April 30, 2014
Cap’n Cashbags: Passing on Stock Tips
– Broc Romanek, CompensationStandards.com
In this 30-second video, Cap’n Cashbags – a CEO – passing on a stock tip to earn a little extra money. The digested napkin parrots the fact pattern from a recent SEC enforcement action against a broker and law firm clerk (here’s the SEC’s complaint against them):