|
SEC
Appeal of Reuben D. Peters and Peters Securities, Co. LP (NASD)
SEC
Appeal of Morton Kantrowitz (NASD)
SEC
Appeal of Harry M. Richardson (NASD)
visit
the statutory disqualification index for definitions
Also
see the U4/U5/RE-3 Cases for Discussions of Disqualifying Disclosures
|
Underlying
Disqualification |
| Felony |
02001,
02002, 02003,
02004, 02009,
02010, 04005,
03001, 03002, 03007,
04017, 05008,
06002,
06012, 07001,
07002, 07003,
08001,08007 |
| DUI |
02002,
02009, 02010,
03002, 04005,
06012.07003,08007 |
| Controlled
Substance |
02001,
02003, 06002,07001 |
| Tax
Issues |
02004,
03001, 05008, 07002 |
| Forgery |
06002 |
| Theft |
08001 |
| Misdemeanor |
02008, 06002,
05010,06001,07001,08007 |
|
Insider Trading
|
01001, |
| Permanent
Injunction |
01001,
02007, 03004,
03006, 05010 |
| Willfulness |
05008,
06001, 07002, 07003,
08002, 08003,
09-34-60133 |
| Bankruptcy |
08002 |
| Cherry
Picking |
08004 |
|
Factors
Considered |
| Recency
(arrest, conviction, injunction, etc.) |
01001,
02001,
02002, 02008,
02009, 03006,
03007, 04005,
05008, 06012,
07001, 08003,
08004,08007 |
| Treatment/Rehabilitation |
02001,
02002, 02009,
04005, 06012,
07001. 07003,08007 |
| Age
of Applicant |
01001,
04005, 08001 |
| Sponsor's
Regulatory History |
01001,
03001, 03006, 05010,
06001, 07001, 07002.
07003, 08002,08007 |
| Taping
Rule |
02002, |
| Remote
State |
02002,
02004. 08004 |
| Was
there a "conviction" |
04017,
08002 |
| Prior
misconduct |
06002;
06012, 05010,
07001, 07002,
08001, 08002,
08003,08007 |
| Adequacy
of plan of supervision/Proposed Supervisor |
06001,
06002,
06012, 07001,07002,
07003, 08001,
08003, 08004,08007 |
| Van
Dusen (adverse subsequent events) |
07002,
08002 |
| Non-Registered
(Associated-only) Affiliation |
09-34-60133 |
|
Final Decision |
| Denial |
01001,
02001,
02002, 03006,
03007, 04005, 06002.
06012, 05008,
05010,07002,
08003, 08004,08007 |
| Approval
after hearing |
02009,
03001, 04017, 03004,
07002, 07003 |
| Approval
w/o hearing |
02003,
02004, 02007,
02008, 02010,
03002, 06001,
07001, 08001,
08002
|
| SEC
appeal/remand |
05008,
05010, 07002
|
|