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1
.
SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
BETTIGA COMMISSION EXCHANGE ACT PROCEEDING CUSTOMERS INVESTMENT PURSUANT SUBMITTING AMOUNT REMEDIES HIGH-RISK PAY IMPOSE WORTH DISGORGEMENT PURCHASE PLUS PREJUDGMENT CIVIL PENALTY MONEY ORDER PETITION ADMINISTRATOR FINDINGS TEXAS VIOLATION SPECULATIVE SECURITY OFFERING SOLD OBJECTIVES |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES ACT OF 1933
Release No. 7682 / May 13, 1999
SECURITIES EXCHANGE ACT OF 1934
Release No. 41398 / May 13, 1999
ADMINISTRATIVE PROCEEDING
File No. 3-9648
:
In the Matter of :
: Order Making Findings
Robert G. Bettiga, : and Imposing Remedial
: Sanctions, and Order to
Respondent. : Cease and Desist
:
I.
In these proceedings 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"),
Respondent
Robert G. Bettiga ("Bettiga"), pursuant to Rule 240 of the Rules of
Practice of the Securities and Exchange Commission, has submitted an
Offer of Settlement ("Offer") which the Commission has determined to
accept. [1] 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
Sections II A. and B., and the jurisdiction of the Commission over
him
in this matter, which are admitted, Bettiga consents to the issuance
of
this Order Making Findings and Imposing Remedial Sanctions, and
Order
to Cease and Desist ("Order").
II.
SNIPPETS:
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