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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
EXCHANGE ACT COMMISSION COMPLAINT DISTRIBUTION SECURITIES INSTITUTING PURSUANT CUSTOMERS RICHARD FINDINGS INVESTORS HEREBY ACCOUNTS ANNUITY ACCOUNTS REMEDIAL SANCTIONS PURSUANT ADMITTING ACCORDING FUNDS HORSES UNITED STATES ADMINISTRATIVE PROCEEDING MAKING FINDINGS IMPOSING PROTECTION DENYING CONSENTS BROKER-DEALERS COURT ALLEGATIONS |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
RELEASE NO. 44496 / June 29, 2001
ADMINISTRATIVE PROCEEDING
FILE NO. 3-10527
_________________________________________________________________
In the Matter of
RICHARD T. HAMMACK,
Respondent.
_________________________________________________________________
ORDER INSTITUTING PROCEEDINGS,
MAKING FINDINGS AND IMPOSING
REMEDIAL SANCTIONS PURSUANT TO
SECTIONS 15(b) and 19(h) OF THE
SECURITIES EXCHANGE ACT OF 1934
I.
The Securities and Exchange Commission ("Commission") deems it
appropriate in the public interest and for the protection of investors
that public administrative proceedings be instituted against Richard
T. Hammack ("Hammack") pursuant to Sections 15(b) and 19(h) of the
Securities Exchange Act of 1934 ("Exchange Act").
II.
In anticipation of the institution of these proceedings, Hammack has
submitted an Offer of Settlement ("Offer"), which the Commission has
determined to accept. Solely for the purpose of these proceedings and
any other proceedings brought by or on behalf of the Commission, or to
which the Commission is a party, and without admitting or denying the
Commission's findings contained herein, except to as the Commission's
jurisdiction and to the Commission's findings set forth in Paragraphs
III.A. and III.B., which are admitted, Hammack consents to the entry
of this Order Instituting Proceedings, Making Findings and Imposing
Remedial Sanctions pursuant to Sections 15(b) and 19(h) of the
Exchange Act ("Order").
Accordingly, IT IS HEREBY ORDERED that proceedings pursuant to
Sections 15(b) and 19(h) of the Exchange Act be and hereby are
SNIPPETS:
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