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1
.
SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
FCG ROCCO SECURITIES CAP COMMISSION UIP EXCHANGE ACT OFFERING DOCUMENTS INVESTOR FUNDS SALE MATERIAL FACT ADMINISTRATIVE PROCEEDINGS PURCHASE RESPONDENT BROKER-DEALER SELL PROSPECTIVE INVESTORS INSTRUMENTS INTERSTATE COMMERCE MAILS SETTLEMENT FINDINGS STOCK VEHICLE INCOME-PRODUCING PROPERTIES DOCUMENTS CONTAINED OMISSIONS DEPOSIT EFFECT TRANSACTIONS INDUCE |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 39752 / March 13, 1998
ADMINISTRATIVE PROCEEDING
File No. 3-9558
)
In the Matter of: ) ORDER INSTITUTING ADMINISTRATIVE
) PROCEEDINGS, MAKING FINDINGS AND
) IMPOSING REMEDIAL SANCTIONS
JAMES D. ROCCO )
)
Respondent. )
)
)
I.
The Commission deems it appropriate and in the public interest
that
public administrative proceedings be instituted pursuant to Sections
15(b)
and 19(h) of the Securities Exchange Act of 1934 (Exchange Act)
against
James D. Rocco (Rocco). In anticipation of the institution of these
administrative proceedings, the Respondent has submitted an Offer of
Settlement, which the Commission has determined to accept. Solely for
the
purpose of this proceeding and any other proceeding brought by or on
behalf
of the Commission, or to which the Commission is a party, and without
admitting or denying the findings herein, except as to jurisdiction and
the
findings contained in Sections III.A and III.R herein, which are
admitted,
the Respondent consents to the entry of this Order Instituting
SNIPPETS:
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