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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
SECURITIES EXCHANGE ACT COMMISSION COMPLAINT ALLEGES SANCTIONS INSTITUTING PURSUANT FINDINGS DISTRIBUTION PURCHASE DOUGLAS RESPONDENT ORDER INSTITUTING PROCEEDINGS PUBLICITY BROKER-DEALERS UNITED STATES ADMINISTRATIVE PROCEEDING MATTER MAKING FINDINGS IMPOSING REMEDIAL SANCTIONS HEREBY TECHNIGEN CORPORATION VIOLATIONS RULES L0B-5 THEREUNDER SALES EXEMPTION |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 44284 / May 9, 2001
ADMINISTRATIVE PROCEEDING
File No. 3-10480
_________________________________________________________________
In the Matter of
DOUGLAS E. MALLACH,
Respondent.
_________________________________________________________________
ORDER INSTITUTING PROCEEDINGS
PURSUANT TO SECTION 15(b) AND 19(h) OF
THE SECURITIES EXCHANGE ACT OF
1934, MAKING FINDINGS AND IMPOSING
REMEDIAL SANCTIONS
I.
The Commission deems it appropriate and in the public interest that
administrative proceedings be instituted pursuant to Section 15(b) and
19(h) of the Securities Exchange Act of 1934 ("Exchange Act") with
respect to Douglas E. Mallach ("Mallach").
II.
In anticipation of these proceedings, Mallach 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 findings contained
herein, except that Mallach admits the jurisdiction of the Commission
over him and the subject matter of this proceeding and the matters
described in paragraphs III.A., B. and H. of this Order Instituting
Proceedings Pursuant to Section 15(b) and 19(h) of the Securities
Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions
("Order"), Mallach has consented to the findings and sanctions set
forth below.
Accordingly, IT IS ORDERED that the proceedings pursuant to Section
15(b) and 19(h) of the Exchange Act be, and they hereby are,
SNIPPETS:
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