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Galena Biopharma, Inc. Message Board

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  • casserta Jan 20, 2012 11:00 AM Flag

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

    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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