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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
SECURITIES ACT CTB COMMISSION EXCHANGE ACT SALE INVESTORS RANDY PURSUANT PARAGRAPHS BROKER MATERIAL FACTS CDS INSTITUTING FINDINGS EDISON WORLDWIDE HEREBY DEALER INDUCE BANK LICENSING COURT BUSINESS SELL COMMERCE DAVID MAKING FINDINGS REMEDIAL SANCTIONS PURSUANT EFFECT TRANSACTIONS PURCHASE |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
RELEASE NO. 41841 / September 8, 1999
ADMINISTRATIVE PROCEEDING
FILE NO. 3-10003
In the Matter of
David A. Johnston,
Respondent.
ORDER INSTITUTING PROCEEDINGS,
MAKING FINDINGS AND IMPOSING
REMEDIAL SANCTIONS PURSUANT
TO SECTIONS 15(b) and 19(h) OF THE
SECURITIES EXCHANGE ACT OF 1934
I.
The Securities and Exchange Commission ("Commission") deems it
appropriate and in the public interest that public administrative
proceedings be instituted against David A. Johnston ("Johnston")
pursuant to Sections 15(b) and 19(h) of the Securities Exchange Act of
1934 ("Exchange Act").
II.
In anticipation of the institution of these proceedings, Johnston has
submitted an Offer of Settlement ("Offer") 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
Commission's findings contained herein, except the Commission's
findings set forth in Paragraphs III.A. and C., which are admitted,
Johnston consents to the entry of this Order Instituting Proceedings,
Making Findings and Imposing Remedial Sanctions pursuant to Sections
15(b) and 19(h) of the Exchange Act ("Order").
Accordingly, IT IS HEREBY ORDERED that proceedings pursuant to
Sections 15(b) and 19(h) of the Exchange Act be and hereby are
instituted.
III.
On the basis of this Order and Johnston's Offer, the Commission finds
that
SNIPPETS:
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