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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
COMMISSION PROCEEDING SECURITIES EXCHANGE ACT STOCK PURSUANT WALDRON ADMINISTRATIVE PROCEEDING JUDGEMENT ARTIFICIAL DEMAND MATTER RESPONDENT FINDINGS BROKER-DEALER CONTROLLING CUSTOMER ACCOUNTS HEREBY UNITED STATES CERY SANCTIONS SETTLEMENT ADMITTING HOLDINGS PERMANENT DISTRICT CALIFORNIA CIVIL MARKET |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 41069 / October 28, 1999
ADMINISTRATIVE PROCEEDING
File No. 3-9991
In the Matter of
CERY B. PERLE,
Respondent.
ORDER MAKING FINDINGS AND
IMPOSING REMEDIAL SANCTIONS
I.
In this proceeding ordered pursuant to Sections 15(b) and 19(h) of the
Securities Exchange Act of 1934 ("Exchange Act"), Respondent Cery B.
Perle ("Perle") has submitted an Offer of Settlement ("Offer") which
the Commission has determined to accept. Solely for the purpose of
this proceeding and any other proceeding brought by or on behalf of
the Commission or in which the Commission is a party, and without
admitting or denying the Commission's findings contained herein,
except as to jurisdiction of the Commission over him and over the
subject matter of this proceeding which are admitted, Respondent Perle
by his Offer consents to the entry of the findings set forth below.
II.
On the basis of this Order, the Order Instituting Public
Administrative Proceeding and the Offer of Settlement submitted by
Perle, the Commission finds that
A. From at least September 1995 to March 1999, Waldron & Co., Inc.
("Waldron") was a broker-dealer registered with the Commission (File
No. 8-11329). On March 9, 1999, the Commission canceled Waldron's
registration as a broker-dealer.
B. Perle, age 37, during the relevant period held Series 7 and 24
licenses and was the president of Waldron. Perle was also a one-third
owner of Aubry/Perle Holdings, the holding company which owned
Waldron. Between September 1995 and his dismissal in August 1998,
Perle controlled all of Waldron's operations.
C. A Final Judgment of Permanent Injunction and Other Relief ("Final
Judgment") was entered in the United States District Court for the
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