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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
EXCHANGE ACT PROCEEDING SECURITIES EXCHANGE ACT RESPONDENT WALSH PERMANENT DISTRICT SANCTIONS COMMISSION DEEMS PURSUANT HEREBY JOHN PERMANENT INJUNCTION UNITED STATES DISTRICT STATES DISTRICT COURT PENNSYLVANIA ENJOINING RESPONDENT VIOLATIONS PROMULGATED THEREUNDER SETTLEMENT FINDINGS IMPOSING BROKERDEALER JUDGEMENT MORGAN CIVIL ACTION KOSIK FOREGOING DEALER |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 41416 / May 18, 1999
ADMINISTRATIVE PROCEEDING
File No. 3-9900
______________________________
:
In the Matter of :
: ORDER INSTITUTING PUBLIC
JOHN F. WALSH, III , : PROCEEDING, MAKING FINDINGS
: AND IMPOSING REMEDIAL
SANCTIONS
Respondent. :
:
:
______________________________:
I.
The Commission deems it appropriate and in the public
interest that proceedings pursuant to Section 15(b)(6) of the
Securities Exchange Act of 1934 ("Exchange Act") be, and they
hereby are, instituted against John F. Walsh, III ("Respondent")
to determine whether action is necessary in light of the
permanent injunction entered against Respondent by the United
States District Court for the Middle District of Pennsylvania on
May 11, 1999, permanently restraining and enjoining Respondent
from future violations of Section 10(b) of the Exchange Act and
Rule 10b-5 promulgated thereunder.
In anticipation of the institution of this proceeding, Walsh
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 matters set forth in the Order,
except the Commission's jurisdiction over him and over the
subject matter of this proceeding and except as set forth in
SNIPPETS:
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