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1
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SEC COMMISSION OPINION
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EXTRACTED KEY WORDS
NASD SECURITIES EXCHANGE ACT STATUTORY DISQUALIFICATION CONVICTION MEMBER COMMISSION FELONY GARDNER REGISTERED REPRESENTATIVES MONEY LAUNDERING REGISTERED SECURITIES ASSOCIATION APPEALS NATIONAL ASSOCIATION SECURITIES DEALERS REGULATION GARDNER FINANCIAL SERVICES MEMBER FIRM BUMGARDNER TRANSACTIONS UNITED STATES SUPERVISION INVESTORS INSURANCE LICENSE REINSTATEMENT NASD BY-LAWS BROKER-DEALER MUTUAL FUNDS STATUTORILY DISQUALIFIED INDIVIDUALS PROTECTION |
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.
SECURITIES EXCHANGE ACT OF 1934
Rel. No. 40673 / November 12, 1998
Admin. Proc. File No. 3-9554
___________________________________________________
:
In the Matter of the Application of :
:
WILLIAM J. HABERMAN :
c/o Michael A. Hatch, Esq. :
Hatch, Eiden & Pihlstrom :
120 South Sixth Street -- Suite 850 :
Minneapolis, Minnesota 55402 :
:
For Review of Denial of a Member's :
Continuance Application by the :
:
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. :
___________________________________________________:
OPINION OF THE COMMISSION
REGISTERED SECURITIES ASSOCIATION -- REVIEW OF DENIAL OF
MEMBER'S APPLICATION FOR ASSOCIATION
Registered securities association denied member firm's
application to retain its membership if it employed as a
registered representative an individual who is subject to a
statutory disqualification resulting from a felony
conviction for money laundering. Held, appeal proceedings
are dismissed.
APPEARANCES:
Michael A. Hatch and Kristine L. Eiden, of Hatch, Eiden &
Pihlstrom, for William J. Haberman.
Alden S. Adkins, Susan L. Beesley, and Jeffrey S. Davis, for
NASD Regulation, Inc.
Appeal filed: March 6, 1998
Last brief received: June 25, 1998
I.
SNIPPETS:
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