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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
COMMISSION SECURITIES PROCEEDING ACT INVESTORS EXCHANGE ACT FINDINGS IMPOSE REMEDIES CHIEF ROLLINS-CHURCH INSTITUTING CIVIL PENALTIES PAY DISGORGEMENT AMOUNT PROSPECTIVE INVESTORS PEROZZI SOLD PLUS PREJUDGMENT PETITION MATTER MICHAEL REMEDIAL SANCTIONS CEASE PURSUANT SETTLEMENT PRIOR SALES VIOLATIONS THEREUNDER |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES ACT OF 1933
Release No. 7687 / May 25, 1999
SECURITIES EXCHANGE ACT OF 1934
Release No. 41445 / May 25, 1999
ADMINISTRATIVE PROCEEDING
File No. 3-9910
In the Matter of
Michael A. Perozzi,
Respondent
ORDER INSTITUTING PROCEEDINGS,
MAKING FINDINGS AND IMPOSING
REMEDIAL SANCTIONS, AND ORDER TO
CEASE AND DESIST
I.
The Securities and Exchange Commission ("Commission") deems it
appropriate and in the public interest that public proceedings be, and
hereby are, instituted pursuant to Section 8A of the Securities Act of
1933 ("Securities Act") and Sections 15(b), 19(h) and 21C of the
Securities Exchange Act of 1934 ("Exchange Act) against Michael A.
Perozzi ("Perozzi").
In anticipation of the institution of these proceedings, Perozzi has
submitted an Offer of Settlement ("Offer") to the Commission, which
the Commission has determined to accept. Solely for the purposes of
this proceeding and any other proceeding brought by or on behalf of
the Commission or in which the Commission is a party, prior to a
hearing pursuant to the Commission's Rules of Practice, 17 C.F.R.
201.100 et seq., and, without admitting or denying the findings
contained herein, except those contained in paragraph II.A., and the
jurisdiction of the Commission over him and the subject matter of
these proceedings, which are admitted, Perozzi consents to the
issuance of this Order Instituting Proceedings, Making Findings and
Imposing Remedial Sanctions and Order to Cease and Desist ("Order"),
and to the entry of the findings set forth below.
SNIPPETS:
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