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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
SECURITIES COMMISSION ACT BALLOU WACKLER HARLAN EXCHANGE ACT COMPLAINT ADMITTING INSTITUTING PROCEEDINGS PURSUANT ENTRY BROKER-DEALER ADMINISTRATIVE PROCEEDINGS FINDINGS SANCTIONS PARAGRAPH HEREBY DISTRICT COURT VIOLATIONS PERMANENT UNITED STATES LINDA BALLOU BRUCE HARLAN DENYING INJUNCTIONS CONSENT RELEVANT TIMES |
UNITED STATES OF AMERICA
before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 42955 / June 19, 2000
ADMINISTRATIVE PROCEEDING
File No. 3-10234
_________________________________________________________________
In the Matter of
LINDA BALLOU, RONALD
WACKLER and BRUCE HARLAN,
Respondents.
_________________________________________________________________
ORDER INSTITUTING PUBLIC
ADMINISTRATIVE
PROCEEDINGS PURSUANT TO
SECTION 15(b) OF THE
SECURITIES EXCHANGE ACT
OF 1934, MAKING FINDINGS,
AND IMPOSING REMEDIAL
SANCTIONS
I.
The Securities and Exchange Commission ("Commission") deems it
appropriate and in the public interest that public administrative
proceedings be instituted against Linda Ballou ("Ballou"), Ronald
Wackler ("Wackler") and Bruce Harlan ("Harlan") (collectively, the
"Respondents") pursuant to Section 15(b) of the Securities Exchange
Act of 1934 ("Exchange Act").
II.
In anticipation of the institution of these proceedings, each of the
Respondents has submitted an Offer of Settlement (the "Offers"), 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 any of the findings contained herein, except as
to the jurisdiction of the Commission over them and over the subject
matter of these proceedings, and the entry of the injunctions set
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