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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
COMMISSION PROCEEDING SECURITIES EXCHANGE EXCHANGE ACT WILLIAM INSTITUTING CALIFORNIA ADMINISTRATIVE PROCEEDING DISTRICT UNITED STATES MAKING FINDINGS SANCTIONS PURSUANT ENTRY PERMANENT INJUNCTION HEREBY MUNICIPAL SECURITIES DEALER BROKER-DEALER INVESTORS MONEY MATTER RESPONDENT DEEMS CONSENTS STATES DISTRICT COURT FUNDS CHARLES SCHWAB REALITY |
UNITED STATES OF AMERICA
Before The
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 46408 / August 23, 2002
ADMINISTRATIVE PROCEEDING
File No. 3-10870
_________________________________________________________________
In the Matter of
WILLIAM M. UCHEREK,
Respondent.
_________________________________________________________________
ORDER INSTITUTING PUBLIC ADMINISTRATIVE PROCEEDING, MAKING FINDINGS
AND IMPOSING REMEDIAL SANCTIONS AGAINST WILLIAM M. UCHEREK
I.
The Securities and Exchange Commission ("Commission") deems it
appropriate and in the public interest that a public administrative
proceeding be instituted against William M. Ucherek ("Ucherek" or
"Respondent") pursuant to Section 15(b) of the Securities Exchange Act
of 1934 ("Exchange Act").
II.
In anticipation of the institution of these proceedings, Ucherek has
submitted an Offer of Settlement (the "Offer"), which the Commission
has determined to accept. Solely for the purpose of this proceeding
and any other proceedings brought by or on behalf of the Commission,
or to which the Commission is a party, and admitting the findings
contained herein, including the jurisdiction of the Commission over
him and over the subject matter of this proceeding and the entry of
the permanent injunction set forth in paragraph III.C., below, Ucherek
by the Offer consents to the entry of this Order Instituting Public
Administrative Proceeding, Making Findings and Imposing Remedial
Sanctions Against William M. Ucherek ("Order"), by the Commission.
Accordingly, IT IS HEREBY ORDERED that a proceeding pursuant to
Section 15(b) of the Exchange Act be, and hereby is, instituted.
III.
SNIPPETS:
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