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Technology Stocks : Top Image Systems Ltd. (TISA) -- Ignore unavailable to you. Want to Upgrade?

To: RagTimeBand who wrote (339)	11/10/1999 1:37:00 PM
From: RagTimeBand	Read Replies (1) \| Respond to of 436

NASDAQ: How to File a Customer Complaint or Regulatory Tip nasdr.com An explanation of the steps to take in filing a customer complaint or regulatory tip (including sending an Internet complaint or tip), and how NASD Regulation staff investigate complaints. ------------------- The above may not apply to the TiS situation. Further on in the document it says: "...If you believe that you have been defrauded by a broker/dealer, brokerage firm, investment advisor, or other industry professional, you may choose to file a customer complaint or a regulatory tip. Who should file a customer complaint? A "customer complaint" may be filed by a customer, or person acting on behalf of a customer, who feels they have been subjected to improper business practices involving their broker or brokerage firm. Who should file a regulatory tip? A "regulatory tip" may be filed by an investor, industry member or professional who is aware of instances of unfair practices, fraud, or abusive conduct involving brokers or brokerage firms."