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SEC COMMISSION OPINION
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EXTRACTED KEY WORDS
EXCHANGE TESTIMONY SECURITIES EXCHANGE MEMBERS COMMISSION DISCIPLINARY ACTION OPINION PROCEEDING VIOLATION SANCTIONS HEARING PANEL REVIEW FAILURE NYSE SECURITIES EXCHANGE ACT NATIONAL SECURITIES EXCHANGE PAINEWEBBER ON-THE-RECORD INTERVIEW ESHKENAZI CONNECTION YORK STOCK EXCHANGE NASD INVESTIGATION CUSTOMER ARBITRATIONS TIMELY MANNER APPEARANCES MICHAEL DAVID COMPLIANCE POSTPONEMENT ALBANESE ASSERTS |
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.
SECURITIES EXCHANGE ACT OF 1934
Rel. No. 34-39280 / October 27, 1997
Admin. Proc. File No. 3-9189
:
In the Matter of the Application of :
:
LOUIS F. ALBANESE :
64 Brambly Hedge Circle :
Fairfield, Connecticut 06430 :
:
For Review of Disciplinary Action Taken by the :
:
NEW YORK STOCK EXCHANGE, INC. :
:
OPINION OF THE COMMISSION
NATIONAL SECURITIES EXCHANGE -- REVIEW OF DISCIPLINARY
PROCEEDING
Violation of Exchange Rule
Failure to Provide Requested Testimony
Former registered representative of members of national
securities
exchange failed to provide, in a timely manner, testimony
requested by
exchange in connection with investigation. Held, exchange's
finding
of violation and sanctions it imposed are sustained.
APPEARANCES:
Evan L. Gordon, for Louis F. Albanese.
David P. Doherty, Regina C. Mysliwiec, Margaret S. Fox, and Scott
M.
SNIPPETS:
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