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To: Yiqun Xie who wrote (16048)	1/4/1999 8:22:00 PM
From: Patrick Slevin	of 17305

My books are pretty old but the same stuff should apply. If it gets this far, then, You have to complain to the District Business Conduct Committee in the district where this happened. You can probably find an address on a website if you check www.nasd. something or other. I know the NY one is down in the Battery near Wall Street. You have to specify what the complaint is and sign it. They will provide an opportunity for a hearing and make a decision in writing. Penalties, if the Committee decides National Discount Brokers are at fault, include possible -censure -fine -suspension and/or -expulsion. My guess if you complain to the Compliance Dude he will understand (if NDB is wrong) that the costs outweigh the benefits and probably try to either bust the trade or make some offer to make you whole again. If not, mention in the complaint the name of the Compliance guy and anyone else involved in the entire thing. You might attach a trade record of that day if possible to the complaint to show that the trade was executed above the market; and if possible a copy of the order canning the trade.

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