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1
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SEC COMMISSION OPINION
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EXTRACTED KEY WORDS
NASD COMMISSION IMMG SECURITIES TERMINATION DISCIPLINARY ACTION NASD MEMBER FIRM PRESIDENT SANCTIONS ITT-HARTFORD DBCC JURISDICTION COMPLAINT BANK ACCOUNT PROCEEDS VIOLATION RECEIVING DEPOSITING NASD BY-LAWS EVIDENCE FORM U-5 REVIEW CONVERTING EXCHANGE ACT PRACTICE REGISTERED REPRESENTATIVES IMPOSE SUSTAINING |
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.
SECURITIES EXCHANGE ACT OF 1934
Rel. No. 41229 / March 30, 1999
Admin. Proc. File No. 3-9651
:
In the Matter of the Application of :
:
ELIEZER GURFEL :
c/o David W. O' Brien, Esq. :
Michaels, Wishner & Bonner, P.C. :
1140 Connecticut Avenue, NW, Suite 900 :
Washington, D.C. 20036 :
:
For Review of the Disciplinary Action Taken by the :
:
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. :
:
OPINION OF THE COMMISSION
REGISTERED SECURITIES ASSOCIATION -- REVIEW OF DISCIPLINARY
PROCEEDINGS
Violation of Rules of Fair Practice
Conduct Inconsistent with Just and Equitable
Principles of Trade
Former registered representative of NASD member firm forged,
or caused to be forged, the signature of the firm's
president on commission checks, and converted the proceeds
to his own use. Held, association's findings of violation
and sanctions it imposed are sustained.
APPEARANCES:
David W. O'Brien, of Michaels, Wishner & Bonner, P.C., for
Eliezer Gurfel.
Alden S. Adkins, Susan L. Beesley, and James S. Wrona, for
NASD Regulation, Inc.
Appeal filed: July 14, 1998
Last brief received: October 27, 1998
SNIPPETS:
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