SEC v DANNY G. PINKERTON and KEVIN N. CAMPBELL; BRENDA P. MURRAY, CHIEF ADMINISTRATIVE LAW JUDGE FI


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Keywords & Phrases

CaseNo: 98, Defendant: Danny G. Pinkerton and Kevin N. Campbell; Brenda P. Murray, Chief Administrative Law Judge File No. 3-8805, Plaintiff: SEC, UniqueCaseRef: SEC>98, Campbell, Securities, Securities Act, Commission, Bfl, Denver, Exchange Act, Respondent Campbell, Steele, Sales, Registered Representatives, Pursuant, Offering, Customers, Div, Private Placement, Pinkerton, Investors, Proceeding, Denver Office, United States, Witnesses, Registration Statement, Recommendation, Violations, Placement Memorandum, Enforcement, Order Instituting Proceedings, Broker-dealer, Sales Manager , ContentID: 120245684

Case Documents

1996-10-18

SEC ADMINISTRATIVE LAW JUDGE DECISION
[ see first page and extracted highlights below ] ItemID: 112423

36 pages
TXT

Total Documents: 1 document , 36 pages

Price: $ 19.95

IVESLCD01 KGI0001

1 . SEC ADMINISTRATIVE LAW JUDGE DECISION

EXTRACTED KEY WORDS

SECURITIES
SECURITIES ACT
COMMISSION
BFL
DENVER
EXCHANGE ACT
RESPONDENT CAMPBELL
STEELE
SALES
REGISTERED REPRESENTATIVES
PURSUANT
OFFERING
CUSTOMERS
DIV
PRIVATE PLACEMENT
PINKERTON
INVESTORS
PROCEEDING
DENVER OFFICE
UNITED STATES
WITNESSES
REGISTRATION STATEMENT
RECOMMENDATION
VIOLATIONS
PLACEMENT MEMORANDUM
ENFORCEMENT
ORDER INSTITUTING PROCEEDINGS
BROKER-DEALER
SALES MANAGER

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                              INITIAL DECISION RELEASE NO. 98

                              ADMINISTRATIVE PROCEEDING
                              FILE NO. 3-8805




                     UNITED STATES OF AMERICA
                            Before the
                SECURITIES AND EXCHANGE COMMISSION


_________________________

In the Matter of         :
                         :
DANNY G. PINKERTON and   :         INITIAL DECISION
KEVIN N. CAMPBELL        :         October 18, 1996
                         :
__________________________









APPEARANCES:   Robert M. Fusfeld, Leslie J. Hendrickson, and
               Michael R. MacPhail for the Division of
               Enforcement, Securities and Exchange Commission

               R. Parker Semler for Kevin N. Campbell


BEFORE:        Brenda P. Murray, Chief Administrative Law Judge

SNIPPETS:

UNITED STATES OF AMERICA

Enforcement, Securities and Exchange Commission

instituted this proceeding on September 11, 1995, pursuant to

Section 8A of the Securities Act of 1933 and

The Order Instituting Proceedings

September 1993, Mr. Campbell willfully violated Sections 5,

Exchange Act, and Rule 10b-5 thereunder.

I held hearings in Denver, Colorado, on November 28 through

presented nine witnesses and introduced twenty-seven exhibits.

introduced five exhibits.--The Division and Respondent Campbell submitted Proposed

---------FOOTNOTES------------ I will refer to the exhibits as Div.