SEC v D.E. WINE INVESTMENTS, INC., W. RANDAL MILLER, et al


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Keywords & Phrases

CaseNo: 79, Defendant: D.E. Wine Investments, Inc., W. Randal Miller, Kenneth B. Karpf, And Duncan E. Wine; Glenn Robert Lawrence, Administrative Law Judge File No. 3-8543, Plaintiff: SEC, UniqueCaseRef: SEC>79, Securities, Exchange Act, Wine, Commission, Respondents, Miller, Prevailing Market Price, Pursuant, Karpf, Transactions, Markups, Registrant, Customers, Dealer, Investments, Undisclosed Markups, Proceeding, Enforcement, Violations, Inter-dealer, Time Period, Randal Miller, Common Stock, First Film, Quotations, Pricing Policy, Contemporaneous Inter-dealer, Relevant Time, Registered Representatives, Administrative Proceeding , ContentID: 120245703

Case Documents

1995-12-08

SEC ADMINISTRATIVE LAW JUDGE DECISION
[ see first page and extracted highlights below ] ItemID: 112442

27 pages
TXT

Total Documents: 1 document , 27 pages

Price: $ 19.95

IVESLCD01 KGI0001

1 . SEC ADMINISTRATIVE LAW JUDGE DECISION

EXTRACTED KEY WORDS

EXCHANGE ACT
WINE
COMMISSION
RESPONDENTS
MILLER
PREVAILING MARKET PRICE
PURSUANT
KARPF
TRANSACTIONS
MARKUPS
REGISTRANT
CUSTOMERS
DEALER
INVESTMENTS
UNDISCLOSED MARKUPS
PROCEEDING
ENFORCEMENT
VIOLATIONS
INTER-DEALER
TIME PERIOD
RANDAL MILLER
COMMON STOCK
FIRST FILM
QUOTATIONS
PRICING POLICY
CONTEMPORANEOUS INTER-DEALER
RELEVANT TIME
REGISTERED REPRESENTATIVES
ADMINISTRATIVE PROCEEDING

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



                         INITIAL DECISION RELEASE NO. 79

                         ADMINISTRATIVE PROCEEDING
                         FILE NO. 3-8543




                     UNITED STATES OF AMERICA
                            Before the
                SECURITIES AND EXCHANGE COMMISSION





                              :
In the Matter of              :
                              :
D.E. WINE INVESTMENTS, INC.   :    INITIAL DECISION
W. RANDAL MILLER, KENNETH B.  :    DECEMBER 8, 1995
KARPF, AND DUNCAN E. WINE     :
                              :


APPEARANCES:   Phillip W. Offill, Jr., and Karen L. Cook for the
               Division of Enforcement, Securities and Exchange
               Commission

               Roger A. Tolins for Respondents

BEFORE:        Glenn Robert Lawrence, Administrative Law Judge





     These public proceedings were instituted by an Order of the

Commission dated November 4, 1994, pursuant to  8A of the

Securities Act of 1933 ("Securities Act") and  15(b), 19(h),

21B and 21C of the Securities Exchange Act of 1934 ("Exchange

SNIPPETS:

ADMINISTRATIVE PROCEEDING

SECURITIES AND EXCHANGE COMMISSION

D.E. WINE INVESTMENTS, INC.: INITIAL DECISION W. RANDAL MILLER, KENNETH B.: DECEMBER 8, 1995

Division of Enforcement, Securities and Exchange

Commission dated November 4, 1994, pursuant to 8A of the

21B and 21C of the Securities Exchange Act of 1934 ("Exchange

Enforcement against the respondents were true;

Investments, Inc. ("D.E.

Miller, Kenneth B. Karpf, and Duncan E. Wine willfully violated

Rule 10b-5 thereunder, by charging D.E. Wine customers excessive,

undisclosed markups and markdowns ranging from 10.3 percent to