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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
BARON ACT SECURITIES EXCHANGE ACT COMMISSION BROKERS PROCEEDING VIOLATIONS CUSTOMER ACCOUNTS RESPONDENT REGISTERED REPRESENTATIVES PRINCIPALS THEREUNDER CYPROS YORK SALES JACK WOLYNEZ FINDINGS COMPLIANCE REGULATION FEDERAL RESERVE BOARD RICHARD TRADING STOCK CONVICTION SETTLEMENT COMPLIANCE DEPARTMENT PRICE SUPERVISE |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 43270 / September 11, 2000
ADMINISTRATIVE PROCEEDING
File No. 3-9168
In the Matter of
ANDREW BRESSMAN,
ROMAN OKIN,
RICHARD ACOSTA,
RICHARD SIMONE,
BURTON BLANK,
MARK GOLDMAN and
JACK WOLYNEZ Respondents.
ORDER MAKING FINDINGS
AND IMPOSING REMEDIAL SANCTIONS AS TO
JACK WOLYNEZ
I.
On December 6, 1996 the Securities and Exchange Commission
("Commission") issued an order postponing these proceedings at the
request of the District Attorney of the County of New York to permit
the grand jury impaneled by the District Attorney to complete its
investigation into the conduct of the respondents in this action and
to file any resulting indictments. Since that time, respondents Andrew
A. Bressman, Roman Okin, Richard Acosta, Richard Simone, Mark Goldman
and Jack Wolynez have been indicted by the grand jury and criminally
convicted in connection with their activities while employed at A.R.
Baron & Co., Inc.
In anticipation of the reopening of this proceeding by the Commission,
Respondent Jack Wolynez ("Wolynez" or "Respondent") has submitted an
offer of settlement which the Commission has determined to accept
("Offer"). Accordingly, the Commission deems it appropriate to reopen
the proceeding as to Respondent Wolynez for the purpose of accepting
his Offer. 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 as to jurisdiction of the Commission over the
Respondent and the subject matter of this proceeding, and as to the
entry of the conviction set forth in paragraph II.B.1. and II.F.
below, which are admitted, Wolynez, by his Offer, consents to the
SNIPPETS:
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