 |
 |
|
|
|
|
|
|
|
| | | |
|
|
|
|
|
|||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
1
.
SEC ADMINISTRATIVE PROCEEDING
|
EXTRACTED KEY WORDS
COMMISSION RUGGIERO SECURITIES EXCHANGE ACT PROCEEDING FINDINGS ADMINISTRATIVE PROCEEDINGS INSTITUTING PURSUANT BROKER-DEALER CONNECTION STOCK SCHEME RESPONDENTS INDICTMENT TRADING MARK KEVIN MAKING FINDINGS IMPOSING REMEDIAL SANCTION DEEMS SETTLEMENT ADMITTING PARAGRAPH ENTRY CONSENT MAID AIDE PLEA AGREEMENT |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
Securities Exchange Act of 1934
Release No. 46342 / August 13, 2002
Administrative Proceeding
File No. 3-10862
_________________________________________________________________
In the Matter of
MARK A. TAYLOR, SR. and
KEVIN J. RUGGIERO,
Respondents
_________________________________________________________________
ORDER INSTITUTING ADMINISTRATIVE
PROCEEDINGS, MAKING FINDINGS,
AND IMPOSING A REMEDIAL SANCTION
PURSUANT TO SECTION 15(b) OF THE
SECURITIES EXCHANGE ACT OF 1934
I.
The Securities and Exchange Commission (Commission") deems it
appropriate and in the public interest that public administrative
proceedings be instituted pursuant to Section 15(b) of the Securities
Exchange Act of 1934 ("Exchange Act") against Respondents Mark A.
Taylor, Sr. ("Taylor") and Kevin J. Ruggiero ("Ruggiero").
II.
In anticipation of the institution of these proceedings, Taylor and
Ruggiero each have submitted an Offer of Settlement ("Offer"), which
the Commission has determined to accept. Solely for the purpose of
this proceeding or any other proceeding brought by or on behalf of the
Commission or in which the Commission is a party, and without
admitting or denying the findings set forth below, except as to
jurisdiction of the Commission over Respondents and over the subject
matter of this proceeding, except as to the criminal convictions set
forth in paragraph III.C., below, and except as to the entry of the
final judgments set forth in paragraphs III.D., below, which are
admitted, Taylor and Ruggiero consent to the entry of this Order
Instituting Administrative Proceedings, Making Findings, and Imposing
a Remedial Sanction Pursuant to Section 15(b) of the Securities
SNIPPETS:
|
|
|
| | | |
|
|
