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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
SECURITIES COMMISSION PROCEEDING EXCHANGE ACT ADMINISTRATIVE PROCEEDING INSTITUTING FINDINGS REMEDIAL SANCTION ENTRY PERMANENT INJUNCTION HEREBY BROKER-DEALER COMPLAINT MATTER CHARLES HAGEMANN IMPOSING DEEMS PROCEEDING PURSUANT SETTLEMENT ADMITTING DENYING CONSENTS CALIFORNIA VIOLATIONS DISTRICT ALLEGES DEFENDANTS SALE |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 44421 \ June 13, 2001
ADMINISTRATIVE PROCEEDING
File No.3-10508
In the Matter of
CHARLES F. HAGEMANN,
Respondent.
ORDER INSTITUTING PUBLIC
ADMINISTRATIVE
PROCEEDING, MAKING
FINDINGS AND IMPOSING
REMEDIAL SANCTION
I.
The Securities and Exchange Commission ("Commission") deems it
appropriate in the public interest that a public administrative
proceeding pursuant to Section 15(b) of the Securities Exchange Act of
1934 ("Exchange Act") be instituted against Respondent Charles F.
Hagemann ("Respondent").
II.
In anticipation of the institution of this administrative proceeding,
Respondent has submitted an Offer of Settlement ("Offer"), which the
Commission has determined to accept. Solely for the purpose of this
proceeding and any other proceeding brought by or on behalf of the
Commission, or in which the Commission is a party, and without
admitting or denying the findings contained herein, except that
Respondent admits the entry of the permanent injunction against him
referred to in paragraph III.B. below and the jurisdiction of the
Commission over him and over the subject matter of this proceeding,
Respondent by his Offer of Settlement consents to the entry of this
Order Instituting Public Administrative Proceeding, Making Findings
and Imposing Remedial Sanction ("Order"), and to the entry of the
findings and remedial sanction set forth below.
Accordingly, IT IS ORDERED that a proceeding pursuant to Section 15(b)
of the Exchange Act be, and hereby is, instituted.
SNIPPETS:
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