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SEC COMMISSION OPINION
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EXTRACTED KEY WORDS
NASD TRANSCRIPT STAFF SECURITIES TESTIFY COUNSEL TESTIMONY COMMISSION EXCHANGE DISCIPLINARY ACTION REQUEST IMPOSE DETERMINATION ACT REVIEW VIOLATION INTERVIEW MEMBER NATIONAL ASSOCIATION SUSTAINING COMMITTEE SECURITIES DEALERS REGULATION FIRM PRIOR MARKET CONTENTION BUSINESS APPEALS |
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.
SECURITIES EXCHANGE ACT OF 1934
Rel. No. 39544 / January 13, 1998
Admin. Proc. File No. 3-9274
:
In the Matter of the Application of :
:
JOHN J. FIERO :
83 Montgomery Street, #302 :
Jersey City, New Jersey 07302 :
:
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
Violation of NASD Rules
Failure to Provide Requested Testimony
President and sole owner of member of registered securities
association failed to provide, in a timely manner, testimony
requested
by association in connection with investigation. Held,
association's
findings of violation and sanctions imposed are sustained.
APPEARANCES:
Martin H. Kaplan, of Gusrae, Kaplan & Bruno, for John J. Fiero.
SNIPPETS:
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