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1
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SEC COMMISSION OPINION
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EXTRACTED KEY WORDS
INTERPRETATION MEMBER NASD NEWMAN EQUITY EXCHANGE ACT ZIPKIN TRANSACTIONS REGISTERED SECURITIES ASSOCIATION VIOLATION COMMISSION SUPERVISE DISCIPLINARY ACTION SECURITIES DEALERS FIRM SCHOLARSHIP FUND WITHHOLDING REGISTERED REPRESENTATIVES EQUITY SECURITIES TRADING CBOE LOCAL TRADERS NATIONAL ASSOCIATION NATHAN NEWMAN BROKER-DEALERS CUSTOMERS APPLICANTS PROCEEDING FREE-RIDING REPRESENTATIVES SOLD SHARES SECONDARY MARKET |
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.
SECURITIES EXCHANGE ACT OF 1934
Rel. No. 39520 / January 7, 1998
Admin. Proc. File No. 3-9192
:
In the Matter of the Applications of :
:
EQUITY SECURITIES TRADING CO., INC. :
2820 IDS Center :
80 South 8th Street :
Minneapolis, MN 55402 :
:
NATHAN NEWMAN :
2110 Austrian Pine Line :
Minnetonka, MN 55305 :
:
and :
:
LAURENCE STUART ZIPKIN :
2801 Westridge Road :
Minnetonka, MN 55305 :
:
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
Failure to Comply with Free-Riding and Withholding
Interpretation
Failure to Supervise
Registered representatives sold shares of "hot issues" in
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