SEC v FERDINAND RUSSO, RUSSO SECURITIES, INC., et al


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Keywords & Phrases

CaseNo: 80, Defendant: Ferdinand Russo, Russo Securities, Inc., Lawrence I. Mascera, Mascera & Company, Inc.; Glenn Robert Lawrence, Administrative Law Judge File No. 3-8573, Plaintiff: SEC, UniqueCaseRef: SEC>80, Russo, Cooper, Russo Securities, Opinion Letter, Respondents, Exchange Act, Bonds, Commission, Reset, Debentures, Market, Mascera, Pursuant, Nyse, Price, Cooper Companies, Nationally Recognized Investment, Investment Banking Firm, Violation, Patrick Russo, Recognized Investment Banking, Testimony, Fred Russo, Administrative Proceeding, Ferdinand Russo, Fitzpatrick, Reset Provision, Allegations, Misconduct, Remedial Action , ContentID: 120245702

Case Documents

1995-12-11

SEC ADMINISTRATIVE LAW JUDGE DECISION
[ see first page and extracted highlights below ] ItemID: 112441

23 pages
TXT

Total Documents: 1 document , 23 pages

Price: $ 19.95

IVESLCD01 KGI0001

1 . SEC ADMINISTRATIVE LAW JUDGE DECISION

EXTRACTED KEY WORDS

COOPER
RUSSO SECURITIES
OPINION LETTER
RESPONDENTS
EXCHANGE ACT
BONDS
COMMISSION
RESET
DEBENTURES
MARKET
MASCERA
PURSUANT
NYSE
PRICE
COOPER COMPANIES
NATIONALLY RECOGNIZED INVESTMENT
INVESTMENT BANKING FIRM
VIOLATION
PATRICK RUSSO
RECOGNIZED INVESTMENT BANKING
TESTIMONY
FRED RUSSO
ADMINISTRATIVE PROCEEDING
FERDINAND RUSSO
FITZPATRICK
RESET PROVISION
ALLEGATIONS
MISCONDUCT
REMEDIAL ACTION

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                         INITIAL DECISION RELEASE NO. 80

                         ADMINISTRATIVE PROCEEDING
                         FILE NO. 3-8573




                     UNITED STATES OF AMERICA
                            Before the
                SECURITIES AND EXCHANGE COMMISSION





                              :
In the Matter of              :
                              :
FERDINAND RUSSO,              :    INITIAL DECISION
RUSSO SECURITIES, INC.,       :    DECEMBER 11, 1995
LAWRENCE I. MASCERA, and      :
MASCERA & COMPANY, INC.       :
                              :









APPEARANCES:   Sarah A. Smith for the Division of Enforcement,
               Securities and Exchange Commission

               Simon S. Kogan for Respondents Ferdinand Russo and
               Russo Securities, Inc.

BEFORE:        Glenn Robert Lawrence, Administrative Law Judge

SNIPPETS:

SECURITIES AND EXCHANGE COMMISSION

RUSSO SECURITIES, INC.,: DECEMBER 11, 1995

MASCERA & COMPANY, INC.:

the Securities Exchange Act of 1934 to determine

whether allegations of misconduct against the respondents are

true and what if, any, remedial action would be appropriate in

Respondents Ferdinand Russo and Russo Securities, Inc.,--in furnishing Cooper Companies, Inc.

Indenture aided and abetted Cooper's violation of Section 10

pursuant to Section 15of the Exchange Act since July 1979.

Stock Exchange (NYSE) and the National Association of Security

The Cooper Companies,