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1
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SEC COMMISSION OPINION
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EXTRACTED KEY WORDS
NASD INSIDER TRADING MEMBER SECURITIES PIONEER STOCK WONG MERGER SECURITIES EXCHANGE ACT NON-PUBLIC INFORMATION MATTER FIRST HAWAIIAN EVIDENCE PURCHASES COMMISSION MEMBER FIRM NATIONAL ASSOCIATION REGISTERED SECURITIES ASSOCIATION POSSESSION SANCTIONS DISCIPLINARY ACTION PAINEWEBBER SECURITIES DEALERS VIOLATED ARTICLE MERGER NEGOTIATIONS FAIR PRACTICE TESTIMONY PROPOSED MERGER CIRCUMSTANTIAL EVIDENCE NASD REGULATION |
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.
SECURITIES EXCHANGE ACT OF 1934
Rel. No. 40297 / August 3, 1998
Admin. Proc. File No. 3-9308
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:
In the Matter of the Application of :
:
SIDNEY C. ENG :
362 Mariposa Way :
San Anselmo, CA 94960 :
:
For Review of Action Taken by :
:
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. :
OPINION OF THE COMMISSION
REGISTERED SECURITIES ASSOCIATION -- REVIEW OF DISCIPLINARY PROCEEDINGS
Violation of Rules of Fair Practice
Insider Trading
General securities representative associated with member firm of registered
securities association purchased securities while in possession of
material, non-public information. Held, association's findings of
violation and the sanctions it imposed are sustained.
APPEARANCES:
Sidney C. Eng, pro se.
Alden S. Adkins and Carla J. Carloni, for NASD Regulation, Inc.
Appeal filed:May 8, 1997
Last brief filed: August 14, 1997
I.
SNIPPETS:
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