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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
SECURITIES COMMISSION EXCHANGE ACT ADMINISTRATIVE PROCEEDINGS LIEBERMAN FINDINGS PURSUANT BROKER-DEALER HEREBY REMEDIAL SANCTIONS SANCTIONS SET UNITED STATES RESPONDENTS SETTLEMENT ADMITTING DENYING IMPOSING CONSENT COMPLAINT PRICE DISTRICT VIOLATING SELL ARTIFICIALLY INFLATED PRICES INVESTORS ALLEGATIONS STATES DISTRICT COURT SOUTHERN DISTRICT YORK |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
Securities Exchange Act of 1934
Release No. 41942 / September 29, 1999
Administrative Proceedings
File No. 3-10049
________________________________________
ORDER INSTITUTING PUBLIC
In the Matter of ADMINISTRATIVE PROCEEDINGS
PURSUANT TO SECTION 15(b)
Sterling Foster & Company, Inc. and OF THE SECURITIES
Adam Lieberman EXCHANGE ACT OF 1934, MAKING
FINDINGS AND IMPOSING
REMEDIAL SANCTIONS>
Respondents.
_________________________________________
I.
The Securities and Exchange Commission ("Commission") deems it
appropriate and in the public interest that public administrative
proceedings be instituted pursuant to Section 15(b) of the Securities
Exchange Act of 1934 ("Exchange Act") against Sterling Foster &
Company, Inc. ("Sterling Foster"), a broker-dealer registered with the
Commission, and Adam Lieberman ("Lieberman").
II.
In anticipation of the institution of this administrative proceeding,
Sterling Foster and Lieberman have submitted Offers of Settlement
("Offers"), 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,
Sterling Foster and Lieberman, without admitting or denying the
findings contained in this Order Instituting Public Administrative
Proceedings Pursuant to Section 15(b) of the Securities Exchange Act
of 1934, Making Findings and Imposing Remedial Sanctions ("Order"),
except the findings set forth in Paragraphs IV.A., IV.B., IV.C. and
IV.D. below, which they admit, each consent to the issuance of this
Order and to the entry of the findings and the imposition of the
SNIPPETS:
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