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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
RESPONDENT SECURITIES EXCHANGE ACT ADMINISTRATIVE PROCEEDING UNITED STATES DEEMS PROTECTION INVESTORS HEREBY PURSUANT RESPONDENT MALCOLM MCGUIRE CONSENTS ENTRY FINDINGS SANCTIONS BROKER-DEALER DISTRICT SUSPENSION KERN CIVIL ACTION JUDGEMENT PERMANENTLY ENJOINED RESPONDENT VIOLATING FOREGOING IMPOSE DEALER AFFIDAVIT JONATHAN KATZ |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 42972 / June 21, 2000
ADMINISTRATIVE PROCEEDING
File No. 3-10239
______________________________
In the Matter of ORDER INSTITUTING PUBLIC
ADMINISTRATIVE PROCEEDINGS
MALCOLM MCGUIRE III, PURSUANT TO SECTIONS 15(b)(6)
AND 19(h) OF THE SECURITIES
EXCHANGE ACT OF 1934, MAKING
Respondent. FINDINGS AND IMPOSING
REMEDIAL SANCTIONS
______________________________
I.
The Securities and Exchange Commission ("Commission") deems it
appropriate in the public interest and for the protection of investors
that a public administrative proceeding be, and hereby is, instituted
pursuant to Sections 15(b)(6) and 19(h) of the Securities Exchange Act
of 1934 ("Exchange Act") against Respondent Malcolm McGuire III
("McGuire").
II.
In anticipation of the institution of these administrative
proceedings, Respondent has submitted an Offer of Settlement (the
"Offer") 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 in which the Commission is a party,
Respondent consents to the entry of this Order Instituting Public
Administrative Proceedings Pursuant to Sections 15(b)(6) and 19(h) of
the Securities Exchange Act of 1934, Making Findings and Imposing
Remedial Sanctions (the "Order").
III.
On the basis of this Order and the Respondent's Offer, the Commission
makes the following findings
A. Respondent, during all times relevant hereto, was a person
associated with a registered broker-dealer.
SNIPPETS:
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