Anthony @ Equity Investigations, Dear Anthony, Message Board

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Strategies & Market Trends : Anthony @ Equity Investigations, Dear Anthony,

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To: Sword who wrote (20480)	3/14/1999 5:52:00 PM
From: Richard Miller	Read Replies (1) of 122087

A familiar name... Who could that other market maker he harassed be? Jerome Edward Rosen, a broker, of Miami, was fined $62,000 and suspended for six months based on findings that he engaged in anti-competitive harassment of another market maker by making a series of telephone calls to the broker in which he attempted to harass the broker for engaging in competitive trading and entering competitive quotations, and otherwise attempted to improperly influence and/or interfere with the broker's competitive activities. Rosen also made certain threatening statements to the broker. The findings also stated that Rosen backed away from a specific order another broker placed with him at his quoted bid or offer for a Nasdaq SmallCap security. Rosen has appealed this action to the NAC and the sanctions are not in effect pending consideration of the appeal.

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