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To: sergio who wrote (16069)	1/9/1999 1:44:00 PM
From: Patrick Slevin	Read Replies (1) of 17305

Gee, never heard of that before and here it show up twice in one day. I have had only one occasion to speak with one, but when I worked for a broker the Compliance Dude was always available....he had to be. The place I had a problem with was Lind-Waldock and they have a veritable team of Compliance Dudes; every time I called during that week from hell I got a different guy....and I called a lot. I had every intention of driving them nuts. But as soon as the NFA was contacted the problem was straightened out the following day. I imagine L-W needs a lot of Compliance Officers...they really don't want to know your name if there is a problem.

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