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1
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SEC COMMISSION OPINION
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EXTRACTED KEY WORDS
YOSHIKAWA SECURITIES TRADE FIRM APPLICANTS TRANSACTIONS INVENTORY ACCOUNT SECURITIES EXCHANGE ACT VIOLATION COMMISSION DDI REVIEW REGISTERED SECURITIES ASSOCIATION EQUITABLE PRINCIPLES MEMBERS DISCIPLINARY ACTION NATIONAL ASSOCIATION SECURITIES DEALERS NET CAPITAL REQUIREMENTS TRADING ACCOUNT DDI SHARES INCONSISTENT SANCTIONS DDI STOCK NASD STAFF IRA REGISTERED SECURITIES FAIR PRACTICE OVERSTATING |
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.
SECURITIES EXCHANGE ACT OF 1934
Rel. No. 39443 / December 11, 1997
Admin. Proc. File No. 3-9254
_________________________________________________
:
In the Matter of the Applications of :
:
KO SECURITIES, INC. :
2416 - 32nd Avenue West :
Seattle, Washington 98199 :
:
and :
:
TERRANCE Y. YOSHIKAWA :
:
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
Conduct Inconsistent with Just and Equitable Principles
of
Trade
Member firm of registered securities association and its
president
engaged in transactions for the purpose of overstating the firm's
net
capital. Held, association's finding of violation and sanctions
it
imposed sustained.
SNIPPETS:
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