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Microcap & Penny Stocks : THNS - Technest Holdings (Prev. FNTN) -- Ignore unavailable to you. Want to Upgrade?

To: don roberson who wrote (2576)	8/1/1998 8:35:00 AM
From: MskiHntr	Read Replies (1) \| Respond to of 15313

Bill is right, the large houses and many of the smaller ones attempt to dissuade individuals from dealing in low priced issues. My firm is typical, all orders of this nature have to be marked "unsolicted". But it is of small consolation should a client decide to take you to arbitration if the issue goes belly up. The client takes the position that they are not as informed as the broker and the broker should have taken sterner measures to not let them put on the trade. However, some firms will permit senior brokers to solicit orders for small or microcaps AFTER they have presented their Due Diligence to the firm's Research and Compliance Departments. Very few get through, but if the story checks out, then they will give permission to solicit orders for the stock. Best,