SEC v ROBIN RUSHING and HAROLD (B.J.) GALLISON, et al


\|

Keywords & Phrases

CaseNo: 85, Defendant: Robin Rushing And Harold (B.J.) Gallison, Jr.; Burton S. Kolko, Administrative Law Judge File No. 3-8593, Plaintiff: SEC, UniqueCaseRef: SEC>85, Respondents, Securities, Commission, Exchange Act, Rushing, Burnett, Astro, Gallison, Pursuant, Thereunder, Financial Statements, Annual Report, United States, Sanctions, Trading Suspension, Administrative Proceeding, Quotations, Subsection, Reasonable Basis, Robin Rushing, Violation, Broker-dealer, Enforcement, Registration Statement, Reporting Company, Requirements Set, Market-making, Diligence Fee, Respondents Argue, Believing , ContentID: 120245697

Case Documents

1996-01-26

SEC ADMINISTRATIVE LAW JUDGE DECISION
[ see first page and extracted highlights below ] ItemID: 112436

18 pages
TXT

Total Documents: 1 document , 18 pages

Price: $ 19.95

IVESLCD01 KGI0001

1 . SEC ADMINISTRATIVE LAW JUDGE DECISION

EXTRACTED KEY WORDS

SECURITIES
COMMISSION
EXCHANGE ACT
RUSHING
BURNETT
ASTRO
GALLISON
PURSUANT
THEREUNDER
FINANCIAL STATEMENTS
ANNUAL REPORT
UNITED STATES
SANCTIONS
TRADING SUSPENSION
ADMINISTRATIVE PROCEEDING
QUOTATIONS
SUBSECTION
REASONABLE BASIS
ROBIN RUSHING
VIOLATION
BROKER-DEALER
ENFORCEMENT
REGISTRATION STATEMENT
REPORTING COMPANY
REQUIREMENTS SET
MARKET-MAKING
DILIGENCE FEE
RESPONDENTS ARGUE
BELIEVING






                         INITIAL DECISION RELEASE NO. 85

                         ADMINISTRATIVE PROCEEDING
                         FILE NO. 3-8593



                     UNITED STATES OF AMERICA
                           Before the
                SECURITIES AND EXCHANGE COMMISSION




                              :
In the Matter of              :
                              :
ROBIN RUSHING and HAROLD      :    INITIAL DECISION
("B.J.") GALLISON, JR.        :    January 26, 1996
                              :
                              :









APPEARANCES:   Carl A. Tibbets for the Division of Enforcement,
               Securities and Exchange Commission

               Irving M. Einhorn, Attorney for the Respondents

BEFORE:        Burton S. Kolko, Administrative Law Judge

SNIPPETS:

UNITED STATES OF AMERICA

SECURITIES AND EXCHANGE COMMISSION

ROBIN RUSHING and HAROLD: INITIAL DECISION

Carl A. Tibbets for the Division of Enforcement,

Irving M. Einhorn, Attorney for the Respondents

This administrative proceeding was instituted pursuant to

Sections 15and 21C of the Securities Exchange Act of 1934

and Harold Gallison, Jr.

Section 15of the Exchange Act and Rule 15c2-11 thereunder,

During 1990, Respondents were employed by Burnett, a brokerdealer registered with the

supervised Rushing's market-making activities.