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1
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SEC COMMISSION OPINION
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EXTRACTED KEY WORDS
NASD SECURITIES BROADCAST ADVERTISEMENTS COMMISSION SANCTIONS RECOMMENDATION MISLEADING STOCK VIOLATIONS USDT OPINION PROJECTIONS TELEVISION BROADCAST SECURITIES EXCHANGE ACT NATIONAL ASSOCIATION FINDINGS DISCIPLINARY ACTION FAIR PRACTICE REGISTERED SECURITIES ASSOCIATION APPEARANCES FORMER ARTICLE MATERIALS SECURITIES DEALERS SET ASIDE SOUND BASIS INVESTMENT SHORT-SELL TRADING STRATEGY RECONSIDERATION |
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.
SECURITIES EXCHANGE ACT OF 1934
Rel. No. 40243 / July 22, 1998
Admin. Proc. File No. 3-9259
:
In the Matter of the Application of :
:
DANIEL C. MONTANO :
245 Duranzo Aisle :
Irvine, CA 92606 :
:
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
Violations of Rules of Fair Practice
Misleading Advertisements
Improper and Unwarranted Forecasts and Recommendations
Registered general securities principal made exaggerated and unwarranted
statements and
projections during television broadcast. Held, association's findings of
violation are
sustained in part and set aside in part and the matter remanded for
reconsideration of
sanctions.
APPEARANCES:
Daniel C. Montano, pro se.
Alden S. Adkins and Jeffrey S. Davis, for NASD Regulation,Inc.
SNIPPETS:
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