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

To: s martin who wrote (52269)	9/16/1998 12:17:00 PM
From: Riley G	Read Replies (2) \| Respond to of 55532

-----BEGIN PGP SIGNED MESSAGE----- Hash: SHA1 An yet many of you that failed to call your certificates think these things don't happen. WAKE UP PEOPLE and get those cert's ordered, and call 954-565-9292 if you have any questions to ask the Company. Riley G _____________________________________________ biz.yahoo.com - -- NASD Regulation Fines DLJ $100,000 for Trading Halted Stock WASHINGTON, Sept. 16 -- NASD Regulation, Inc., today announced that it has fined Donaldson, Lufkin & Jenrette Securities $100,000 for executing a trade of a New York Stock Exchange (NYSE) listed security during a trading halt imposed by The Nasdaq Stock Market(R) and the NYSE. The firm was also censured. The security in question was traded in the third market. Over-the-counter trading of exchange-listed securities is commonly known as third-market trading. Third-market transactions are effected by NASD member brokerage firms and are reported to Nasdaq(R). On January 29, 1997, Nasdaq and the NYSE halted trading in the security at 9:31 a.m., based on news that the company planned to restate its earnings. Trading did not resume until 2:02 p.m. on January 31, 1997. NASD Regulation(SM) found that DLJ arranged buy and sell orders for a total of 6,511,900 shares of the company's stock on behalf of 29 separate customer accounts during the trading halt. The firm transmitted the orders -_ which had already been matched together -_ to an offshore, non-NASD member brokerage firm that completed them as a crossing transaction. Offshore brokerage firms are located outside of the United States and, therefore, are not required to be members of the National Association of Securities Dealers, Inc. (NASD(R)). DLJ, which neither admitted nor denied NASD Regulation's findings, was sanctioned for violating the NASD's rule that states no broker or brokerage firm ''shall, directly or indirectly, effect any transaction in a security as to which a trading halt is currently in effect.'' NASD Regulation oversees all U.S. stockbrokers and brokerage firms. NASD Regulation, and The Nasdaq Stock Market, Inc., are subsidiaries of the NASD, the largest securities-industry self-regulatory organization in the United States. -----BEGIN PGP SIGNATURE----- Version: PGP for Personal Privacy 5.5.2 iQA/AwUBNf/jjbFObXc9mw01EQKwMwCfaOA3UUK5s84XO9h8j3NpHdGk8RAAoJ3R cBlA/DtQOSbFNG5MUQquFK0P =qvy5 -----END PGP SIGNATURE-----

To: s martin who wrote (52269)	9/16/1998 12:58:00 PM
From: Rich_1	Read Replies (1) \| Respond to of 55532

SMartin, like over at AZNT, you appear very disturbed about something. Why is it that the short sellers need to have this letter posted? For once in your SI posting career, how about leaving shareholders alone for once. I still can't believe that it was you who called up BMart's wife and was harassing her. You know, if I didn't like a company, the last thing that I would do is relentlessly harass the investment and its shareholders. However, if I needed to defend a significant short position, I would behave exactly like SMartin. Thank you for your constant reminder that the short sellers are still thinking about us. Rich_1