SEC v F.N. WOLF & CO., INC., HIBBARD BROWN & CO., INC., et al


\|

Keywords & Phrases

CaseNo: 83, Defendant: F.N. Wolf & Co., Inc., Hibbard Brown & Co., Inc., L.C. Wegard & Co., Inc., Franklin N. Wolf, Richard P. Brown, And Leonard B. Greer; Glenn Robert Lawrence, Administrative Law Judge File No. 3-8533, Plaintiff: SEC, UniqueCaseRef: SEC>83, Wolf, Wegard, Securities, Hibbard, Counsel Units, Div, Exchange Act, Greer, Price, Purchases, Commission, Bid, Respondents, Market, Exs, Thereunder, Leglu, Manipulation, Common Stock, Ipo, Ladenburg, Wien Securities, Customers, Transactions, Csg, Hibbard Brown, Purchasing, Bear Stearns, United States, Retail Customers , ContentID: 120245699

Case Documents

1996-01-03

SEC ADMINISTRATIVE LAW JUDGE DECISION
[ see first page and extracted highlights below ] ItemID: 112438

80 pages
TXT

Total Documents: 1 document , 80 pages

Price: $ 19.95

IVESLCD01 KGI0001

1 . SEC ADMINISTRATIVE LAW JUDGE DECISION

EXTRACTED KEY WORDS

WEGARD
SECURITIES
HIBBARD
COUNSEL UNITS
DIV
EXCHANGE ACT
GREER
PRICE
PURCHASES
COMMISSION
BID
RESPONDENTS
MARKET
EXS
THEREUNDER
LEGLU
MANIPULATION
COMMON STOCK
IPO
LADENBURG
WIEN SECURITIES
CUSTOMERS
TRANSACTIONS
CSG
HIBBARD BROWN
PURCHASING
BEAR STEARNS
UNITED STATES
RETAIL CUSTOMERS








                              INITIAL DECISION RELEASE NO. 83

                              ADMINISTRATIVE PROCEEDING
                              FILE NO. 3-8533




                     UNITED STATES OF AMERICA
                            Before the
                SECURITIES AND EXCHANGE COMMISSION





                              :
In the Matter of              :
                              :
F.N. WOLF & CO., INC.,        :    INITIAL DECISION
HIBBARD BROWN & CO., INC.,    :    JANUARY 3, 1996
L.C. WEGARD & CO., INC.,      :
FRANKLIN N. WOLF,             :
RICHARD P. BROWN, and         :
LEONARD B. GREER              :
                              :









APPEARANCES:   Mark H. Borrelli, Jonathan H. Stein and James A.
               Davidson, for the Division of Enforcement,
               Securities and Exchange Commission

               Jerome M. Selvers and Chad N. Cagan for
               Respondents L.C. Wegard & Co., Inc., and Leonard

SNIPPETS:

UNITED STATES OF AMERICA

SECURITIES AND EXCHANGE COMMISSION

Respondents L.C. Wegard & Co., Inc., and Leonard

1934 (Exchange Act).

alleges that Respondents-- F.N. Wolf & Co.,

and Leonard B. Greer willfully violated Section 17of the

Rules 13d-1, 13d-2and 15c1-2 thereunder, that Wolf & Co.

participated with Wolf & Co. and Hibbard Brown & Co.,

transactions through Bear Stearns & Co.,

Prior to purchasing Wegard & Co.,

refers to the Division's proposed "Stipulations of the Parties," portions of which have been