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

To: michael d kugler who wrote (20192)11/19/1997 11:38:00 PM
From: John Gault  Read Replies (1) | Respond to of 55532
 
Mike, to tell you the truth I don't know how they eventually did it and I'd rather not say who my former broker was. I've had alot of problems and just told them to send me my money and I'll open an account somewhere else. However that investigator told me I could get my monet back. Blue Sky Law. Mork also suggested that if that didn't work, write to the NASD and tell them that my broker sold me a stock that was in violation of rule 15c-2-11. Thanks mork



To: michael d kugler who wrote (20192)11/20/1997 12:13:00 AM
From: Riley G  Read Replies (1) | Respond to of 55532
 
Do I see collusion between a known Stock Supervisor and a past shareholder. Selling stock not in position is not a hard, I can do it from my accounts, and so can many others. Seems that some don't know what they are allowed to do.

You sell stock not in account and you have to cover that sell with a stock certificate within T+3...Now is that hard!

RG


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