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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
SECURITIES BARKUS ADMINISTRATIVE PROCEEDINGS EXCHANGE COMMISSION PROCEEDINGS PURSUANT ALLEGES DISTRICT ADMINISTRATIVE PROCEEDING FILE ENFORCEMENT ALLEGES RELEVANT TIMES MARSH REGISTERED BROKER-DEALER UNITED STATES DISTRICT STATES DISTRICT COURT CENTRAL DISTRICT CALIFORNIA AMERICAN TELECOM INTERCONNECT FUTURE VIOLATIONS THEREUNDER ADMINISTRATIVE LAW JUDGE ALLEGATIONS REMEDIAL SANCTIONS |
SECURITIES AND EXCHANGE COMMISSION
ADMINISTRATIVE PROCEEDINGS INSTITUTED AGAINST STEVEN G. BARKUS
ORDER INSTITUTING PUBLIC PROCEEDINGS PURSUANT TO SECTIONS 15(b) AND
19(h) OF THE SECURITIES EXCHANGE ACT OF 1934
Securities Exchange Act of 1934
Release No.41835 / September 3, 1999
Administrative Proceeding File No. 3-10000
The Commission has instituted public administrative proceedings
pursuant to Sections 15(b) and 19(h) of the Securities Exchange Act of
1934 ("Exchange Act") against Respondent Steven G. Barkus ("Barkus").
In the Order, the Division of Enforcement alleges that Barkus was at
all relevant times a registered representative with Marsh, Block &
Co., Inc., a registered broker-dealer. The Order further alleges that
on June 10, 1998, Barkus was permanently enjoined by the United States
District Court for the Central District of California, in the case of
Securities and Exchange Commission v. American Telecom Interconnect,
et. al., CV 96-2952 (DDP)(C.D. Cal.), from future violations of
Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Section
10(b) of the Exchange Act and Rule 10b-5 thereunder.
A hearing will be held before an administrative law judge to determine
whether the staff's allegations against Barkus are true, and, if so,
to determine what remedial sanctions, if any, are appropriate and in
the public interest.
_________________________________________________________________
Modified 09/08/1999
SNIPPETS:
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