SEC v VICTOR H. STREVEL; GLENN ROBERT LAWRENCE, et al


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Keywords & Phrases

CaseNo: 77, Defendant: Victor H. Strevel; Glenn Robert Lawrence, Administrative Law Judge File No. 3-8727, Plaintiff: SEC, UniqueCaseRef: SEC>77, First Alliance, Strevel, Securities, Stocks, Investors, Guilty, Commission, Broker-dealer, Violations, Exchange Act, Prices, Charges, Customers, Accounts, Sanction, Plea, Pled Guilty, Pursuant, Conviction, United States, Purchase, Victor, Respondent, Securities Fraud, Structuring, Sales, Transaction, Net-selling, Nominee Accounts, Indictment , ContentID: 120245705

Case Documents

1995-11-14

SEC ADMINISTRATIVE LAW JUDGE DECISION
[ see first page and extracted highlights below ] ItemID: 112444

13 pages
TXT

Total Documents: 1 document , 13 pages

Price: $ 19.95

IVESLCD01 KGI0001

1 . SEC ADMINISTRATIVE LAW JUDGE DECISION

EXTRACTED KEY WORDS

STREVEL
SECURITIES
STOCKS
INVESTORS
GUILTY
COMMISSION
BROKER-DEALER
VIOLATIONS
EXCHANGE ACT
PRICES
CHARGES
CUSTOMERS
ACCOUNTS
SANCTION
PLEA
PLED GUILTY
PURSUANT
CONVICTION
UNITED STATES
PURCHASE
VICTOR
RESPONDENT
SECURITIES FRAUD
STRUCTURING
SALES
TRANSACTION
NET-SELLING
NOMINEE ACCOUNTS
INDICTMENT

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

                         INITIAL DECISION RELEASE NO. 77

                         ADMINISTRATIVE PROCEEDING
                         FILE NO. 3-8727



                     UNITED STATES OF AMERICA
                            Before the
                SECURITIES AND EXCHANGE COMMISSION




                              :
In the Matter of              :
                              :
                              :    INITIAL DECISION
VICTOR H. STREVEL             :    NOVEMBER 14, 1995
                              :
                              :
                              :







APPEARANCES:   William P. Hicks and Betty M. Terry for the
               Division of Enforcement, Securities and Exchange
               Commission

               Victor Strevel, Pro Se

BEFORE:        Glenn Robert Lawrence, Administrative Law Judge
==========================================START OF PAGE 1======


     These public proceedings were instituted pursuant to an

Order of the Securities and Exchange Commission dated June 19,

1995, pursuant to Sections 15(b) and 19(h) of the Securities

Exchange Act of 1934 ("Exchange Act").  The purpose of the

SNIPPETS:

SECURITIES AND EXCHANGE COMMISSION

Division of Enforcement, Securities and Exchange

Victor Strevel, Pro Se

pursuant to Sections 15and 19of the Securities

Exchange Act of 1934.

any, sanction should be imposed.

"Respondent"), was convicted, pursuant to a plea of guilty, of

one count of financial structuring.

alleged that those violations occurred while the Respondent was

associated with a broker-dealer registered with the Commission.

First Alliance Securities,