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1
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SEC COMMISSION OPINION
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EXTRACTED KEY WORDS
VAN ALSTYNE REVIEW COMPLAINT COMMISSION SECURITIES EXCHANGE ACT MEMBER APPEALS MOTION JURISDICTION SET ASIDE NATIONAL ASSOCIATION REGULAR MAIL SECURITIES DEALERS REGISTERED SECURITIES ASSOCIATION DBCC CRD CERTIFIED MAIL DISCIPLINARY SANCTION CCH REGISTRATION RULE NASD CODE PROCEDURE RULE MBSI NASD MEMBERSHIP SRO NORMAN SUE NASD REGULATION NAC |
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.
SECURITIES EXCHANGE ACT OF 1934
Rel. No. 40738 / December 2, 1998
Admin. Proc. File No. 3-9575
___________________________________________________
:
In the Matter of the Application of :
:
LANCE E. VAN ALSTYNE :
51 Poppy Hills Road :
Laguna Niguel, California :
:
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 MOTION TO SET ASIDE A DEFAULT DECISION
Jurisdiction to Review Action of Association
Registered securities association denied motion of person
formerly associated with a member to set aside a default
decision on grounds that he never received the association's
complaint or decision. Held, because the Commission lacks
jurisdiction to review the denial of the motion and because
the Commission will not accept individual's application as a
late-filed appeal of the default decision, the application
for review is dismissed.
APPEARANCES:
Irving M. Einhorn, for Lance E. Van Alstyne.
Alden S. Adkins and Norman Sue, Jr., for NASD Regulation,
Inc.
Appeal lodged: April 8, 1998
Briefing completed: July 29, 1998
I.
SNIPPETS:
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