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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
SECURITIES EXCHANGE ACT COMMISSION BEARER BONDS ACCOUNTS CUSTOMERS ADMINISTRATIVE PROCEEDINGS PURSUANT SEASONGOOD BROKER-DEALER MUNICIPAL SECURITIES TRADE CONFIRMATIONS SETTLEMENT FINDINGS SANCTIONS MUNICIPAL SECURITIES DEALER MISREPRESENTATIONS PURCHASE SELL FRAUD ACCOUNT STATEMENTS IMPRISONMENT WILLIAM REGISTERED REPRESENTATIVES MAYER RELEVANT TIME SCHEME DEFRAUD CASH |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 41954 / September 30, 1999
ADMINISTRATIVE PROCEEDING
File No. 3 - 10059
_______________________________
In the Matter of ORDER INSTITUTING PUBLIC
ADMINISTRATIVE PROCEEDINGS
WILLIAM J. BRAMBLE, JR. PURSUANT TO SECTIONS 15(b),
15B(c), AND 19(h) OF THE
Respondent. SECURITIES EXCHANGE ACT
OF 1934, MAKING FINDINGS AND
IMPOSING REMEDIAL SANCTIONS
_______________________________
I.
The Securities and Exchange Commission ("Commission") deems it
appropriate and in the public interest that public administrative
proceedings be instituted pursuant to Sections 15(b), 15B(c), and
19(h) of the Securities Exchange Act of 1934 ("Exchange Act") against
William J. Bramble, Jr. ("Bramble").
In anticipation of the institution of these administrative
proceedings, Bramble has submitted an Offer of Settlement that the
Commission has determined to accept. Solely for the purpose of this
proceeding and any other proceedings brought by or on behalf of the
Commission, or to which the Commission is a party, and admitting the
findings herein, Bramble consents to the entry of this Order
Instituting Public Administrative Proceedings, Making Findings, and
Imposing Remedial Sanctions ("Order").
Accordingly, it is ordered that proceedings pursuant to Sections
15(b), 15B(c), and 19(h) of the Exchange Act be, and hereby are,
instituted.
II.
On the basis of the Order and the Offer of Settlement submitted by
Bramble, the Commission makes the following findings
A. William J. Bramble, Jr. is 38 years old and was a registered
representative of Seasongood & Mayer from July 1989 to September 4,
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