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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
JWCFS COMMON STOCK SHARES EXCHANGE ACT JWCC SCHEDULE COMMISSION INVESTMENT SECURITIES OUTSTANDING MARKET BUSINESS VIOLATIONS OFFERING ADMINISTRATIVE PROCEEDINGS PURSUANT MARKET MAKING SUBSIDIARIES BROKER-DEALER CHARLES ACQUISITION RESPONDENT AMERICAS THEREUNDER STATUTORY HOLDING TENDER MERGER ACCUMULATE |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 43053 / July 19, 2000
ADMINISTRATIVE PROCEEDING
File No. 3-10256
_________________________________________________________________
In the Matter of
JWGENESIS FINANCIAL, INC.,
formerly known as JW CHARLES
FINANCIAL SERVICES, INC.,
Respondent.
_________________________________________________________________
ORDER INSTITUTING PUBLIC
ADMINISTRATIVE PROCEEDINGS
PURSUANT TO SECTION 21C
OF THE SECURITIES EXCHANGE
ACT OF 1934, MAKING FINDINGS,
AND IMPOSING A CEASE-AND-DESIST ORDER
I.
The Securities and Exchange Commission ("Commission") deems it
appropriate that a public administrative proceeding be, and hereby is,
instituted pursuant to Section 21C of the Securities Exchange Act of
1934 ("Exchange Act") against Respondent JWGenesis Financial, Inc.,
formerly known as JW Charles Financial Services, Inc. ("JWCFS").
II.
In anticipation of the institution of these administrative
proceedings, the Respondent has submitted an Offer of Settlement (the
"Offer") which the Commission has determined to accept. Solely for the
purpose 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, Respondent consents to the
entry of this Order Instituting Public Administrative Proceedings
Pursuant to Section 21C of the Securities Exchange Act of 1934, Making
Findings, and Imposing a Cease-and-Desist Order (the "Order").
III.
SNIPPETS:
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