SEC v J.W. BARCLAY & CO., INC., JOHN A. BRUNO, et al


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Keywords & Phrases

CaseNo: 33-8218, Defendant: J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. Cube, Mayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, and Michael B. Scott Release No.: 34-47611, Plaintiff: SEC, UniqueCaseRef: SEC>33-8218, Securities, Scott, Act, Commission, Exchange Act, Respondent, Customers, Accounts, Pursuant, Purchases, Michael, Findings, Representations, Sales, Material Fact, Imposing, Misleading, Violations, Disgorgement, Penalty, Directing, Fraudulent, Payment, Petition, Defense, State Material Facts, Matter, Barclay, Imposing Remedial Sanctions, Defraud , ContentID: 120254981

Case Documents

2003-04-01

SEC ADMINISTRATIVE PROCEEDING
[ see first page and extracted highlights below ] ItemID: 132163

4 pages
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Total Documents: 1 document , 4 pages

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1 . SEC ADMINISTRATIVE PROCEEDING

EXTRACTED KEY WORDS

SCOTT
ACT
COMMISSION
EXCHANGE ACT
RESPONDENT
CUSTOMERS
ACCOUNTS
PURSUANT
PURCHASES
MICHAEL
FINDINGS
REPRESENTATIONS
SALES
MATERIAL FACT
IMPOSING
MISLEADING
VIOLATIONS
DISGORGEMENT
PENALTY
DIRECTING
FRAUDULENT
PAYMENT
PETITION
DEFENSE
STATE MATERIAL FACTS
MATTER
BARCLAY
IMPOSING REMEDIAL SANCTIONS
DEFRAUD

UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION

Securities Act of 1933
Release No. 8218 / April 1, 2003

Securities Exchange Act of 1934
Release No. 47611 / April 1, 2003

Administrative Proceeding
File No. 3-10765
     _________________________________________________________________

   In the Matter of

   J.W. BARCLAY & CO., INC.
   JOHN A. BRUNO
   MICHAEL J. WILLS
   EDGAR B. ALACAN
   EMMANUEL P. CUBE
   MAYER DALLAL
   DANOO NOOR, SR.
   EMANUELE A. SCARSO
   MICHAEL B. SCOTT

   Respondents.

     _________________________________________________________________

   ORDER MAKING FINDINGS AND IMPOSING REMEDIAL SANCTIONS AND A
   CEASE-AND-DESIST ORDER PURSUANT TO SECTION 8A OF THE SECURITIES ACT OF
   1933 AND SECTIONS 15(b) AND 21C OF THE SECURITIES EXCHANGE ACT OF 1934
   AS TO MICHAEL B. SCOTT



I.

   On April 24, 2002, the Securities and Exchange Commission
   ("Commission") instituted public administrative proceedings 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") against Respondent Michael B. Scott ("Scott" or
   "Respondent") and others. Scott has submitted an Offer of Settlement
   ("Offer") which the Commission has determined to accept.

II.

SNIPPETS:

SECURITIES AND EXCHANGE COMMISSION

Securities Exchange Act of 1934

EMANUELE A. SCARSO MICHAEL B. SCOTT

1933 AND SECTIONS 15AND 21C OF THE SECURITIES EXCHANGE ACT OF 1934

AS TO MICHAEL B. SCOTT

On April 24, 2002, the Securities and Exchange Commission instituted public administrative

Solely for the purpose of these proceedings and any other proceedings brought by or on behalf 15and 21C of the Securities Exchange Act of 1934 as to Michael B. Scott, as set forth below.

Scott was associated as a registered representative with J.W. Barclay & Co., Inc., a

During the time period from in or about June 1997 through in or about March 1998, Scott

Scott made unauthorized purchases and sales of securities in the account of at least one

Scott made materially misleading statements or omissions to at least one customer by, among