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To: Yiqun Xie who wrote (16043)1/4/1999 4:18:00 PM
From: Patrick Slevin  Read Replies (1) | Respond to of 17305
 
How did you cancel the order, by phone or how?

Also, if the trade occurred on the 29th and the stock was not at 5.62 then ask them for the time and sales of the trade.

The regulatory agency to file a complaint with is the NASD, if I recall correctly.

In any event, insist on the time and sales. If they refuse that it may be grounds enough for the NASD to step in.



To: Yiqun Xie who wrote (16043)1/4/1999 10:31:00 PM
From: Patrick Slevin  Read Replies (2) | Respond to of 17305
 
One last thing, make extra certain you keep the confirm that says you were filled on the 29th; I see it traded all around the 5.62 level on the 28th.

Opening at 5 and trading down from there should have given you a fill no higher than 5 bucks on the 29th, even if the Kill order was fouled up. At worst, you can dump it at the Open for a quarter point profit I suppose if you can straighten it out before that time.


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