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1
.
SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
SECURITIES GRDA STIFEL COMMISSION ACT OKLAHOMA EXCHANGE PROCEEDING PAYMENT SAKURA FINANCE DISCLOSE DEBT SERVICE FUND VIOLATIONS PURSUANT BROKER-DEALER PUBLIC FINANCE OFFICE FINDINGS SANCTIONS ENTRY RESTRUCTURING PAY VICE PRESIDENT MONEY ORDER INVESTMENT CONTRACT PANNONE PACIFIC MATRIX AMOUNT CONFLICT |
UNITED STATES OF AMERICA
before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES ACT OF 1933
Release No. 7635 / January 27, 1999
SECURITIES EXCHANGE ACT OF 1934
Release No. 40984 / January 27, 1999
ADMINISTRATIVE PROCEEDING
File No. 3-9819
:
: ORDER INSTITUTING PUBLIC
In the Matter of : ADMINISTRATIVE PROCEEDINGS
PURSUANT
: TO SECTION 8A OF THE
: SECURITIES ACT OF
RANDALL W. NELSON, : 1933 AND SECTIONS 15(b)(6) AND
: 19(h) OF THE SECURITIES
EXCHANGE
: ACT OF 1934, MAKING FINDINGS
AND IMPOSING
Respondent. : REMEDIAL SANCTIONS AND A CEASE
AND-
: DESIST ORDER
:
I.
The Securities and Exchange Commission ("Commission") deems
it appropriate and in the public interest that a public
administrative proceeding be, and hereby is, instituted pursuant
to Section 8A of the Securities Act of 1933 ("Securities Act")
and Sections 15(b)(6) and 19(h) of the Securities Exchange Act of
1934 ("Exchange Act"), against Randall W. Nelson ("Nelson").
II.
In anticipation of the institution of this proceeding,
Nelson has submitted an Offer of Settlement ("Offer"), which the
Commission has determined to accept. Solely for the purpose of
this proceeding, and any other proceedings brought by or on
behalf of the Commission, or to which the Commission is a party,
Nelson, without admitting or denying the findings contained in
this Order Instituting Public Administrative Proceedings Pursuant
to Section 8A of the Securities Act of 1933 and Sections 15(b)(6)
SNIPPETS:
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