Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Wednesday, September 24, 2014

FINRA Blacklists Curt Kramer, Mazuma and Asher Enterprises


Going Public LawyerECOS attached FINRA s letter to Michael Siegel, president and chief executive officer of Ecolocap, as Exhibit 99.1 to the filing.  The letter informed Siegel of its decision.  FINRA acted pursuant to the provisions of Rule 6490, which allows it to refuse to process corporate action requests in some circumstances. In this matter, the regulator determined that Ecolocap s request was deficient... Read MoreGoing Public Lawyer
http://www.securitieslawyer101.com/2014/finra-blacklists-curt-kramer-mazuma-asher-enterprises/

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