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1
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SEC COMMISSION OPINION
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EXTRACTED KEY WORDS
NASD NOTEHOLDERS GOLDSWORTHY TRANSACTIONS SMITH BARNEY SCF PRIOR DEMAND EXCHANGE ACT COMMISSION MEMBER MATTER CUSTOMER DISCIPLINARY ACTION VIOLATION PRIVATE SECURITIES FIRM INVESTMENT REVIEW OPINION REGULATION REPAYMENT MUTUAL FUND NATIONAL ASSOCIATION SECURITIES DEALERS EMPLOYER REMAND REVES EVIDENCE |
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.
SECURITIES EXCHANGE ACT OF 1934
Rel. No. 40000 / May 18, 1998
Admin. Proc. File No. 3-9339
____________________________________________________
:
In the Matter of the Application of :
:
JOHN P. GOLDSWORTHY :
1820 Hickory Avenue, Apt. B :
Harahan, LA 70123 :
:
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
Alleged Violation of Rules of Fair Practice
Failure to Inform Employer of Private Securities
Transactions
Former general securities representative associated with
member
firm of registered securities association allegedly engaged
in
private securities transactions without prior written
notification to member. Held, association's findings of
violation and the sanctions it imposed are vacated and this
matter is remanded.
APPEARANCES:
SNIPPETS:
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