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Strategies & Market Trends : Anthony @ Equity Investigations, Dear Anthony, -- Ignore unavailable to you. Want to Upgrade?

To: pilapir who wrote (76516)	5/24/2002 7:12:38 PM
From: mmmary	Respond to of 122087

SEC laws about disclosing legal past I believe there is a regulation that requires CEOs and such to disclose whether or not they've been involved in a securities or fraud lawsuit within five years of becoming the CEO initially. Scammy CEOs find a way around this. Some of them come in through the back door like the CEO of ASTN. He had a financial fraud case on his record and a ding from NASD so he was not the CEO when ASTN first started. He waited until he found a way to get it off his record. The CEO of NPCT is also very suspect. He was sued by the SEC three times for fraud. They made him restate the books of another. The thing is he settled with them so he was never "found guilty" so he doesn't have to disclose it. It's up to the investors to do their DD and research every person in management. I use Pacer and Court Link, both pay services, to dig up lawsuits about management besides sec.gov . Here's my DD on suspect npct mary.cc