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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
ACEVEDO COMMISSION EXCHANGE ACT PROCEEDING FINDINGS RESPONDENT ROLAND ACEVEDO IMPOSING VIOLATIONS MONEY ORDER UNITED STATES SANCTIONS CEASE-AND-DESIST ORDER PURSUANT SETTLEMENT YORK BROKER-DEALER PENNY STOCKS LBUAA PAY BANK ADMINISTRATIVE PROCEEDING ORDER MAKING FINDINGS ADMITTING REGISTERED REPRESENTATIVES UNDISCLOSED COMPENSATION PURCHASE PAID |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES ACT OF 1933
Release No. 7888 / September 7, 2000
SECURITIES EXCHANGE ACT OF 1934
Release No. 43261 / September 7, 2000
ADMINISTRATIVE PROCEEDING
File No. 3 - 9158
In the Matter of
Roland Acevedo
ORDER MAKING FINDINGS,
IMPOSING REMEDIAL SANCTIONS
AND IMPOSING A CEASE-AND-
DESIST ORDER
I.
In connection with a public administrative proceeding instituted
against him pursuant to Section 8A of the Securities Act of 1933
("Securities Act") and Sections 15(b) and 21C of the Securities
Exchange Act of 1934 ("Exchange Act"), Roland Acevedo ("Acevedo") has
submitted an Offer of Settlement ("Offer") to the Securities and
Exchange Commission ("Commission"), 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 as to jurisdiction which is
admitted, Acevedo consents to the entry of the findings and orders set
forth below.
II.
On the basis of this Order Making Findings, Imposing Remedial
Sanctions, and Imposing a Cease-and-Desist Order ("Order") and the
Offer submitted by Acevedo, the Commission makes the following
findings
A. Roland Acevedo ("Acevedo"), at the time of the conduct in question
was 48 years old, and a resident of New York. Although Acevedo was
previously a registered representative, at the time of the conduct in
question he was not, and currently is not, associated with a
registered broker-dealer.
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