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1
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SEC ADMINISTRATIVE LAW JUDGE DECISION
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EXTRACTED KEY WORDS
EXCHANGE ACT SECURITIES COMMISSION CUSTOMERS SALE FTET OMISSION PURSUANT LAWS FTET STOCK UNITED STATES SHARES INVESTORS LEMPEL RECOMMENDING COMPENSATION FUTURE VIOLATIONS BROKERAGE ACCOUNT BRADLEY TAYLOR IMPOSES SANCTIONS AGREEMENT MATERIAL FACT RECEIVING REGISTERED REPRESENTATIVES ADMINISTRATIVE LAW JUDGE CEASE-AND-DESIST ORDER DISGORGEMENT INDIAN MOTORCYCLE MAKING MATERIAL OMISSIONS |
Initial Decision of an SEC Administrative Law Judge
G. Bradley Taylor
INITIAL DECISION RELEASE NO. 215
ADMINISTRATIVE PROCEEDING
FILE NO. 3-9955
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.
_________________________________________________________________
In the Matter of
G. BRADLEY TAYLOR
_________________________________________________________________
INITIAL DECISION
September 24, 2002
APPEARANCES Mary Scherschel Brady and Polly A. Atkinson for the
Division of Enforcement, Securities and Exchange Commission.
Howard J. Stein for Respondent.
BEFORE Lillian A. McEwen, Administrative Law Judge
SUMMARY
The Respondent, G. Bradley Taylor (Taylor), violated Section 17(a) of
the Securities Act of 1933, Section 10(b) of the Securities Exchange
Act of 1934 and Rule 10b-5 thereunder, by willfully making material
omissions in the sale of securities to his customers. This Initial
Decision imposes sanctions on Taylor, including a bar and a
cease-and-desist order.
PROCEDURAL HISTORY
The United States Securities and Exchange Commission (Commission)
issued an order instituting these public administrative and
cease-and-desist proceedings against Taylor, pursuant to Section 8A of
the Securities Act of 1933 (Securities Act) and Sections 15(b) and 21C
of the Securities Exchange Act of 1934 (Exchange Act). The Order
Instituting Proceedings (OIP) was filed on August 2, 1999.
THE HEARING
SNIPPETS:
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