 |
 |
|
|
|
|
|
|
|
| | | |
|
|
|
|
|
|||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
1
.
SEC ADMINISTRATIVE PROCEEDING
|
EXTRACTED KEY WORDS
EXCHANGE ACT SECURITIES COMMISSION RESPONDENT PROCEEDING YORK ORDER MAKING FINDINGS RICHARD ACOSTA CUSTOMER COMMON STOCK MANIPULATION SANCTIONS HPI COMMON STOCK ANDREW BRESSMAN ROMAN OKIN REQUESTS PCI RICHARD SIMONE GRAND JURY SALES PRACTICE CUSTOMER ACCOUNTS THEREUNDER MARK GOLDMAN JACK WOLYNEZ REGULATION VIOLATIONS EXECUTE CUSTOMER SELL ADMINISTRATIVE PROCEEDINGS DISTRICT ATTORNEY |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES ACT OF 1933
Release No. 7882 / August 22, 2000
SECURITIES EXCHANGE ACT OF 1934
Release No. 43188 / August 22, 2000
ADMINISTRATIVE PROCEEDINGS
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 AND CEASE-AND-
DESIST ORDER AS TO
RICHARD ACOSTA
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 Richard Acosta ("Acosta" or "Respondent") has submitted an
SNIPPETS:
|
|
|
| | | |
|
|
