Paid seller listed without a CRD number: Dundee Securities Corporation — Palliser Oil & Gas Corp
Dundee Securities Corporation is listed as receiving sales compensation on 1 filing (Mar 18, 2010) with no FINRA CRD number given.
What this means People paid to sell securities normally hold a FINRA registration with a CRD number. Without one we cannot look them up on BrokerCheck. Ask who they are and whether they are registered.
Sources
- Form D · Mar 18, 2010 ↗ (Mar 18, 2010)
- BrokerCheck search: Dundee Securities Corporation ↗
- Palliser Oil & Gas Corp — PartnerFacts page ↗ (Mar 18, 2010)