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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
SECURITIES COMMISSION EXCHANGE ACT OMNI PURSUANT DEALER FINDINGS HEREBY BROKER COMPLAINT INVESTMENT ADMITTING OMNI INTERNATIONAL TRADING SALE DEFENDANTS TENDER ADMINISTRATIVE PROCEEDING RESPONDENT DANIEL SETTLEMENT DENYING CONSENTS SANCTIONS INDUCE DISTRICT EQUITABLE RELIEF ENJOINING BUBALO VIOLATING PROMULGATED THEREUNDER |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
RELEASE NO. 40601 / October 26, 1998
ADMINISTRATIVE PROCEEDING
FILE NO. 3-9760
______________________________
: ORDER INSTITUTING PROCEEDINGS,
In the Matter of : MAKING FINDINGS AND IMPOSING
: REMEDIAL SANCTIONS PURSUANT TO
DANIEL J. BUBALO, : SECTIONS 15(b) and 19(h) OF
THE
: SECURITIES EXCHANGE ACT OF
1934
Respondent. :
:
______________________________:
I.
The Securities and Exchange Commission ("Commission") deems
it appropriate and in the public interest that public
administrative proceedings be instituted against Daniel J. Bubalo
("Bubalo") 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,
Bubalo 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 B., which are admitted, Bubalo 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 Securities Exchange Act of 1934 ("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 Bubalo's Offer, the
SNIPPETS:
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