ADMINISTRATIVE PROCEEDING v FINDINGS


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Keywords & Phrases

CaseNo: 34-41227, Defendant: FINDINGS, Plaintiff: ADMINISTRATIVE PROCEEDING, UniqueCaseRef: SEC>34-41227, Securities, Commission, Heitzman, Exchange, Act, Proceeding, Theodore Heitzman, Respondent, Pursuant, Violations, Money Order, Settlement, Broker-dealer, Pay, Wwst Stock, Amount, United States, Payment, Bank, York, Administrative Proceeding, Admitting, Sanctions, Registered Representatives, Compensation, Purchase, Committing, Thereunder, Commission Deems , ContentID: 120244481

Case Documents

1999-03-30

SEC ADMINISTRATIVE PROCEEDING
[ see first page and extracted highlights below ] ItemID: 111215

3 pages
TXT

Total Documents: 1 document , 3 pages

Price: $ 19.95

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1 . SEC ADMINISTRATIVE PROCEEDING

EXTRACTED KEY WORDS

COMMISSION
HEITZMAN
EXCHANGE
ACT
PROCEEDING
THEODORE HEITZMAN
RESPONDENT
PURSUANT
VIOLATIONS
MONEY ORDER
SETTLEMENT
BROKER-DEALER
PAY
WWST STOCK
BUSINESS
AMOUNT
UNITED STATES
PAYMENT
BANK
YORK
ADMINISTRATIVE PROCEEDING
ADMITTING
SANCTIONS
REGISTERED REPRESENTATIVES
COMPENSATION
PURCHASE
COMMITTING
THEREUNDER
COMMISSION DEEMS

                               UNITED STATES OF AMERICA
                                      Before the
                          SECURITIES AND EXCHANGE COMMISSION


             SECURITIES ACT OF 1933
             Release No.   7660 / March 30, 1999

             SECURITIES EXCHANGE ACT OF 1934
             Release No. 41227 / March 30, 1999


             ADMINISTRATIVE PROCEEDING
             File No. 3 - 9155

             - - - - - - - - - - - - - - - - - - -
             In the Matter of                   :        ORDER MAKING
                                                :        FINDINGS,
                                                :        IMPOSING REMEDIAL
                                                :        SANCTIONS
             Theodore Heitzman,                 :        AND IMPOSING A
                                                :        CEASE-AND-
                                                :        DESIST ORDER
                                                :
                      Respondent.               :
             - - - - - - - - - - - - - - - - - - -

                                          I.

                  In connection with a public administrative proceeding
             instituted against him 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"), Theodore Heitzman ("Heitzman") has submitted an Offer
             of Settlement ("Offer") 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, Heitzman
             consents to the entry of the findings and remedial sanctions
             set forth below.

                                         II.

                  On the basis of this Order and the Offer submitted by
             Heitzman, the Commission makes the following findings[1]:

SNIPPETS:

SECURITIES AND EXCHANGE COMMISSION

SECURITIES EXCHANGE ACT OF 1934

In connection with a public administrative proceeding

instituted against him pursuant to Section 8A of the

Theodore Heitzman has submitted an Offer

of Settlement to the Securities and Exchange

without admitting or denying the findings contained herein,

consents to the entry of the findings and remedial sanctions

1996, Heitzman offered to pay, and did pay, undisclosed

compensation to personwhom he believed to be registered

registered representatives, registered principals or persons