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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
RICHARDT-ALYN SECURITIES EXCHANGE ACT COMMISSION RESPONDENTS BROKER-DEALERS ADMINISTRATIVE PROCEEDINGS FINDINGS PHILADELPHIA STOCK OTC VIOLATING MONEY ORDER NASDAQ THEREUNDER UNDERTAKING UNITED STATES SANCTIONS CEASE TRADING OTC TRADES ADMITTING BASIS TRADER COMPLIANCE INCOME EXECUTE TRANSACTIONS |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES ACT OF 1933
Release No. 7884 / September 1, 2000
SECURITIES EXCHANGE ACT OF 1934
Release No. 43241 / September 1, 2000
ADMINISTRATIVE PROCEEDING
File No. 3-9099
In the Matter of
RICHARDT-ALYN & CO.,
RICHARD B. FEINBERG, and
ALAN S. FEINBERG,
Respondents.
ORDER MAKING FINDINGS,
IMPOSING REMEDIAL
SANCTIONS AND ORDERING
RESPONDENTS TO CEASE
AND DESIST
I.
On September 26, 1996, the Securities and Exchange Commission
instituted public administrative proceedings pursuant to Section 8A of
the Securities Act of 1933 ("Securities Act") and Sections 15(b),
19(h) and 21C of the Securities Exchange Act of 1934 ("Exchange Act")
against Respondents Richardt-Alyn & Co. ("Richardt-Alyn"), Richard B.
Feinberg ("R. Feinberg"), and Alan S. Feinberg ("A. Feinberg").
In response to the institution of these administrative proceedings,
Respondents Richardt-Alyn, R. Feinberg and A. Feinberg have submitted
an Offer of Settlement ("Offer") that the Commission has determined to
accept. Solely for the purposes of this proceeding and any other
proceedings 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 those contained in paragraphs II.a., b. and
c. below, which are admitted, Richardt-Alyn, R. Feinberg and A.
Feinberg consent to the issuance of this Order Making Findings,
Imposing Remedial Sanctions and Ordering Respondents to Cease and
Desist ("Order").
II.
SNIPPETS:
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