 |
 |
|
|
|
|
|
|
|
| | | |
|
|
|
|
|
|||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
1
.
SEC COMMISSION OPINION
|
EXTRACTED KEY WORDS
IALEGGIO COMMITTEE NASD SECURITIES MISCONDUCT REMAND GUIDELINE DISTRICT COMMITTEE OPINION REVIEW COMMISSION MATTER SECURITIES EXCHANGE ACT SUSTAINING EMPLOYER APPEALS HOME LIFE VIOLATION BASIS SECURITIES DEALERS EXPENSES COUNTRY CLUB INITIATION FEES LEONARD JOHN IALEGGIO FINDINGS REQUALIFY FUNDS DETERMINATION CONVERSION GUIDELINE |
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.
SECURITIES EXCHANGE ACT OF 1934
Rel. No. 34-40028 / May 17, 1998
Admin. Proc. File No. 3-8925
__________________________________________________
:
In the Matter of the Application of :
:
LEONARD JOHN IALEGGIO :
2565 Holly Oak Drive :
Danville, California 94506 :
:
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
Sanctions Imposed by Association on Remand
Proceedings previously remanded to registered securities
association,
for consideration of an appropriate sanction, where registered
representative and associated person of a member firm had
requested
and retained reimbursement for expenses he did not incur and
induced
company to pay club initiation fees when he was not entitled to
such
payment. Held, sanctions assessed by association after remand
sustained.
APPEARANCES:
Alvin L. Fishman, of Tesler, Sandmann & Fishman, for Leonard John
SNIPPETS:
|
|
|
| | | |
|
|
