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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
EXCHANGE ACT COMMISSION RESPONDENTS SECURITIES TRANSFER AGENT REPORT FARRELL EXAMINATION REGULATIONS PURSUANT FINDINGS CERTIFICATES CEASE-AND-DESIST ORDER PARAGRAPH DEFICIENCIES COMPLIANCE STAFF CLEARING AGENCY REVIEW PRESCRIBE VIOLATION PRACTICES POLICIES MONEY ORDER STOCK TRANSFER TRUST INSTITUTING SANCTIONS PURPOSES UTAH |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT
Release No. 43184 / August 21, 2000
ADMINISTRATIVE PROCEEDING
File No. 3-10273
In the Matter of
Alpha Tech Stock Transfer Trust and
James W. Farrell
Respondents
ORDER INSTITUTING PROCEEDINGS PURSUANT
TO SECTIONS 17A(c)(3), 17A(c)(4) and 21C
OF THE SECURITIES EXCHANGE ACT OF 1934,
MAKING FINDINGS, AND IMPOSING REMEDIAL
SANCTIONS AND A CEASE-AND-DESIST ORDER
I.
The Securities and Exchange Commission ("Commission") deems it
appropriate and in the public interest that public administrative and
cease-and-desist proceedings be instituted pursuant to Sections
17A(c)(3), 17A(c)(4) and 21C of the Securities Exchange Act of 1934
("Exchange Act") against Respondents Alpha Tech Stock Transfer Trust
("Alpha Tech") and James W. Farrell (together "Respondents").
In anticipation of the institution of these administrative
proceedings, Respondents have submitted a joint Offer of Settlement
("Offer"), which the Commission has determined to accept. Solely for
the purposes of these proceedings 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 herein, except for those
findings contained in paragraphs II. A. and B. below and the
jurisdiction of the Commission over them and over the subject matter
of these proceedings, which are admitted, Respondents have consented
to the entry of the findings and the imposition of the remedial
sanctions and cease-and-desist order as set forth below.
II.
On the basis of this Order and the Offer submitted by each Respondent,
the Commission makes the following findings
SNIPPETS:
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