 |
 |
|
|
|
|
|
|
|
| | | |
|
|
|
|
|
|||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
1
.
SEC LITIGATION RELEASE
|
EXTRACTED KEY WORDS
SUPPES ANTHONY EXCHANGE COMMISSION BAR ORDER CONSENT BROKER DEALER LITIGATION MICHELLE MARK CIV RPP JUDGMENTS COMPLAINT INJUNCTIONS VIOLATING INVESTMENT EXCHANGE ACT CIVIL ALLEGATIONS PERMANENT INJUNCTIONS ORDER BARRING MUNICIPAL SECURITIES DEALER INVESTMENT ADVISER INVESTMENT COMPANY PAY CIVIL PENALTIES REGISTERED BROKER-DEALER CIVIL INJUNCTIVE ACTION ANTHONY SARIVOLA |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Litigation Release No. 15388 / June 19, 1997
Securities and Exchange Commission v. Michelle P. Suppes and Mark
Anthony
(U.S.D.C. - S.D.N.Y.) 97 Civ. 2376 (RPP)
The Securities and Exchange Commission ("Commission") announced
the
entry on May 27, 1997 of final judgments on consent against Michelle
P.
Suppes ("Suppes") and Mark Anthony ("Anthony"). Without admitting or
denying the allegations in the Commission's Complaint, Suppes and
Anthony
each consented to permanent injunctions against violating (i) a
Commission
Order barring them from association with any broker, dealer,
municipal
securities dealer, investment adviser or investment company ("Bar
Order"),
and (ii) Section 15(b)(6)(B)(i) of the Securities Exchange Act of
1934,
which prohibits any person subject to a Bar Order from associating with
a
broker or dealer. Suppes and Anthony also consented to pay civil
penalties
of $5,000 each.
The Complaint alleged that Suppes and Anthony were violating both
the
Bar Order and Section 15(b)(6)(B)(i) of the Exchange Act by continuing
to
associate with Suppes Securities, Inc., a registered broker-dealer.
The
Commission issued the Bar Order following final judgments on consent
entered against Suppes and Anthony in a prior civil injunctive
action,
Securities and Exchange Commission v. Anthony Sarivola, et al.
(U.S.D.C. -
S.D.N.Y.) 95 Civ. 9270 (RPP). See Litigation Release No. 15214
(January
15, 1997).
SNIPPETS:
|
|
|
| | | |
|
|
