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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
ROBERT MITCHELL SECURITIES GARY MITCHELL COMMISSION EXCHANGE ACT VIOLATION RESPONDENT PROCEEDING BROKER-DEALER UNITED STATES PURSUANT CUSTOMER COLORADO CRRA FOXI PURCHASE COMMIT MONEY ORDER PAY STOCK YORK UNITED STATES CODE PAYMENT SETTLEMENT REPRESENTATIVES PURPORTS MARKET FOXMOOR |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES ACT OF 1933
Release No. 7661 / March 30, 1999
SECURITIES EXCHANGE ACT OF 1934
Release No. 41228 / March 30, 1999
ADMINISTRATIVE PROCEEDING
File No. 3 - 9151
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In the Matter of : ORDER MAKING
: FINDINGS,
: IMPOSING REMEDIAL
: SANCTIONS
Robert Mitchell and : AND IMPOSING A
: CEASE-AND-
Gary Mitchell, : DESIST ORDER
:
Respondents. :
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I.
In connection with a public administrative proceeding
instituted against them pursuant to Section 8A of the
Securities Act of 1933 ("Securities Act") and Sections 15(b)
and 21C of the Securities Exchange Act of 1934 ("Exchange
Act"), Robert Mitchell and Gary Mitchell have submitted
Offers of Settlement ("Offers") to the Securities and
Exchange Commission ("Commission"), 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 in which the Commission is a party, and
without admitting or denying the findings contained herein,
except as to jurisdiction which is admitted, Robert Mitchell
and Gary Mitchell consent to the entry of the findings and
remedial sanctions set forth below.
II.
On the basis of this Order and the Offers submitted by
Robert Mitchell and Gary Mitchell, the Commission makes the
following findings[1]:
SNIPPETS:
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