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1
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SEC COMMISSION OPINION
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EXTRACTED KEY WORDS
ADVERTISEMENT NASD SECURITIES PUBLICATION INVESTMENT MEMBER PRINCIPLES DISTRICT COMMITTEE SANCTIONS NEWS VIATICAL SETTLEMENTS GEHRKE MISLEADING REPRESENTATIONS WITNESS COMMISSION REVIEW IMPOSES AUTHORIZATION TESTIFY TESTIMONY EVIDENCE EXCHANGE DISCIPLINARY ACTION REGISTERING VIOLATION NASD MEMBER FIRM CONTRACT RISK |
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.
SECURITIES EXCHANGE ACT OF 1934
Rel. No. 40654 / November 10, 1998
Admin. Proc. File No. 3-9549
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:
In the Matter of the Application of :
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Robert L. Wallace :
1819 Imperial Golf Course Boulevard :
Naples, FL 34110 :
:
For Review of Disciplinary Action Taken by the :
:
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. :
:
OPINION OF THE COMMISSION
REGISTERED SECURITIES ASSOCIATION -- REVIEW OF DISCIPLINARY
PROCEEDINGS
Exaggerated and Misleading Advertisements
Registered principal and representative of NASD member
caused the distribution of exaggerated and misleading
advertisements. Held, association's findings of violation
and sanctions it imposed are sustained.
APPEARANCES:
Robert L. Wallace, pro se.
Alden S. Adkins, Norman Sue, Jr., Susan L. Beesley, and
Shirley H. Weiss, for NASD Regulation, Inc.
Appeal filed: March 2, 1998
Last brief filed: May 22, 1998
I.
SNIPPETS:
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