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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
COMMISSION SECURITIES INVESTORS NICHI EXCHANGE ACT PROCEEDING JUDGEMENT ADMINISTRATIVE PROCEEDINGS INSTITUTING FINDINGS SANCTIONS PURPORTED IPO FUNDS UNITED STATES RESPONDENT ADMINISTRATIVE PROCEEDINGS PURSUANT IMPOSING HEREBY YORK REPRESENTATIONS WISE CHOICE BROKERAGE INJUNCTIVE ACTION ADMITTING BASIS DEALERS CIVIL DISTRICT COURT |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
Securities Exchange Act of 1934
Release No. 42856 / May 30, 2000
Administrative Proceeding
File No. 3-10211
__________________________
In the Matter of
BRIAN WALFISH,
Respondent.
__________________________
ORDER INSTITUTING
ADMINISTRATIVE PROCEEDINGS
PURSUANT TO SECTIONS 15(b)(6)
AND 19(h) OF THE SECURITIES
EXCHANGE ACT OF 1934,
MAKING 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 public administrative proceedings pursuant to Sections 15(b)(6)
and 19(h) of the Securities Exchange Act of 1934 ("Exchange Act") be,
and hereby are, instituted against respondent Brian Walfish
("Walfish").
II.
In anticipation of the institution of this proceeding, Walfish has
submitted an Offer of Settlement ("Offer"), which the Commission has
determined is in the public interest to accept. Solely for the purpose
of this proceeding, and any other proceeding brought by or on behalf
of the Commission or in which the Commission is a party, and without
admitting or denying the findings set forth herein, except as to the
fact that a Final Judgment By Default was entered against him as set
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