SEC v ALAN E. ROSENTHAL; BRENDA P. MURRAY, et al


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Keywords & Phrases

CaseNo: 91, Defendant: Alan E. Rosenthal; Brenda P. Murray, Administrative Law Judge File No. 3-8642, Plaintiff: SEC, UniqueCaseRef: SEC>91, Solomon, Securities, Act, Conviction, Exchange Act, Commission, Investment, Tax, Drexel, Evidence, Sanction, Cir, Pension, Violation, Broker, Bonds, Pursuant, Management, Jury, Offering, Plan, District Court, Appellate Court, Tax Trades, Party, Dealer, Losses, Assets, Respondent , ContentID: 120245691

Case Documents

1996-06-19

SEC ADMINISTRATIVE LAW JUDGE DECISION
[ see first page and extracted highlights below ] ItemID: 112430

13 pages
TXT

Total Documents: 1 document , 13 pages

Price: $ 19.95

IVESLCD01 KGI0001

1 . SEC ADMINISTRATIVE LAW JUDGE DECISION

EXTRACTED KEY WORDS

SECURITIES
ACT
CONVICTION
EXCHANGE ACT
COMMISSION
INVESTMENT
TAX
DREXEL
EVIDENCE
SANCTION
CIR
COURT
PENSION
VIOLATION
BROKER
BONDS
PURSUANT
MANAGEMENT
JURY
OFFERING
PLAN
DISTRICT COURT
APPELLATE COURT
TAX TRADES
PARTY
DEALER
LOSSES
ASSETS
RESPONDENT


                                 INITIAL DECISION RELEASE NO. 91

                                 ADMINISTRATIVE PROCEEDING
                                 FILE NO. 3-8642



                     UNITED STATES OF AMERICA
                            Before the
                SECURITIES AND EXCHANGE COMMISSION


_______________________________

In the Matter of              :
                              :
ALAN E. ROSENTHAL             :         INITIAL DECISION
                              :         June 19, 1996
                              :
_______________________________






APPEARANCES:   Larry P. Ellsworth and Michael P. O'Callaghan for
               the Division of Enforcement, Securities and
               Exchange Commission

               Eliot Lauer and Michael Quinn for Alan E.
               Rosenthal


BEFORE:        Brenda P. Murray, Chief Administrative Law Judge







     The Securities and Exchange Commission (Commission)

instituted this proceeding on March 15, 1995, pursuant to Section

15(b)(6) of the Securities Exchange Act of 1934 (Exchange Act).

SNIPPETS:

SECURITIES AND EXCHANGE COMMISSION

instituted this proceeding on March 15, 1995, pursuant to Section

15of the Securities Exchange Act of 1934.

Rosenthal was convicted after a jury trial of offering a gratuity

in connection with a pension plan investment in violation of 18

June 10, 1992), aff'd, 9 F.3d 1016 (2d Cir.

I will refer to the district court decision as

Rosenthal I and the appellate court decision as Rosenthal II.

aiding and abetting the giving of a "thing of value" to a pension

unlawfully, willfully and knowingly gave and offered and promised to give and offer, directly ctions, decisions, and other duties related to questions and matters concerning such plans, namely,

The district court deleted the words "false and fraudulent" from the count before charging