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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
SECURITIES COMMISSION SECURITIES ACT PROCEEDING STAT-TECH SALES DISGORGEMENT EXCHANGE ACT PURSUANT FINDINGS VIOLATIONS PAY DISGORGEMENT FENSTER CIVIL PENALTY PETITION ADMINISTRATIVE LAW JUDGE SANCTIONS SCHNEIDER COLORADO CONSULTANT SHARES STOCK PAYMENT ENFORCEMENT RESPONDENT PURPOSE BROKER-DEALER MATTER SELL |
UNITED STATES OF AMERICA
Before The
SECURITIES AND EXCHANGE COMMISSION
Securities Act of 1933
Release No. 7318 / August 1, 1996
Securities Exchange Act of 1934
Release No. 37511 / August 1, 1996
Administrative Proceeding
File No. 3-8798
------------------------------
:
In the Matter of :
:
RODGER E. THORNTON : ORDER MAKING FINDINGS
: AND IMPOSING SANCTIONS
:
:
:
-------------------------------
I.
In this proceeding ordered 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 ("Exchange Act")
respondent Rodger E. Thornton ("Thornton") has submitted an Offer
of Settlement ("Offer"), which the Commission has determined to
accept1/. 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 Commission's findings contained herein, except as to
jurisdiction and paragraph II.A, which he admits, Thornton
consents to the entry of this Order Making Findings and Imposing
Sanctions set forth below.
II.
On the basis of the Order for Proceedings and the Offer
submitted by Thornton, the Commission finds that:2/
SNIPPETS:
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