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1
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SEC COMMISSION OPINION
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EXTRACTED KEY WORDS
WOOD SECURITIES NASD CUSTOMER INVESTMENT COMPLAINT DISCIPLINARY ACTION COMMISSION SALES MEMBER PUTNAM VIOLATIONS FUNDS SALES CHARGES GUARANTEE SANCTIONS COMMITTEE RESPONDENT SETTLEMENT SECURITIES EXCHANGE ACT RECOMMENDATION CONNECTION PURCHASES SHARES REVIEW DISCOUNT BUSINESS DISTRICT COMMITTEE ACCOUNT |
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.
SECURITIES EXCHANGE ACT OF 1934
Rel. No. 39297 / November 5, 1997
Admin. Proc. File No. 3-9253
:
In the Matter of the Application of :
:
ROBERT L. DEN HERDER :
4119 Wolverine :
Helena, MT 59601 :
:
For Review of Disciplinary Action 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
Unsuitable Recommendation
Failure to Obtain for Customer Sales Load Discount
Issuance of Guarantee Against Loss
Registered representative of member firm of registered
securities
association made an unsuitable recommendation and failed to obtain
for
his customer a sales load discount in connection with the purchase
of
mutual fund shares, and guaranteed that customer against loss.
Held,
association's findings of violations and sanctions are
sustained.
SNIPPETS:
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