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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
EXCHANGE ACT SECURITIES BARON COMMISSION RESPONDENT CUSTOMER ACCOUNTS REGISTERED REPRESENTATIVES PROCEEDING VIOLATIONS MANIPULATION SUPERVISE HPI STOCK FINDINGS REGULATION THEREUNDER TRUSTEE TRADES EXECUTE BANKRUPTCY TRUSTEE ANDREW BRESSMAN RICHARD MARK GOLDMAN YORK SALES SELL PURCHASES PAYMENT |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 43189 / August 22, 2000
ADMINISTRATIVE PROCEEDING
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
MARK GOLDMAN
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 Mark Goldman ("Goldman" 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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