United States Securities and Exchange Commission Decisions and Reports |
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Page 287
... sanctions are punitive and differ from sanctions imposed in similar cases . He also asserts that the sanctions exceed those recommended by the NASD's Sanction Guidelines . We have repeatedly stated that the appropriate remedial action ...
... sanctions are punitive and differ from sanctions imposed in similar cases . He also asserts that the sanctions exceed those recommended by the NASD's Sanction Guidelines . We have repeatedly stated that the appropriate remedial action ...
Page 416
... sanctions are well within the NASD's Sanction Guidelines.31 We agree , moreover , with the National Committee that these are serious violations . We also reject Applicants ' contention that the NASD improperly considered the settlements ...
... sanctions are well within the NASD's Sanction Guidelines.31 We agree , moreover , with the National Committee that these are serious violations . We also reject Applicants ' contention that the NASD improperly considered the settlements ...
Page 946
... sanctions imposed by the NASD.34 The proper sanction depends on the unique facts and circumstances of this case and cannot be determined precisely by comparison with the facts in other cases.35 We do not find the sanctions imposed here ...
... sanctions imposed by the NASD.34 The proper sanction depends on the unique facts and circumstances of this case and cannot be determined precisely by comparison with the facts in other cases.35 We do not find the sanctions imposed here ...
Contents
CONTENTS | 192 |
Members of the Securities and Exchange Commission II | 633 |
Table of Decisions and Reports citing Section of Acts | 652 |
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Act Rel action aff'd agreement appeal Applicants asserts broker broker-dealer capital CBOE CBOT Century Energies Commission Commissioner Committee common stock compliance conduct customers dealer December decision denied determined disciplinary disclosure DJTA DJUA e prime electric engaged England Elec FERC filed findings firm Firm's funds futures contracts hearing holding company imposed interest investment adviser investors issue Kirkpatrick law judge margin market maker markups merger Merrill Lynch Meseck Monroe Parker NASD Rules NASD's Nasdaq NationsBank NationsSecurities NYSE offering operations Paine Webber participants person Potts proceeding proposed purchase pursuant record registered representative repurchase agreements request reset responsible Revcon sanctions SCCP scienter SEC Docket Section Section 10(b Securities Exchange Act securities laws Sensormatic shares South Beloit statements subsidiary Term Trusts testified trading transactions utility violation Wolny WRG's Zubkis