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SEC v GREG G. ANDERSON and RUSSELL G. KOCH; CAROL FOX FOELAK, ADMINISTRATIVE LAW JUDGE FILE NO. 3-8 Click to find out why . . .


Keywords & Phrases
CaseNo: 97, Defendant: Greg G. Anderson and Russell G. Koch; Carol Fox Foelak, Administrative Law Judge File No. 3-8832, Plaintiff: SEC, UniqueCaseRef: SEC>97, Respondent, Securities, Koch, Exchange Act, Unifirst, Commission, Injunction, Proceeding, Penny Stock, Violations, Judgement, Div, Pursuant, Enforcement, Russell, Permanent Injunction, Civil Action, Proposed Findings, Penny Stock Bar, Securities Dealer, Barred Respondent Koch, Disciplinary History, Materials, Robert Kaye, Order Instituting Proceedings, Thereunder, Broker-dealer, Investors, Continuous Operation, Nasd , ContentID: 120245685

Case Documents
1 1996-09-27 SEC ADMINISTRATIVE LAW JUDGE DECISION
[ see first page and extracted highlights below  ] ItemID: 112424 		23 pages
TXT
Total Documents: 1 document , 23 pages
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1 . SEC ADMINISTRATIVE LAW JUDGE DECISION

EXTRACTED KEY WORDS 
SECURITIES
KOCH
EXCHANGE ACT
UNIFIRST
COMMISSION
INJUNCTION
PROCEEDING
PENNY STOCK
VIOLATIONS
JUDGEMENT
DIV
PURSUANT
ENFORCEMENT
RUSSELL
PERMANENT INJUNCTION
CIVIL ACTION
PROPOSED FINDINGS
PENNY STOCK BAR
SECURITIES DEALER
BARRED RESPONDENT KOCH
DISCIPLINARY HISTORY
MATERIALS
ROBERT KAYE
ORDER INSTITUTING PROCEEDINGS
THEREUNDER
BROKER-DEALER
INVESTORS
CONTINUOUS OPERATION
NASD







==========================================START OF PAGE 1======



                              INITIAL DECISION RELEASE NO. 97

                              ADMINISTRATIVE PROCEEDING
                              FILE NO. 3-8832


                     UNITED STATES OF AMERICA
                            Before the
                SECURITIES AND EXCHANGE COMMISSION



______________________________
                              :
In the Matter of              :
                              :         INITIAL DECISION
GREG M. ANDERSON              :         SEPTEMBER 27, 1996
RUSSELL G. KOCH               :
______________________________:














APPEARANCES:   Thomas M. Melton and Lindsay McCarthy for the
Division of
               Enforcement, Securities and Exchange Commission,
               Salt Lake District Office
SNIPPETS:
  • Enforcement, Securities and Exchange Commission,
  • Robert Kaye for Respondent Russell G. Koch
  • initiated this proceeding by an Order Instituting Proceedings
  • on September 26, 1995, pursuant to Section 15of the
  • Securities Exchange Act of 1934.
  • that a Final Judgment of Permanent Injunction Against Russell G.
  • Koch (Final Judgment) enjoined him from violations of Sections
  • thereunder in SEC v. Unifirst Corp., Civil Action No. 93-C-867B
  • Utah Jan. 25, 1995) (SEC v. Unifirst).
  • Unifirst Corporation, a penny stock.
  • Respondent Koch.-- The Division of Enforcement
  • the Division's Proposed Findings of Fact, Conclusions of Law,
  • -- Citations to exhibits offered by the Division will be noted as "Div.
  • -- The Commission has already revoked the registration of Kochcapital and barred Respondent
  • -- Pursuant to Rule 3a51-1, an equity security is penny stock if: 1) net tangible assets of
  • the permanent injunction issued against him in other proceedings.
  • The language authorizing a penny stock bar was added to the
  • The broker-dealer must have a reasonable basis under the circumstances to believe that the
  • Information regarding issuers of non-NASDAQ securities is generally not readily available to
  • the 15c2-11 materials that Kochcapital submitted to the National
  • Disciplinary History of Respondent Koch and Kochcapital
  • The NASD has censured,
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