 |
 |
|
|
|
|
|
|
|
| | | |
|
|
|
|
|
|||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
1
.
SEC ADMINISTRATIVE PROCEEDING
|
EXTRACTED KEY WORDS
SECURITIES EXCHANGE ACT COMMISSION STOCK FRAUD BROKER-DEALER UNITED STATES RESPONDENT INSTITUTING PURSUANT ADMINISTRATIVE PROCEEDINGS FINDINGS JOSEPH STEVENS VIOLATION DISTRICT EQUITY TECHNOLOGIES PENNY STOCK UNAUTHORIZED TRADES DEALER UNITED STATES CODE IMPOSING REMEDIAL SANCTIONS HEREBY MASON HILL THEREUNDER CIVIL ACTION STATES DISTRICT COURT SOUTHERN DISTRICT YORK COMPLAINT |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
Securities Exchange Act of 1934
Release No. 47619 / April 2, 2003
Administrative Proceeding
File No. 3-11080
_________________________________________________________________
In the Matter of
ROBERT C. INGARDIA,
Respondent
_________________________________________________________________
ORDER INSTITUTING ADMINISTRATIVE
PROCEEDINGS, MAKING FINDINGS,
AND IMPOSING REMEDIAL SANCTIONS
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, and hereby are, instituted pursuant to Section 15(b)
of the Securities Exchange Act of 1934 ("Exchange Act") against Robert
C. Ingardia ("Ingardia" or "Respondent").
II.
In anticipation of the institution of these proceedings, Respondent
has submitted an Offer of Settlement (the "Offer") which the
Commission has determined to accept. Solely for the purpose of these
proceedings and any other proceedings brought by or on behalf of the
Commission, or to which the Commission is a party, and without
admitting or denying the findings herein, except as to the
Commission's jurisdiction over him and the subject matter of these
proceedings, and the findings contained in Section III.2. and III. 5.
below, which are admitted, Respondent consents to the entry of this
Order Instituting Administrative Proceedings, Making Findings, and
Imposing Remedial Sanctions Pursuant to Section 15(b) of the
Securities Exchange Act of 1934 ("Order"), as set forth below.
III.
SNIPPETS:
|
|
|
| | | |
|
|
