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IN RE RIDGWAY

116 N.J. Super. 172 (1971)

281 A.2d 390

IN THE MATTER OF RIDGWAY, McLEOD & ASSOCIATES.

Superior Court of New Jersey, Appellate Division.

Decided September 20, 1971.

Attorney(s) appearing for the Case

Mr. David H. Rothberg argued the cause for appellant Ridgway, McLeod & Associates (Messrs. Rothberg & Linder, attorneys; Mr. Rothberg on the brief).

Mr. Charles R. Parker, Deputy Attorney General, argued the cause for respondent (Mr. George F. Kugler, Jr., Attorney General, attorney; Mr. Stephen Skillman, Assistant Attorney General, of counsel; Mr. Philip I. Kagan, Deputy Attorney General, on the brief).

Before Judges KILKENNY, LABRECQUE and LANE.

The opinion of the court was delivered by LANE, J.A.D.

Ridgway, McLeod & Associates appeals from an order of the Bureau of Securities suspending it from operating as a broker-dealer for 30 days. The bases of the suspension were: (1) appellant's failure to maintain the minimum net capital requirement, in violation of Bureau of Securities Regulation 13:13-3, and (2) appellant's attempt to sell its own securities in order to raise

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