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BORUSKI v. NAT'L SEC. & RESEARCH CORP.

38 Misc.2d 1026 (1962)

Ernest F. Boruski, Jr., Respondent, v. National Securities & Research Corporation, Appellant.

Supreme Court, Appellate Term, First Department.

December 6, 1962

Attorney(s) appearing for the Case

Edward G. Sippel for appellant. Segal & Dorris (Howard S. Dorris of counsel), for respondent. Windels, Currie & Rice (Paul Windels, Jr., and Russell G. Olsen of counsel), for National Association of Securities Dealers, Inc., amicus curiæ.

Concur — TILZER, J. P., HOFSTADTER and CAPOZZOLI, JJ.

Per Curiam.

Plaintiff, having been suspended from the National Association of Securities Dealers, Inc., was barred from recovery of commissions upon sales made during the period of his suspension. The public interest requires that appropriate sanctions be imposed to secure compliance with the rules, regulations and policies of both the National Association of Securities Dealers and the Securities and Exchange Commission...

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