Morton Kantrowitz
SECURITIES EXCHANGE ACT OF 1934
Rel. No. 51238 / February 22, 2005
Admin. Proc. File No. 3-11372
In the Matter of the Application of MORTON KANTROWITZ |
ORDER REMANDING APPEAL FROM REGISTERED SECURITIES ASSOCIATION
On the basis of the Commission's opinion issued this day, it is
ORDERED that the proceedings on the application of Morton Kantrowitz be, and they hereby are, remanded to NASD for further proceedings consistent with that opinion.
By the Commission.
Jonathan G. Katz
Secretary
Endnotes
Under NASD By-Laws, Article III, Section 4(h), a person is subject to a "disqualification" if, among other things, such person "is permanently or temporarily enjoined . . . ." NASD Manual at 1307 (Nov. 2003).
Under Article II, Section 3(b) of NASD's By-Laws, NASD may bar a person from becoming associated or continuing association with a member if such person is subject to a disqualification. NASD Manual at 1305.
Last Reviewed or Updated: Dec. 18, 2023