 |
 |
|
|
|
|
|
|
|
| | | |
|
|
|
|
|
|||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
1
.
SEC COMMISSION OPINION
|
EXTRACTED KEY WORDS
NASD PENDLETON SECURITIES EXCHANGE ACT PAY APPEALS PROCEEDING FAILURE COMMISSION REVOCATION REVIEW FIRM VACATE REVOKE DISMISS BROKERS BAUER TERMINATION MEMBER HONOR MODIFY COMPLIANCE RSI PAID CLAIMANT OBLIGATION ARBITRATION PANEL U-5 DISTRICT COMMITTEE |
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.
SECURITIES EXCHANGE ACT OF 1934
Rel. No. 40237 / July 21, 1998
Admin. Proc. File No. 3-9501
__________________________________________________
:
In the Matter of the Application of :
:
RICHARD R. PENDLETON :
P.O. Box 403 :
Rollinsville, Co. 80474 :
:
For Review of Action Taken by the :
:
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. :
__________________________________________________:
OPINION OF THE COMMISSION
REGISTERED SECURITIES ASSOCIATION -- REVIEW OF REVOCATION
Failure to Pay Arbitration Award
Former registered representative of a member firm of registered securities
association failed to honor an arbitration award entered against him and
did not seek to vacate, modify, or otherwise appeal the award. The
association revoked his right to associate with any member firm until he
submits proof that he has satisfied or discharged the award. Held, appeal
proceedings dismissed.
APPEARANCES:
Richard R. Pendleton, pro se.
Alden S. Adkins and Norman Sue, Jr., for NASD Regulation, Inc.
Appeal filed: November 25, 1997
Briefing completed: March 19, 1998
I.
SNIPPETS:
|
|
|
| | | |
|
|
