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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
WYMER SECURITIES EXCHANGE ACT COMMISSION PROCEEDING RSI TRANSACTIONS CLIENTS PREMIUMS FEES PURSUANT ADVISORY PAY VIOLATION TRADE TICKETS AMOUNT AUTHORIZATION PRICE THEREUNDER ADMINISTRATIVE PROCEEDING FINDINGS ACCORDANCE GOVERNMENT SECURITIES OPTIONS SECURITIES OPTIONS TRADING SCHEME ACCOUNTS OPTIONS TRADING DESK INSTRUCTIONS INVESTMENT ADVISORY |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 37530 / August 6, 1996
ADMINISTRATIVE PROCEEDING
File No. 3-9052
___________________________________
:
In the Matter of : ORDER INSTITUTING PUBLIC
: ADMINISTRATIVE
ROBERT J. DANTONE : PROCEEDING, MAKING
: FINDINGS AND ISSUING
Respondent. : CEASE-AND-DESIST ORDER
:
:
:
__________________________________:
I.
The Securities and Exchange Commission ("Commission") deems
it appropriate that a public administrative proceeding pursuant
to Section 21C of the Securities Exchange Act of 1934 ("Exchange
Act") be instituted against Robert J. Dantone ("Dantone").
II.
In anticipation of the institution of this proceeding,
Dantone 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 in which the Commission is a party, and
without admitting or denying the findings contained herein,
except that Dantone admits the jurisdiction of the Commission
over him and over the subject matter of this proceeding, Dantone
consents to the entry of this Order Instituting Public
Administrative Proceeding, Making Findings and Issuing Cease-and-
Desist Order ("Order") set forth below.
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