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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
COMMISSION EXCHANGE ACT RESPONDENT ADMINISTRATIVE PROCEEDINGS INSTITUTING FINDINGS PURSUANT ORDER INSTITUTING SANCTIONS PURSUANT HEREBY BROKER UNITED STATES MATTER NIKO EFSTATHIOU MAKING FINDINGS DEEMS ADMITTING CONSENTS CALIFORNIA CIVIL ACTION AMERICAN MEDICAL PRODUCTS DISTRICT SALE STOCK AMOUNT PAID SOLD UNREGISTERED SECURITIES FOREGOING |
UNITED STATES OF AMERICA
before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 47601 / March 31, 2003
ADMINISTRATIVE PROCEEDING
File No. 11079
_________________________________________________________________
In the Matter of
NIKO G. EFSTATHIOU,
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 Niko
G. Efstathiou ("Respondent").
II.
In anticipation of the institution of these proceedings, Respondent
has submitted an Offer of Settlement ("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 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:
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