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1
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SEC ADMINISTRATIVE LAW JUDGE DECISION
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EXTRACTED KEY WORDS
BROUMAS SECURITIES EXCHANGE ACT TRADING MARKET TRADES STOCK ACCOUNTS RESPONDENT MANIPULATION JML CLASS BANK MADISON COMMISSION PRICE FIRST POTOMAC WASH TRADES APPEARANCE MATCHED ORDERS UNITED STATES PURCHASES VIOLATION TRANSACTIONS REGISTERED REPRESENTATIVES LARA MILLARD JOINT ACCOUNT NASD MARKING-THE-CLOSE TRADES TOTAL REPORTED MARKET |
==========================================START OF PAGE 1======
INITIAL DECISION RELEASE NO. 78
ADMINISTRATIVE PROCEEDING
FILE NO. 3-8512
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
____________________________
:
In the Matter of :
:
CAROLE L. HAYNES : INITIAL DECISION
: NOVEMBER 24, 1995
:
____________________________ :
APPEARANCES: David S. Horowitz and Merri Jo Gillette, Division of
Enforcement, Securities and Exchange Commission
Lionel E. Pashkoff, Attorney for the Respondent
BEFORE: Glenn Robert Lawrence, Administrative Law Judge
SNIPPETS:
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