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1
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SEC COMMISSION OPINION
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EXTRACTED KEY WORDS
ACCOUNT INVESTMENT CUSTOMERS EXCHANGE TRADING SECURITIES EXCHANGE TRANSACTIONS MARGIN MALUSAS GNMAS COMMISSION AUTHORIZATION TRADE REPRESENTING FINDINGS DISCIPLINARY ACTION DISCRETIONARY POWER MATERIAL MISSTATEMENTS PAINEWEBBER SECURITIES EXCHANGE ACT SANCTIONS INCONSISTENT MEMBER FIRM VIOLATION YORK STOCK EXCHANGE PURCHASES BOND MARKET PRINCIPLES SUSAN FISCHER |
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.
SECURITIES EXCHANGE ACT OF 1934
Rel. No. 40335 / August 19, 1998
Admin. Proc. File No. 3-9346
__________________________________________________
:
In the Matter of the Application of :
:
JUSTINE SUSAN FISCHER :
4400 Calle Del Conde :
Tucson, AZ 85718 :
:
For Review of Disciplinary Action Taken by the :
:
NEW YORK STOCK EXCHANGE, INC. :
__________________________________________________:
OPINION OF THE COMMISSION
NATIONAL SECURITIES EXCHANGE -- REVIEW OF DISCIPLINARY
PROCEEDINGS
Conduct Inconsistent with Just and Equitable
Principles of Trade
Making Material Misstatements Regarding
Investment Strategy
Unauthorized Transactions
Excessive Trading
Unsuitable Trading
Exercise of Discretionary Power Without Written
Authorization
Registered representative of member firm of national
securities exchange omitted to disclose material facts
to customers, traded in customer's account without
prior written approval and without authorization, and
traded excessively and unsuitably in customers'
accounts. Held, exchange's findings of violation and
the sanctions it imposed are sustained.
APPEARANCES:
Michael Salcido, of Michael Salcido, P.C., for Justine
Susan Fischer.
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