The allegations read: Charges issued by nyse division of enforcement and pending: charge i - john joseph gebbia, by reason of the facts set forth in the statement of facts and explanation, caused a member organization of which he owned 100% of the issued and outstanding capital stock through holding companies to falsify its books and records in violation of sec rule 17a-3 promulgated under the act and exchange rule 440 and he is, therefore, subject to discipline pursuant to
exchange rule 476 (a). - charge ii -- john joseph gebbia, by reason of the facts set forth in the statement of facts and explanation, caused a member organization of which he owned 100% of the issued and outstanding capital stock through holding companies to inaccurately compute its net capital in violation of sec rule 15c3-1 promulgated under the act and exchange rule 325 and he is, therefore, subject ot discipline pursuant to exchange rule 476(a). - charge iii-- john joseph gebbia, by reason of facts set forth in the statement of facts and explanation, caused a member organization of which he owned 100% of the issued and outstanding capital stock through holding companies to file false focus reports with the exchange in violation of sec rule 17a-5 promulgated under the act and he is, therefore, subject to discpline pursuant to exchange rule 476(a). - charge iv - john joseph bebbia, by reason of the facts set forth in the statement of facts and explanation, violated exchange ruel 342 in that he failed to provide for appropriate supervision and control of his member organization, and he is, therefore, subject to discipline pursuant to exchange rule 476 (a).
