Greg:
I have a question about your audio interview, in which you promote
your stock. (This recording can be found at
wallstreetinterview.com.
I noticed that you repeated several times that your entire adult life
has been devoted to 'investment banking'. You reported that you
received your license, presumably to be a broker, at age 19, and that
you bought the brokerage you worked for.
I'm just curious why you omitted numerous material facts, such as:
* Your business went bankrupt.
* The NASD barred you from from the securities business in 1990 for:
- manipulating a stock,
- for selling stocks through unregistered accounts,
- for failing to inform customers of material facts
- for making "false, inaccurate and misleading statements to the staff of the NASD.
* The NASD censured you.
* The NASD slapped you a $200,000 fine, one of their biggest ever.
* Before the 1990 ban, the NASD suspended you for:
- distributing a misleading fund solicitation letter earlier,
- for failing to keep accurate books and records.
Isn't it true that by omitting these facts from your biography in
your audio interview that you are once again doing one of the things
that the NASD banned you for: failing to inform customers of material
facts?
Shouldn't these material facts be included with all your professional
biography whenever it relates to promoting your stock, or anybody
elses?
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