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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
IOS ACT EXCHANGE COMMISSION RISKS DISCLOSE MORTGAGE INVERSE FLOATERS GSC PUBLIC CLIENTS INVESTORS INSTITUTING PURSUANT RESPONDENT FINDINGS PREPAYMENT SPEEDS MARKET HIGH-RISK CMOS VIOLATIONS MONEY ORDER MISREPRESENTING FAILING LIQUIDITY RISKS PURCHASE YIELD UNITED STATES SANCTIONS GOVERNMENT SECURITIES BROKER-DEALER |
UNITED STATES OF AMERICA
SECURITIES AND EXCHANGE COMMISSION
SECURITIES ACT OF 1933
Release No. 7763 / October 27, 1999
SECURITIES EXCHANGE ACT OF 1934
Release No. 42063 / October 27, 1999
ADMINISTRATIVE PROCEEDING
File No. 3-9327
_______________________________
In the Matter of
ORDER MAKING FINDINGS
Aubrey O'Connor, Rick Pierson AND IMPOSING SANCTIONS
James Winter, Gregory Bowen, AND CEASE-AND-DESIST
and Kenneth Ward, ORDER PURSUANT TO SECTION
8A OF THE SECURITIES ACT OF 1933
Respondents. AND SECTIONS 15(b), 19(h) AND
21C OF THE SECURITIES EXCHANGE
ACT OF 1934 AS TO GREGORY
______________________________ BOWEN
I.
In these proceedings instituted pursuant to Section 8A of the
Securities Act of 1933 ("Securities Act") and Sections 15(b), 19(h)
and 21C of the Securities Exchange Act of 1934 ("Exchange Act"),
respondent Gregory Bowen ("Bowen") has submitted an Offer of
Settlement ("Offer") that the Securities and Exchange Commission has
determined to accept.
II.
Solely for the purpose of this proceeding, 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 contained
herein, except as to the jurisdiction of the Commission over Bowen and
the findings set forth in Section III, Paragraphs A and B, hereof,
which are admitted, and prior to a hearing pursuant to the
Commission's Rules of Practice, 17 C.F.R. § 201.100 et seq., Bowen
consents to the entry of the findings set out below, and the
imposition of remedial sanctions and issuance of a Cease-and-Desist
Order.
SNIPPETS:
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