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Petitioner did not hold any licenses or other professional
certifications in the securities industry. Petitioner conducted
all of his purchases and sales of securities either through a
full service or discount broker. Petitioner maintained brokerage
accounts with Ferris & Co., Inc., PaineWebber, Inc., and First
Union Brokerage Services, Inc., during the years in issue.
All of petitioner's stock transactions were engaged in
solely for his own account. Petitioner's stock activity is
summarized as follows:
1987
Month Account Purchases Sales
1/87 Ferris & Co. 1 1
2/87 Ferris & Co. 1 0
3/87 Ferris & Co. 1 3
4/87 Ferris & Co. 0 0
5/87 Ferris & Co. 0 0
6/87 Ferris & Co. 0 0
7/87 Ferris & Co. 3 3
8/87 Ferris & Co. 5 2
PaineWebber 2 0
9/87 Ferris & Co. 2 3
10/87 Ferris & Co. 1 7
PaineWebber 2 2
11/87 Ferris & Co. 0 1
PaineWebber 7 8
12/87 Ferris & Co.1 0 0
PaineWebber 14 6
1988
Month Account Purchases Sales
1/88 PaineWebber 4 10
2/88 PaineWebber 7 8
3/88 PaineWebber 4 4
4/88 PaineWebber 5 5
5/88 PaineWebber 0 2
6/88 PaineWebber 2 0
7/88 PaineWebber 0 0
8/88 PaineWebber 0 0
9/88 PaineWebber 1 0
10/88 PaineWebber 0 0
11/88 PaineWebber 0 0
12/88 PaineWebber 0 1
1989
Month Account Purchases Sales
1/89 PaineWebber 1 1
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