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Pastimes : Brokerage-Chat Site Securities Fraud: A Lawsuit -- Ignore unavailable to you. Want to Upgrade?

To: SmoothSail who wrote (400)	7/1/2001 1:58:28 AM
From: CountofMoneyCristo	Read Replies (1) \| Respond to of 3143

<font color=blue>SEC Response: September 18, 2000 BY US MAIL AND E-MAIL Mr. Oliver L.F. Asser [Address Deleted] Re: Trading Places and Chris Rea Dear Mr. Asser: Thank you for the information you have provided to the Securities and Exchange Commission (“SEC”) regarding Trading Places and Chris Rea. I am in receipt of the numerous e-mail messages you have sent to me and to other SEC staff and offices, including the Enforcement Complaint Center. I also understand that Susan Mathews, Senior Counsel in Enforcement’s Chief Counsel’s Office, has spoken with you about these issues. I can assure you that the SEC appreciates receiving information from members of the public regarding potential violations of the federal securities laws and is giving the information you have provided serious consideration. As we discussed during our four lengthy telephone conversations, Trading Places is not registered with the Commission. Therefore, the SEC cannot, as you suggest, arrive unannounced at the offices of Trading Places and search and seize documents. In our telephone conversations I also informed you that I forwarded your allegations regarding what you label as a “payment-for-order-flow” agreement between Trading Places and both Lind-Waldock and Zap Futures to the appropriate agency, the Commodities Futures Trading Commission (CFTC). SEC staff will contact you if we need any additional information relating to these matters. However, due to the volume and frequency of your e-mails and telephone calls, the SEC will no longer respond in writing to your inquiries relating to these matters. Very truly yours, Lindsey H. Simon Attorney, Division of Enforcement CC: Richard Walker, Director, Division of Enforcement Susan Mathews, Senior Counsel, Division of Enforcement John Stark, Internet Fraud Division Senator Susan Collins Senator Carl Levin Mr. Bob Roach, Staff Member, Permanent Subcommittee on Investigations, Committee on Governmental Affairs Gretchen Morgenson, Assistant Business and Financial Editor, The New York Times