SEC v JON G. SYMON and J.G. SYMON & COMPANIES


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Keywords & Phrases

CaseNo: 34-41285, Defendant: Jon G. Symon and J.G. Symon & Companies, Plaintiff: SEC, State: WA Washington, UniqueCaseRef: SEC>34-41285, Symon, Nasd, Principals, Waiver, Examination, Securities, Frey, Request, Exchange Act, Review, Examination Requirements, Nasd Regulation, Representation, Registered Securities Association, Licenses, Commission, Finop, National Association, General Securities, Securities Dealers, Registration Rule, Nasd Membership, Nasd Regulation Staff, Qualification Examinations, Braveheart, Supervisory, Self-regulatory Organization, Exchange Services, Association Action Denying , ContentID: 120247188

Case Documents

1999-04-14

SEC COMMISSION OPINION
[ see first page and extracted highlights below ] ItemID: 117338

10 pages
TXT

Total Documents: 1 document , 10 pages

Price: $ 19.95

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1 . SEC COMMISSION OPINION

EXTRACTED KEY WORDS

NASD
PRINCIPALS
WAIVER
EXAMINATION
SECURITIES
FREY
REQUEST
MEMBER
EXCHANGE ACT
REVIEW
EXAMINATION REQUIREMENTS
NASD REGULATION
REPRESENTATION
REGISTERED SECURITIES ASSOCIATION
LICENSES
COMMISSION
FINOP
NATIONAL ASSOCIATION
GENERAL SECURITIES
SECURITIES DEALERS
REGISTRATION RULE
NASD MEMBERSHIP
NASD REGULATION STAFF
QUALIFICATION EXAMINATIONS
BRAVEHEART
SUPERVISORY
SELF-REGULATORY ORGANIZATION
EXCHANGE SERVICES
ASSOCIATION ACTION DENYING



                          SECURITIES AND EXCHANGE COMMISSION
                                   Washington, D.C.



          SECURITIES EXCHANGE ACT OF 1934
          Rel. No. 41285 \ April 14, 1999

          Admin. Proc. File No. 3-9609
          __________________________________________________
                                                           :
                 In the Matter of the Application of       :
                                                           :
                            JON G. SYMON                   :
                       J.G. SYMON & COMPANIES              :
                  101 West 11th Street, Suite 1200         :
                    Kansas City, Missouri  64105           :
                                                           :
                  For Review of Action Taken by the        :
                                                           :
           NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.:
          _________________________________________________:

          OPINION OF THE COMMISSION

REGISTERED SECURITIES ASSOCIATION -- REVIEW OF ASSOCIATION ACTION DENYING
WAIVER OF EXAMINATION REQUIREMENTS

Registered securities association denied the request of a former registered
securities principal, whose registrations as a general securities principal
and a
financial and operations principal had lapsed, to resume those licenses
without
requalifying by examination.  Held, appeal proceedings dismissed.

          APPEARANCES:

          Jon G. Symon, pro se.

          Alden S. Adkins and Gary L. Goldsholle, for NASD
          Regulation, Inc.

          Appeal Filed:  May 22, 1998
          Last Brief Received:  October 7, 1998

SNIPPETS:

SECURITIES AND EXCHANGE COMMISSION

NATIONAL ASSOCIATION OF SECURITIES DEALERS,

REGISTERED SECURITIES ASSOCIATION -- REVIEW OF ASSOCIATION ACTION DENYING WAIVER OF

Registered securities association denied the request of a former registered securities

Jon G. Symon, pro se.

E. Frey"), a member of the National Association of Securities Dealers, Inc., seeks review of

The NASD denied Symon a waiver from the requirement in the NASD's Membership and Registration

Although Symon had been previously registered both as a principal and a FINOP while

Pursuant to NASD Membership and Registration Rule 1021, Symon had two years from the date of

The NASD "terminated" Braveheart's application after determining that Symon lacked the

The NASD Regulation staff contacted Dominick requesting that the firm state whether Symon in

Dominick declined to provide this representation, and on October 21, 1997, NASD Regulation

Before the NAC, Dominick also submitted, among other things, a new account form submitted by

Our authority to review NASD actions is governed by the Securities Exchange Act of 1934.

Exchange Act Section 19authorizes Commission review of an action of a self-regulatory

We find here that the NASD's denial has effectively barred Symon from associating with any

In Exchange Services, Inc., we concluded that the NASD’s denial of applicant’s request for


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