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Microcap & Penny Stocks : Zia Sun(zsun) -- Ignore unavailable to you. Want to Upgrade?

To: Sir Auric Goldfinger who wrote (473)	4/15/1999 3:28:00 PM
From: StockDung	Respond to of 10354

Is there a guy named "Lowther" in any of ZSUN's press releases or domaine names? A guy named "Angel" seems like a nice name, Must go with that Titan Motorcycle IPO

To: Sir Auric Goldfinger who wrote (473)	4/15/1999 3:28:00 PM
From: StockDung	Respond to of 10354

Is there a guy named "Lowther" in any of ZSUN's press releases or domaine names? A guy named "Angel" seems like a nice name, Must go with that Titan Motorcycle IPO

To: Sir Auric Goldfinger who wrote (473)	4/15/1999 7:29:00 PM
From: StockDung	Read Replies (2) \| Respond to of 10354

Firm Suspended, Individual Sanctioned Patterson, Travis, Inc. (New York, New York) and David T. Travis (Registered Principal, Englewood, Colorado) submitted an Offer of Settlement pursuant to which they were censured, and fined $35,000, jointly and severally. Travis was suspended from association with any NASD member in any principal capacity for 20 business days, and the firm was suspended from participation in any initial public offering of any security meeting the definition of “penny stock” for one year. In addition, the firm was required to retain, at or about three months prior to the conclusion of the suspension from participation in “penny stock” underwritings, an independent consultant to review the firm's policies, practices, and procedures with respect to the sale of penny stocks and provide the NASD a copy of the report, together with documentation of the changes implemented by the firm as a result of the consultant's review. Without admitting or denying the allegations, the respondents consented to the described sanctions and to the entry of findings that the firm, acting through Travis, maintained inventory in amounts exceeding the maximum inventory value permitted by its restriction agreement and employed more registered representatives than its restriction agreement allowed. The findings also stated that the firm, acting through Travis, offered securities in an initial public offering that met the definition of a “penny stock,” but did not comply with Securities and Exchange Commission (SEC) Rules 15g-2, 15g-5, and 15g-9 in connection with the offer and sale of those securities. Furthermore, the NASD determined that the firm, acting through Travis, failed to supervise three individuals and to establish written supervisory procedures reasonably designed to achieve compliance with rules regarding the conduct of business by unregistered persons.