 |
 |
|
|
|
|
|
|
|
| | | |
|
|
|
|
|
|||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
1
.
SEC COMMISSION OPINION
|
EXTRACTED KEY WORDS
RECONSIDERATION NASD EXCHANGE ACT PROCEEDING SECURITIES DEALERS COSTS MEMBER NATIONAL ASSOCIATION REVOCATION REVIEW APPEALS PAY DETERMINATION BASIS COMMISSION BANKRUPTCY JUDGE MEMBER FIRM FNW SETTLEMENT REGISTERED SECURITIES ASSOCIATION COMPLIANCE SUPERVISORY CAPACITY PETRANTIS NASD STAFF NASD DISCIPLINARY PROCEEDINGS BANKRUPTCY COURT EXPLANATION SUSPENSION NATIONAL COMMITTEE |
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.
SECURITIES EXCHANGE ACT OF 1934
Rel. No. 40671 / November 12, 1998
Admin. Proc. File No. 3-9324
:
In the Matter of the Application of :
:
RICHARD T. SULLIVAN :
307 Clinton B Fiske Avenue :
Staten Island NY 10314 :
:
For Review of Action Taken by the :
:
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. :
:
OPINION OF THE COMMISSION
REGISTERED SECURITIES ASSOCIATION -- REVIEW OF PROCEEDINGS
Practice and Procedure
Need for Further Explanation of Basis for Association
Action
Where registered securities association determined not to
reconsider revocation for failure to pay fine and costs of
former principal of member firm, held, appropriate for the
Commission to seek explanation from association of its
determination, and proceedings remanded to association for
that purpose.
APPEARANCES:
Michael Q. Carey, Carey & Associates, for Richard T.
Sullivan.
Alden S. Adkins and Norman Sue, Jr., for the National
Association of Securities Dealers, Inc.
Appeal filed: April 24, 1997
SNIPPETS:
|
|
|
| | | |
|
|
