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Microcap & Penny Stocks : Rocky Mountain Int'l (OTC:RMIL former OTC:OVIS) -- Ignore unavailable to you. Want to Upgrade?

To: Riley G who wrote (19656)	11/18/1997 8:26:00 PM
From: TideGlider	Read Replies (1) \| Respond to of 55532

You were told by NASD investigators that they are scrutinizing Kugler? Well, if that is true it is indeed a serious matter. However, I don't believe the NASD has anything but private authority to regulate matters that they have some involvement. Isn't the NASDAQ concerned more with regulatory and administrative irregularities that are alleged or discovered to be originated with their subsribers. If you saying that his affiliation with a brokerage assigns a responsibility to NAZ to investigate impropriety on the part or Kugler and the NAZ affliliated (subscriber/broker) , I would believe you are correct. Are you accusing Kugler of cold calling brokers to solicit the sales of RMIL stock? If so that would be the jurisdiction of the SEC and the individual state jurisdictions rather than the NAZ to pursue criminal and /or regulatory violations of rules and statutes. Bruce