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1
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SEC COMMISSION OPINION
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EXTRACTED KEY WORDS
ACCOUNT EXCHANGE FUNDS MESECK SECURITIES TRADING CUSTOMER EXCHANGE RULE REVIEW AUTHORIZATION FINANCIAL INFORMATION DISCIPLINARY ACTION FALSE FINANCIAL INFORMATION MEMBER HEARING PANEL ACCOUNT OPENING POST OFFICE PAINEWEBBER COMMISSION INCONSISTENT ACCOUNT STATEMENTS PROCEEDING UNAUTHORIZED TRADING MISAPPROPRIATION SECURITIES EXCHANGE ACT EQUITABLE PRINCIPLES MEMBER FIRM MONEY MARKET FUND CATHY JEAN KRAUSE |
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.
SECURITIES EXCHANGE ACT OF 1934
Rel. No. 40630 / November 3, 1998
Admin. Proc. File No. 3-9529
:
In the Matter of the Application of :
:
CATHY JEAN KRAUSE KIRKPATRICK :
3117 Corda Drive :
Los Angeles, California 90049 :
:
For Review of the Disciplinary Action Taken by the :
:
NEW YORK STOCK EXCHANGE, INC. :
:
OPINION OF THE COMMISSION
NATIONAL SECURITIES EXCHANGE -- REVIEW OF DISCIPLINARY
PROCEEDING
Violations of Exchange Rules
Conduct Inconsistent with Just and Equitable Principles of Trade
Unauthorized Trading
Misappropriation of Customer Funds
Signing Customer's Name to Account Opening Documents Without Customer's
Knowledge or Authorization
Providing False Financial Information to Customer
Registered representative formerly associated with a member firm of a
registered national securities exchange engaged in unauthorized trading in
customer's account; misappropriated customer funds; signed customer's name
to account documents without customer's knowledge or authorization; and
provided customer with false financial information. Held, exchange's
findings of violation and sanctions it imposed are sustained.
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