Regulation & Compliance

Acting as Rocky Mountain Securities & Investments Inc.'s (RMSI) President, Director, Registered Financial and Operations Principal (FINOP), and Compliance Officer, Stephen J. Horning was a jack-of-all-trades unfortunately, he appeared not to be a master of any. Horning was solely responsible for supervision of the Trading Department as well as the three-person Operations Department, which was run

byBill Singer