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Galena Biopharma, Inc. Message Board

  • linwardg linwardg Jan 20, 2012 10:48 AM Flag

    roth stinks? this coming from a guy named after a puppet who lives in a trash can!

    roth stinks? this coming from a guy named after a puppet who lives in a trash can! Can you at least get more creative?! LOL

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    • casserta Jan 20, 2012 11:00 AM Flag

      Roth Capital Partners, LLC (CRD #15407, Newport Beach, California) submitted a Letter
      of Acceptance, Waiver and Consent in which the firm was censured and fined $25,000.
      Without admitting or denying the findings, the firm consented to the described
      sanctions and to the entry of findings that it failed to properly mark short sale orders
      as short and transmitted reports to OATS that omitted desk timestamps, contained
      inaccurate timestamps and/or incorrectly included a received method code of “E.” The
      findings stated that the firm failed to maintain complete and accurate brokerage order
      memoranda. The findings also stated that the firm incorrectly denoted short sales as
      long, failed to show that orders were “not held,” failed to show the execution times and
      indicate whether orders were “held” or “not held,” and failed to show accurate order
      receipt times. The findings also included that the firm, during one calendar quarter,
      failed to make a complete and accurate report on its routing of non-directed orders
      in covered securities available during that quarter. (FINRA Case #2008013374602)


      You pumps working for ROTH or whut?


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