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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
EXCHANGE ACT BROKERS COMMISSION RESPONDENT CUSTOMER ACCOUNTS SECURITIES PROCEEDING STOCK SUPERVISORY VIOLATIONS FINDINGS REGISTERED REPRESENTATIVES PRINCIPALS THEREUNDER HPI REGULATION OFFICER COMMON STOCK CHIEF CYPROS PRICE MANIPULATION SALES ANDREW BRESSMAN BURTON YORK CHIEF OPERATING OFFICER COMPLAINTS TRADING |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 43269 / September 11, 2000
ADMINISTRATIVE PROCEEDINGS
File Nos. 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
BURTON BLANK
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
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.
On November 4, 1999, the Commission accepted offers of settlement from
respondents Bressman, Okin and Simone and issued orders making
findings and imposing sanctions and other relief as to these
respondents.
In anticipation of the reopening of this proceeding by the Commission,
Respondent Burton Blank ("Blank" or "Respondent") has submitted an
offer of settlement which the Commission has determined to accept
("Offer"). Accordingly, the Commission deems it appropriate to reopen
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