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Subject:  Re: BruceM, et. al. Date:  8/14/2007  5:45 PM
Author:  dinkysue Number:  58878 of 88764

Do you or anyone else know the section of the law that governs those that give investment advice, making them legally liable, even if they are not licensed to give advice? I am trying to convince the guy to threaten to take her before the regulatory bodies unless she covers his expenses. I had thought it was Rule 3040 but that deals with Selling Away.

I believe that tarring and feathering is still legal in some states which would be a good start.

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