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Microcap & Penny Stocks : HITSGALORE.COM (HITT) -- Ignore unavailable to you. Want to Upgrade?

To: Tom Terf who wrote (4393)	10/7/1999 10:45:00 PM
From: Q.	Read Replies (4) \| Respond to of 7056

NASDR lists 8 brokers named Peter Foley. I got the records from the site www.nasdr.com Two of them are interesting. Their middle names differ, but their CRD numbers are almost the same, 210650 and 210651. I wonder if they are related parties who registered at the same time. Mr. 210651 looks less interesting at first glance, but Mr. 210650 is a humdinger ... Mr. 210650 no longer is registered, which is interesting. He previously had 18 employers. The most recent was in LaJolla, CA. The list, which I paste below, includes one I recognize: the notorious penny stock broker A. R. Baron. His employment there ended April 1996. Notice what happened the next month, according to reports at www.sec.gov: "On May 29, 1996, the Commission issued a Temporary Cease-and-Desist Order against Baron to halt fraudulent practices." Among his other previous employers were "The Foley Group" and "Foley & Raplan." I haven't received his disciplinary record yet, but here's his employment list. Note the rapid changing of employers, which is typical of penny-stock brokers. -------------------------------------------- File for: Data Current as of: 09/24/1999 CRD# 210650 PETER HARGITT FOLEY PREVIOUS EMPLOYMENT Employing Firm: RICHMARK CAPITAL CORPORATION Firm CRD Number: 43162 Office of Employment Address: LA JOLLA, California 92037 Start Date: 03/01/1999 End Date: 05/25/1999 Positions Held: Employing Firm: MERIDIAN CAPITAL GROUP, INC. Firm CRD Number: 36717 Office of Employment Address: NEWPORT BEACH 92660-1842 Start Date: 09/23/1998 End Date: 02/19/1999 Positions Held: Employing Firm: L.H. FRIEND, WEINRESS, FRANKSON & PRESSON, INC. Firm CRD Number: 14152 Office of Employment Address: IRVINE 92612 Start Date: 06/16/1998 End Date: 08/31/1998 Positions Held: Employing Firm: WALDRON & CO., INC. Firm CRD Number: 868 Office of Employment Address: IRVINE 92612 Start Date: 04/28/1998 End Date: 06/01/1998 Positions Held: Employing Firm: WALDRON & CO Firm CRD Number: Office of Employment Address: IRVINE Start Date: 04/01/1998 End Date: 06/01/1998 Positions Held: Employing Firm: THE FOLEY GROUP Firm CRD Number: Office of Employment Address: LAGUNA HILLS Start Date: 08/01/1997 End Date: 04/01/1998 Positions Held: Employing Firm: CRUTTENDEN ROTH INCORPORATED Firm CRD Number: 15407 Office of Employment Address: IRVINE, California 92612 Start Date: 05/01/1997 End Date: 08/22/1997 Positions Held: Employing Firm: GILFORD SECURITIES INCORPORATED Firm CRD Number: 8076 Office of Employment Address: NEW YORK, New York 10022 Start Date: 04/16/1996 End Date: 04/30/1997 Positions Held: Employing Firm: A. R. BARON & CO., INC. Firm CRD Number: 29285 Office of Employment Address: NEW YORK 10022 Start Date: 09/26/1995 End Date: 04/01/1996 Positions Held: Employing Firm: RICKEL & ASSOCIATES, INC. Firm CRD Number: 7839 Office of Employment Address: NEW YORK, New York 10022 Start Date: 06/05/1995 End Date: 09/13/1995 Positions Held: Employing Firm: THE FOLEY GROUP Firm CRD Number: Office of Employment Address: IRVINGTON Start Date: 04/01/1995 End Date: 06/01/1995 Positions Held: Employing Firm: HORNBLOWER & WEEKS, INC. Firm CRD Number: 4683 Office of Employment Address: NEW YORK 10022 Start Date: 01/15/1995 End Date: 03/16/1995 Positions Held: Employing Firm: THE FOLEY GROUP Firm CRD Number: Office of Employment Address: IRVINGTON Start Date: 07/01/1994 End Date: 01/01/1995 Positions Held: Employing Firm: RAS SECURITIES CORP. Firm CRD Number: 28212 Office of Employment Address: NEW YORK 10004-2801 Start Date: 12/03/1993 End Date: 07/29/1994 Positions Held: Employing Firm: THOMAS JAMES ASSOCIATES, INC. Firm CRD Number: 15609 Office of Employment Address: NEW YORK 10038 Start Date: 11/09/1993 End Date: 11/01/1993 Positions Held: Employing Firm: IICC - TRADECO, INC. Firm CRD Number: 13205 Office of Employment Address: NEW YORK 10038 Start Date: 06/01/1992 End Date: 12/15/1993 Positions Held: Employing Firm: INSTITUTIONAL INVESTORS CONSULT. CO. Firm CRD Number: Office of Employment Address: NY Start Date: 12/01/1991 End Date: 10/01/1993 Positions Held: Employing Firm: THE FOLEY GROUP Firm CRD Number: Office of Employment Address: IRVINGTON Start Date: 12/01/1991 End Date: 06/01/1992 Positions Held: Employing Firm: EB ADVISORS Firm CRD Number: Office of Employment Address: NY Start Date: 09/01/1990 End Date: 11/01/1991 Positions Held: Employing Firm: FOLEY & RAPLAN Firm CRD Number: Office of Employment Address: DENVER Start Date: 08/01/1990 End Date: 02/01/1991 Positions Held: Employing Firm: R A F FINANCIAL CORPORATION Firm CRD Number: 1398 Office of Employment Address: DENVER 80202 Start Date: 12/26/1989 End Date: 08/03/1990 Positions Held: Employing Firm: J. T. MORAN & CO., INC. Firm CRD Number: 15655 Office of Employment Address: NEW YORK 10004 Start Date: 01/16/1989 End Date: 11/29/1989