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SEC COMMISSION OPINION
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EXTRACTED KEY WORDS
NASD PRINCIPALS COMMISSION EXCHANGE ACT SECURITIES TRADE REVIEW REGISTRATION RULE REPRESENTATIVES FIRM NATIONAL ASSOCIATION ACTING SUPERVISOR DISCIPLINARY ACTION SECURITIES DEALERS PROCEEDING MEMBERSHIP COMPLIANCE VIOLATION ALEXANDER SUPERVISE GORDON KERR DISQUALIFICATION MEMBER FIRM TESTIMONY SUPERVISED EMPLOYEE RESPONSIBILITIES CALIFORNIA EQUITABLE PRINCIPLES |
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.
SECURITIES EXCHANGE ACT OF 1934
Rel. No.43418 / October 5, 2000
Admin. Proc. File No. 3-10133
In the Matter of the Application of
GORDON KERR
1718 Chapel Hill Drive
Walnut, California 91789
For Review of Disciplinary Action Taken by the
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
Opinion of the Commission
REGISTERED SECURITIES ASSOCIATION -- REVIEW OF DISCIPLINARY PROCEEDING
Violations of By-Laws, Membership and Registration Rules, and Conduct
Rules
Acting as Principal when Barred
Failure to Comply with Registration Requirements
Just and Equitable Principles of Trade
Registered representative who was barred from acting as a principal
performed principal duties in violation of Commission order and
registration requirements. Held, association's findings of violation
and its assessment of sanction are sustained.
APPEARANCES
Gordon Kerr, pro se.
Alden S. Adkins, Norman Sue, Jr., Susan L. Beesley, and Alan B.
Lawhead, for NASD Regulation, Inc.
Appeal filed January 12, 2000
Last brief received July 21, 2000
I.
Gordon Kerr, a registered representative with a National Association
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