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SEC COMMISSION OPINION
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EXTRACTED KEY WORDS
NASD SECURITIES COMMISSION MT3M UNSUITABLE RECOMMENDATIONS METLIFE PRIVATE SECURITIES TRANSACTIONS MEMBER DISCIPLINARY ACTION VIOLATION CUSTOMERS GENERAL PARTNERSHIP INVESTMENT REVIEW NATIONAL ASSOCIATION LIFE INSURANCE SECURITIES EXCHANGE ACT MAXIMO JUSTO GUEVARA MEMBER FIRM SECURITIES DEALERS LIFE INSURANCE COMPANY MT3M UNITS HEARING PANEL EQUITABLE PRINCIPLES PROHIBITED PRIVATE SECURITIES SMR SYSTEM APN GENERAL PARTNERSHIP AGREEMENT GUEVARA CLAIMS |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Rel. No. 42793 / May 18, 2000 Admin. Proc. File No. 3-9838 _____________________________________________________ In the Matter of MAXIMO JUSTO GUEVARA 8540 Forrest Avenue Philadelphia, PA 19150 For Review of Disciplinary Action Taken by the NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. _____________________________________________________ Opinion of the Commission REGISTERED SECURITIES ASSOCIATION -- REVIEW OF DISCIPLINARY PROCEEDINGS Violations of Conduct Rules Just and Equitable Principles of Trade Suitability Private Securities Transactions Registered representative made unsuitable recommendations and engaged in prohibited private securities transactions. Held, association's findings of violation and sanctions imposed are sustained. APPEARANCES Maximo Justo Guevara, pro se. Alden S. Adkins and Norman Sue, Jr., for NASD Regulation, Inc. Appeal Filed March 1, 1999 Briefing Completed June 24, 1999SNIPPETS: |
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