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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
KNOWLEDGEWARE SALES EXCHANGE ACT COMMISSION LETTERS PROCEEDING TRANSACTIONS RESELLERS CONTINGENT PAYMENT SECURITIES REVENUE RIGHTS ADMINISTRATION VIOLATIONS PURPORTED SALES TRANSACTIONS PURSUANT FINDINGS REPORTS SUBMITTING OFFICERS BOOKS RECOGNITION ORDER ADMINISTRATION PERSONNEL TAFS IMPROPER UNITED STATES HEREBY EMPLOYEES MATERIALLY FALSE |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
Securities Exchange Act of 1934
Release No. 41927 / September 28, 1999
Accounting and Auditing Enforcement
Release No. 1163 / September 28, 1999
Administrative Proceeding
File No. 3-10038
In the Matter of ORDER INSTITUTING PUBLIC
Joseph A. Mathes, SECTION 21C OF THE
SECURITIES EXCHANGE ACT OF 1934,
MAKING FINDINGS, AND
Respondent. CEASE-AND-DESIST ORDER AND
ORDER OF DISGORGEMENT
I.
The Securities and Exchange Commission ("Commission") deems it
appropriate and in the public interest that public administrative
proceedings be, and hereby are, instituted pursuant to Section 21C of
the Securities Exchange Act of 1934 ("Exchange Act") against Joseph A.
Mathes ("Mathes").
II.
In anticipation of the institution of these administrative
proceedings, Mathes 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 to which the Commission is a party, and without
admitting or denying the findings contained herein, except as to the
Commission's finding of jurisdiction over him and the subject matter
of this proceeding, which Mathes admits, Mathes consents to the
issuance of this Order Instituting Proceedings ("Order") and to the
entry of the findings and the imposition of relief set forth below.
III.
FINDINGS
SNIPPETS:
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