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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
ROSENBERG SECURITIES COMMISSION AFP EXCHANGE ACT VIOLATION BROKER-DEALER DEBENTURES REGISTER ADMINISTRATIVE PENALTY PURSUANT DEALER CLAIM NET PAY PETITION AMERICAN FINANCIAL PARTNERS REMEDIAL SANCTIONS RESPONDENTS DETERMINATION ADMITTING FINDINGS CEASE OFFEREE INVESTMENT HEREBY COLORADO SELL BUSINESS TRANSACTIONS |
==========================================START OF PAGE 1======
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
Securities Act of 1933
Release No. 7349 / September 30, 1996
Securities Exchange Act of 1934
Release No. 37759 / September 30, 1996
Administrative Proceeding
File No. 3-9129
------------------------------------
:
In the Matter of : ORDER INSTITUTING
: PROCEEDINGS MAKING
: FINDINGS, AND IMPOSING
American Financial Partners, Ltd. : REMEDIAL SANCTIONS AND
Jeffrey S. Rosenberg : CEASE-AND-DESIST ORDERS
:
:
------------------------------------
I.
The Securities and Exchange Commission (the "Commission")
deems it appropriate and in the public interest that public
administrative proceedings be instituted pursuant to Section 8A
of the Securities Act of 1933 ("Securities Act") and Sections
15(b)(6), 19(h) and 21C of the Securities Exchange Act of 1934
("Exchange Act") against American Financial Partners, Ltd.
("AFP") and Jeffrey S. Rosenberg ("Rosenberg").
II.
In anticipation of the institution of these administrative
proceedings, Respondents have submitted Offers of Settlement
("Offers"), which the Commission has determined to accept.
Solely for the purpose of these proceedings, and any other
proceedings brought by or on behalf of the Commission or in which
the Commission is a party, without admitting or denying the
findings set forth below, except with respect to paragraphs
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