Slevin  Read Replies (1) of 17305
 
I can't understand why you cannot speak with a compliance officer, they say you must "write" to them?

This is a garbage outfit, man.

Yes, I think you should pursue Time and Sales of the trade from them but meanwhile start compiling all this stuff...including the fact that you are not able to speak with a compliance officer....and get off a complaint to the local NASD,

The heck with them. Make them work for a living. It sounds like a boiler room outfit to be honest.

EDIT: the longer you wait (to make a complaint) the more difficult it is.
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