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Technology Stocks : Stock Swap -- Ignore unavailable to you. Want to Upgrade?

To: Patrick Slevin who wrote (16065)	1/8/1999 10:31:00 PM
From: Yiqun Xie	Read Replies (1) \| Respond to of 17305

Patrick, I appreciate your information and advise. I called NDB customer service and requested to talk to the compliance department. I was informed that I can only write to them. They gave me the fax number so I faxed a letter to the compliance department on 1/5/99 along with the "account activity" I printed from "customer login" website, which shows the trade date was 12/29/98. In the letter I requested the time and sales of the trade, and the time they received my cancellation order. They never respond. I also emailed NDB customer service. No response. After I sent out the fax, I received the trade confirmation. There were 5 trades, of which 3 were purchases of 1000 shares of HLX, two were sells of 1000 shares of HLX, all at price of $5.625. The dates shown on the confirmations were 12/28/98 and 12/29/99, although the trade was never shown on my web until 12/29/98, and the "account activity" shows 12/29/98 and 12/30/98 for those trades. Apparently they researched the trade and made correction, and recorrection, then rerecorrection, and finally rererecorrection. They informed me in the new year long weekend by leaving a message in my answer machine that they did nothing wrong, and never bother to mind my request again. It is possible that they did the trade on 12/28/98, but did not post it on my account until 12/29/98. So the order was showing as "open order" in my account in 12/28/98 evening. If they did that, then they were executing my order correctly, but I lost the chance to sell it at the same day (12/28/98) and bought it back the next day at much lower price. I am still holding HLX and the price has risen enough that made the trade profitable. But I could have made more money. At least I should get the time of the trade from NDB, right? I shall call them again on Monday. What do you think?