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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
EXCHANGE ACT COMMISSION PROCEEDING SECURITIES INSTITUTING SANCTIONS PURSUANT FINDINGS DISTRICT YORK COMMON STOCK PRICE PURCHASES PHOENIX COMMON STOCK UNITED STATES IMPOSING ENTRY HEREBY BROKER-DEALER KRAMER COMMISSION DEEMS PERMANENT PETER STATES DISTRICT COURT SOUTHERN DISTRICT ADMITTING CONSENTS JUDGEMENT SCHIFFER |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 34-42880 / June 1, 2000
ADMINISTRATIVE PROCEEDING
File No. 3-10216
_________________________________________________________________
In the Matter of
PERTER G. MINTZ,
Respondent.
_________________________________________________________________
ORDER INSTITUTING A PROCEEDING
MAKING FINDINGS AND IMPOSING
REMEDIAL SANCTIONS PURSUANT TO
SECTION 15(b)(6) OF THE SECURITIES
EXCHANGE ACT OF 1934
I.
The Commission deems it appropriate and in the public interest to
institute a public administrative proceeding pursuant to Section
15(b)(6) of the Securities Exchange Act of 1934 ("Exchange Act") (15
U.S.C. § 78o(b)(6)) to determine what action, if any, is necessary in
light of the entry of a permanent injunction against Peter G. Mintz
("Mintz") on May 22, 2000, which occurred in the United States
District Court for the Southern District of New York.
II.
In anticipation of the institution of these proceedings, Mintz has
submitted an Offer of Settlement ("Offer"), 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 to
which the Commission is a party, and without admitting or denying the
findings or conclusions contained herein, except for those contained
in Section III. 1., 2., and 3., which are admitted, Mintz consents to
the issuance of this Order Instituting A Proceeding, Making Findings
and Imposing Remedial Sanctions Pursuant to Section 15(b)(6) of the
Securities Exchange Act of 1934 (the "Order"), the entry of the
findings contained herein, and the imposition of the sanction set
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