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


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Keywords & Phrases

CaseNo: 33-8215, Defendant: J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alcan, Emmanuel P. Cube, Mayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, Michael B. Scott Release No.: 34-47581, Plaintiff: SEC, State: IN Indiana, UniqueCaseRef: SEC>33-8215, Bruno, Securities, Exchange Act, Registered Representatives, Proceeding, Supervisory, Exchange Commission, Barclay, Oip, John, Sanctions, Violations, Administrative Proceedings, Wills, Pursuant, Practice, Dealer, Sales, Material Fact, Misconduct, Customers, Money Order, Civil Penalty, Fraud, Cease-and-desist Order, Michael, Instituting, Prehearing, Broker , ContentID: 120254986

Case Documents

2003-03-27

SEC ADMINISTRATIVE PROCEEDING
[ see first page and extracted highlights below ] ItemID: 132168

4 pages
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Total Documents: 1 document , 4 pages

Price: $ 19.95

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1 . SEC ADMINISTRATIVE PROCEEDING

EXTRACTED KEY WORDS

SECURITIES
EXCHANGE ACT
REGISTERED REPRESENTATIVES
PROCEEDING
SUPERVISORY
EXCHANGE COMMISSION
BARCLAY
OIP
JOHN
SANCTIONS
VIOLATIONS
ADMINISTRATIVE PROCEEDINGS
WILLS
PURSUANT
PRACTICE
DEALER
SALES
MATERIAL FACT
MISCONDUCT
CUSTOMERS
MONEY ORDER
CIVIL PENALTY
FRAUD
CEASE-AND-DESIST ORDER
MICHAEL
INSTITUTING
PREHEARING
BUSINESS
BROKER

UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION

SECURITIES ACT OF 1933
Release No. 8215/March 27, 2003

   SECURITIES EXCHANGE ACT OF 1934
   Release No. 47581/March 27, 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
     _________________________________________________________________

   ORDER MAKING FINDINGS AND IMPOSING REMEDIAL SANCTIONS BY DEFAULT
   AGAINST JOHN A. BRUNO

   The Securities and Exchange Commission (Commission) instituted this
   proceeding against John A. Bruno (Bruno) and others on April 24, 2002,
   pursuant to Section 8A of the Securities Act of 1933 (Securities Act)
   and Sections 15(b) and 21A of the Securities Exchange Act of 1934
   (Exchange Act). Bruno filed a timely answer. He also submitted lists
   of prospective witnesses and exhibits, and wrote a prehearing brief.
   However, on March 21, 2003, the last business day before the start of
   the hearing, Bruno sent me a letter that stated

     Please be advised that I no longer wish to contend the matter
     before you. I understand that if I do not appear at the hearing you
     will enter an order of default against me. I understand the
     consequence of defaulting.

   The hearing commenced on March 24, 2003, in New York City, and Bruno
   did not appear. Pursuant to Rule 155(a) of the Commission's Rules of
   Practice, 17 C.F.R. § 201.155(a), I hold Bruno in default.

SNIPPETS:

SECURITIES AND EXCHANGE COMMISSION

ADMINISTRATIVE PROCEEDING

EMANUELE A. SCARSO MICHAEL B. SCOTT

ORDER MAKING FINDINGS AND IMPOSING REMEDIAL SANCTIONS BY DEFAULT AGAINST JOHN A. BRUNO

The Securities and Exchange Commission instituted this proceeding against John A. Bruno and

However, on March 21, 2003, the last business day before the start of the hearing, Bruno sent

Pursuant to Rule 155of the Commission's Rules of Practice, 17 C.F.R. § 201.155, I hold Bruno

J.W. Barclay & Co., Inc. registered with the Commission as a broker and a dealer in December

Michael J. Wills was Barclay's vice president, managing partner, senior sales manager, and

The other six Respondents named in the OIP were registered representatives who were

From June 1997 through December 1998, the registered representatives engaged in several types