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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
SECURITIES ALEXANDER COMMISSION EXCHANGE ACT AMERICAN PURSUANT ADRIAN ANTONIU ALEXANDER RESPONDENTS PRIVATE PLACEMENT UNITED STATES PATRICK FINDINGS ORDER INSTITUTING SANCTIONS BROKER TRANSACTIONS ECAS ADMINISTRATIVE PROCEEDINGS SETTLEMENT REGISTERED BROKER-DEALER MONEY ORDER MAKING FINDINGS INVESTMENT COMPANY TRANSACTION-BASED COMPENSATION VIOLATIONS ECAL BVI VISTA TECHNOLOGIES THERAPEUTIC PATCH RESEARCH CALIFORNIA QUARTZ |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
Securities Exchange Act of 1934
Release No. 44414 / June 13, 2001
Administrative Proceeding
File No. 3-10506
_________________________________________________________________
In the Matter of
Patrick J. Rooney and
Adrian Antoniu Alexander
Respondents.
_________________________________________________________________
ORDER INSTITUTING PUBLIC
PROCEEDINGS PURSUANT TO
SECTIONS 15(b)(6) AND 21C OF THE
SECURITIES EXCHANGE ACT
OF 1934, MAKING FINDINGS,
IMPOSING CEASE-AND-DESIST
ORDERS, AND REMEDIAL
SANCTIONS
I.
The Securities and Exchange Commission ("Commission") deems it
appropriate and in the public interest to institute public
administrative proceedings against Patrick J. Rooney ("Rooney") and
Adrian Alexander ("Alexander") (collectively, "Respondents"), pursuant
to Sections 15(b)(6) and 21C of the Securities Exchange Act of 1934
("Exchange Act").
II.
In anticipation of the institution of these administrative
proceedings, Respondents have submitted Offers of Settlement
("Offers") that the Commission has determined are in the public
interest 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, prior to a hearing and without admitting or
denying the findings set forth herein, except as to (a) jurisdiction,
and (b) the existence of the prior convictions and Bar Orders
discussed in Section IV(A) below, which each admits, Respondents
SNIPPETS:
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