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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
EXCHANGE MILLER COMMISSION SECURITIES EXCHANGE ACT YORK VIOLATION SANCTIONS RESPONDENT NASD MONEY ORDER UNITED STATES MEMBER JEFFREY SUBMITTING THEREUNDER EFFECTING PAY STANDARDS BANK PAYMENT AMOUNT DISQUALIFICATION TRANSACTIONS ACCORDANCE FINDINGS ENTRY BROKER-DEALER FUTURE VIOLATION |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
Securities Exchange Act of 1934
Release No. 34-41909 / September 23, 1999
Administrative Proceeding
File No. 3-9244
____________________________________
In the Matter of
MARSH BLOCK & CO., INC,
ALFRED G. BLOCK, ORDER MAKING FINDINGS, AND
KENNETH L. MARSH, and IMPOSING REMEDIAL SANCTIONS,
JEFFREY M. MILLER, AND CEASE-AND-DESIST ORDER
AS TO JEFFREY M. MILLER
Respondents.
___________________________________
I.
In these administrative and cease-and-desist proceedings instituted
pursuant to Sections 15(b), 19(h) and 21C of the Securities Exchange
Act of 1934 ("Exchange Act"), Respondent Jeffrey M. Miller ("Miller")
has submitted an Offer of Settlement ("Offer") which the Securities
and Exchange Commission ("Commission") has determined to accept.
II.
Solely for the purpose of these proceedings, 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 set forth
below, except as to the jurisdiction of the Commission over him and
over the subject matter of these proceedings, which are admitted,
Miller consents to the entry of the findings and the imposition of
remedial sanctions and order of the Commission set forth herein.
III.
On the basis of this Order Making Findings, Imposing Remedial
Sanctions, and Cease-and-Desist Order As to Respondent Miller
("Order") and the Offer, the Commission finds that
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