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Technology Stocks : IFLY - travel sales on the web pure play -- Ignore unavailable to you. Want to Upgrade?

To: LTK007 who wrote (3660)	1/6/1999 8:55:00 AM
From: RAVEL	Respond to of 4761

MEMBER FIRM: FIRST LONDON SECURITIES CORPORATION BD NUMBER: 29709 NASD Member Firm: FIRST LONDON SECURITIES CORPORATION BD Number: 29709 1/05/99 SUMMARY INFORMATION 1/05/99: 10/20/98 NASD CENSURE AND FINE ACCEPTANCE, WAIVER AND CONSENT; FIRST LONDON SECURITIES CORPORATION WAS CENSURED AND FINED $2,500 BY THE NASD FOR VIOLATION OF NASD RULE 2110, IN THAT MEMBER FIRM FAILED TO FILE A FORM BD-Y2K ON A TIMELY BASIS IN VIOLATION OF SECTION 17(a) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 17a-5 THEREUNDER. (NASD COMPLAINT NO. CAF980039) 1/05/99: 10/05/94 NASD CENSURE AND FINE ACCEPTANCE, WAIVER AND CONSENT; CENSURED AND FINED $5,000 FOR VIOLATIONS OF ARTICLE III, SECTION 1 OF THE RULES OF FAIR PRACTICE. WITHOUT ADMITTING OR DENYING THE COMPLAINT ALLEGATIONS, THE FIRM CONSENTED TO THE FOLLOWING FINDINGS: THE FIRM USED INSTRUMENTALITIES OF INTERSTATE COMMERCE TO EFFECT TRANSACTIONS IN NON-EXEMPT SECURITIES WHILE FAILING TO MAINTAIN ITS REQUIRED MINIMUM NET CAPITAL. [NASD COMPLAINT NO. C06940032]