SEC v A.R. BARON & CO., INC., et al


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Keywords & Phrases

CaseNo: 34-37514, Defendant: A.R. Baron & Co., Inc., Andrew E. Bressman and Roman Okin, Plaintiff: SEC, UniqueCaseRef: SEC>34-37514, Tcdo, Exchange Act, Securities, Supplemental Order, Commission, Respondents, Violate, Baron, Cease, Seq, Bressman, Okin, Thereunder, Purposes, Resolving, Admitting, Denying, Allegations, Consent, Entry, Harm, Hereby, Customer, Investors, Substantial Harm, Prior, Commission Deems, Soliciting, Effecting Transactions, Liquidating Customer , ContentID: 120245003

Case Documents

1996-08-02

SEC ADMINISTRATIVE PROCEEDING
[ see first page and extracted highlights below ] ItemID: 111740

3 pages
TXT

Total Documents: 1 document , 3 pages

Price: $ 19.95

IVESLCD01 KGI0001

1 . SEC ADMINISTRATIVE PROCEEDING

EXTRACTED KEY WORDS

EXCHANGE ACT
SECURITIES
SUPPLEMENTAL ORDER
COMMISSION
RESPONDENTS
VIOLATE
BARON
CEASE
SEQ
BRESSMAN
OKIN
THEREUNDER
PURPOSES
RESOLVING
ADMITTING
DENYING
ALLEGATIONS
CONSENT
ENTRY
HARM
HEREBY
CUSTOMER
INVESTORS
SUBSTANTIAL HARM
PRIOR
COMMISSION DEEMS
SOLICITING
EFFECTING TRANSACTIONS
LIQUIDATING CUSTOMER




                     UNITED STATES OF AMERICA
                            before the
                SECURITIES AND EXCHANGE COMMISSION

SECURITIES EXCHANGE ACT OF 1934
Rel. No. 37514 / August 2, 1996

Admin. Proc. File No. 3-9010
___________________________________________
                                           :
             In the Matter of              :
                                           :
           A.R. BARON & CO. INC.           :  SUPPLEMENTAL
                                           :  ORDER
                   and                     :
                                           :
             ANDREW E. BRESSMAN            :
                 ROMAN OKIN                :
___________________________________________:

     This Commission, on May 29, 1996, issued a Temporary Cease

and Desist Order and Order for Related Relief ("the TCDO"),

pursuant to Section 21C(c) of the Securities Exchange Act of 1934

("Exchange Act") and Rule 500 et seq., of the Commission's Rules

of Practice, 17 C.F.R. 500 et seq. on application of the Division

of Enforcement ("Division").  In that application, the Division

alleged that Respondents A.R. Baron & Co., Inc. ("Baron"), Andrew

E. Bressman ("Bressman") and Roman Okin ("Okin") violated Section

17(a) of the Securities Act of 1933, 15 U.S.C.  77q(a), Section

10(b) of the Exchange Act, 15 U.S.C.  78j(b), and Rule 10b-5

thereunder, 17 C.F.R.  240.10b-5.  Solely for purposes of

resolving the Division's application for the TCDO, the

Respondents, without admitting or denying the allegations

SNIPPETS:

SECURITIES AND EXCHANGE COMMISSION

and Desist Order and Order for Related Relief ("the TCDO"),

pursuant to Section 21Cof the Securities Exchange Act of 1934

and Rule 500 et seq.,

E. Bressman and Roman Okin violated Section

thereunder, 17 C.F.R. 240.10b-5.

Respondents, without admitting or denying the allegations

continue to violate the TCDO.

Solely for purposes of resolving the

Division's July 1, 1996 application for a supplemental order, the

consent to entry of this Supplemental Order.

investors, or substantial harm to the public interest prior to

this Commission deems it appropriate to

IT HEREBY IS ORDERED that, while the TCDO remains in effect,

Respondents Baron, Bressman, and Okin, and each of them, cease

and desist from soliciting or effecting transactions for Baron or

any customer in any security, other than liquidating customer


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