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SEC COMMISSION OPINION
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EXTRACTED KEY WORDS
NASD SECURITIES FAILURE MEMBER FIRM SANCTIONS LYNBROOK VIOLATIONS MERIDIAN DUNHILL BANKRUPTCY SECURITIES EXCHANGE ACT COMMISSION YORK BOOKS FORM BDW NATIONAL ASSOCIATION SECURITIES DEALERS REGISTERED SECURITIES RECORDKEEPING REQUIREMENTS FORMER MEMBER OBLIGATION BANKRUPTCY COURT NAC DISCIPLINARY PROCEEDING RESPONSIBILITY DISTRICT COMMITTEE INSPECTION PROCEDURAL RULE BANKRUPTCY PETITION |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Rel. No. 42359 / January 28, 2000 Admin. Proc. File No. 3-9776 In the Matter of the Application of Joseph G. Chiulli 7 Sunset Avenue Lynbrook, New York 11563 For Review of Action Taken by the National Association of Securities Dealers, Inc. Opinion of the Commission Registered Securities Association - Review of Disciplinary Proceeding Violations of Rules of Conduct and Code of Procedure Failure to Comply with Recordkeeping Requirements Failure to Provide Requested Information Person associated with former member firm of registered securities association failed to preserve records of firm and failed to provide information requested by association in connection with its investigation. Held, association's findings of violation and sanctions it imposed are sustained. Appearances Joseph G. Chiulli, Alden S. Adkins, Susan L. Beesley, and Alan B. Lawhead, for NASD Regulation, Inc. Appeal filed January 15, 1999 Last brief filed June 4, 1999SNIPPETS: |
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