Document ID: SEC-2010-0867-0001
Agency: sec
Document Type: Notice
Title: Meetings; Sunshine Act
Posted Date: 2010-06-16T04:00Z

[Federal Register: June 16, 2010 (Volume 75, Number 115)]
[Notices]               
[Page 34183]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr16jn10-106]                         

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SECURITIES AND EXCHANGE COMMISSION

 
Sunshine Act Meeting

    Notice is hereby given, pursuant to the provisions of the 
Government in the Sunshine Act, Public Law 94-409, that the Securities 
and Exchange Commission will hold an Open Meeting on June 18, 2010 at 
10 a.m. in the Auditorium, Room L-002, to hear oral argument in an 
appeal by Guy S. Amico and Scott H. Goldstein from the decision of an 
administrative law judge. The law judge found that Amico and Goldstein, 
the president and chief executive officer, respectively, of registered 
broker-dealer Newbridge Securities Corporation, failed reasonably to 
supervise Daniel M. Kantrowitz, a former trader at Newbridge, within 
the meaning of Sections 15(b)(4)(E) and 15(b)(6) of the Securities 
Exchange Act of 1934, with a view to detecting and preventing 
Kantrowitz's violations of the registration and antifraud provisions of 
the federal securities laws. For these failures, the law judge barred 
Amico and Goldstein from associating with a broker-dealer in a 
supervisory capacity with a right to apply for reinstatement after two 
years and imposed on each a civil money penalty of $79,000.
    Among the issues likely to be argued are whether Kantrowitz's 
conduct violated the registration and antifraud provisions of the 
securities laws, whether Amico and Goldstein failed reasonably to 
supervise Kantrowitz, and, if so, whether and to what extent sanctions 
should be imposed on Amico and Goldstein.
    At times, changes in Commission priorities require alterations in 
the scheduling of meeting items.
    For further information and to ascertain what, if any, matters have 
been added, deleted or postponed, please contact:
    The Office of the Secretary at (202) 551-5400.

    Dated: June 11, 2010.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010-14576 Filed 6-14-10; 11:15 am]
BILLING CODE 8010-01-P