 |
 |
|
|
|
|
|
|
|
| | | |
|
|
|
|
|
|||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
1
.
SEC ADMINISTRATIVE PROCEEDING
|
EXTRACTED KEY WORDS
COMMISSION EXCHANGE ACT MONCHECOURT PROCEEDING POWER PURSUANT SETTLEMENT ADMITTING FINDINGS SANCTIONS BROKER-DEALER POWER SECURITIES CORPORATION DISTRICT FRAUDULENT PENNY STOCKS DEALER INVESTMENT DIRECTING REGISTERED REPRESENTATIVES MISREPRESENTATIONS OMISSIONS CONNECTION SALE CUSTOMERS FOREGOING IMPOSE INVESTMENT COMPANY INVESTMENT ADVISER MUNICIPAL SECURITIES DEALER |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 40964 / January 22, 1999
ADMINISTRATIVE PROCEEDING
FILE NO. 3-9815
: ORDER INSTITUTING A PUBLIC
In the Matter of : PROCEEDING PURSUANT TO SECTIONS
: 15(b)(6) AND 19(h) OF THE
SECURITIES
: EXCHANGE ACT OF 1934, MAKING
Eric Monchecourt : FINDINGS AND IMPOSING REMEDIAL
: SANCTIONS
I.
The Securities and Exchange Commission ("Commission") deems
it appropriate and in the public interest that a proceeding be
instituted pursuant to Sections 15(b)(6) and 19(h) of the
Securities Exchange Act of 1934 ("Exchange Act") with respect to
Eric Monchecourt ("Monchecourt").
In anticipation of the institution of these proceedings,
Monchecourt has submitted to the Commission an Offer of
Settlement 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 to which the
Commission is a party, and without admitting or denying the
findings of fact or conclusions of law, except those contained in
paragraph III.B. below, which are admitted, Monchecourt consents
to the entry of this Order Instituting a Public Proceeding,
Making Findings and Imposing Remedial Sanctions ("Order").
II.
Accordingly, IT IS ORDERED that a proceeding pursuant to
Sections 15(b)(6) and 19(h) of the Exchange Act is hereby
instituted.
III.
On the basis of this Order and the Offer of Settlement
submitted by Monchecourt, the Commission finds that:
SNIPPETS:
|
|
|
| | | |
|
|
