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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
EXCHANGE ACT COMMISSION PROCEEDING BATES RESPONDENT PURSUANT SETTLEMENT BRENNAN ROSS UNITED STATES ADMITTING FINDINGS SANCTIONS HEREBY BROKER-DEALER ANDERSON DISTRICT STATES DISTRICT COURT JUDGMENT PERMANENTLY ENJOINING VIOLATING REGULATION PROMULGATED THEREUNDER PURCHASES SALES MINT STOCK ENGAGING FRAUDULENT FOREGOING IMPOSE |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 41893 \ September 22, 1999
ADMINISTRATIVE PROCEEDING
File No. 3-10019
In the Matter of ORDER INSTITUTING A PUBLIC
PROCEEDING PURSUANT TO
SECTIONS 15(b) AND 19(h) OF THE
Barry A. Bates SECURITIES EXCHANGE ACT OF 1934,
MAKING FINDINGS AND IMPOSING REMEDIAL
FINDINGS AND IMPOSING REMEDIAL
SANCTIONS
Respondent
I.
The Securities and Exchange Commission ("Commission") deems it
appropriate in the public interest and for the protection of investors
that a proceeding be instituted pursuant to Sections 15(b)(6) and
19(h) of the Securities Exchange Act of 1934 ("Exchange Act") with
respect to Barry A. Bates ("Bates or Respondent").
In anticipation of the institution of these proceedings, Bates has
submitted to the Commission an Offer of Settlement which the
Commission has determined to accept. Solely for the purpose of these
proceedings and any other proceedings brought by or on behalf of the
Commission, or to which the Commission is a party and without
admitting or denying the findings, except those contained in
paragraphs III(A) and (B) below, which are admitted, Bates consents to
the entry of this Order Instituting a Public Proceeding Pursuant to
Sections 15(b) and 19(h) of the Securities Exchange Act of 1934,
Making Findings and Imposing Remedial Sanctions ("Order").
II.
Accordingly, IT IS ORDERED that a proceeding pursuant to Sections
15(b)(6) and 19(h) of the Exchange Act is hereby instituted.
III.
SNIPPETS:
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