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


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Keywords & Phrases

CaseNo: 33-8203, 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. 34-47506, Plaintiff: SEC, State: NJ New Jersey, UniqueCaseRef: SEC>33-8203, Barclay, Securities, Exchange Act, Registered Representatives, Commission, Motion, Proceeding, Oip, Supervisory, Sanctions, Pursuant, Practice, Reports, Administrative Proceedings, Bruno, Wills, Violations, Civil Penalty, Dealer, Sales, Material Fact, Misconduct, Customers, Money Order, Annual Reports, Jersey, Broker, Nasd , ContentID: 120254997

Case Documents

2003-03-13

SEC ADMINISTRATIVE PROCEEDING
[ see first page and extracted highlights below ] ItemID: 132179

4 pages
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Total Documents: 1 document , 4 pages

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1 . SEC ADMINISTRATIVE PROCEEDING

EXTRACTED KEY WORDS

SECURITIES
EXCHANGE ACT
REGISTERED REPRESENTATIVES
COMMISSION
MOTION
PROCEEDING
OIP
SUPERVISORY
SANCTIONS
PURSUANT
PRACTICE
REPORTS
ADMINISTRATIVE PROCEEDINGS
BRUNO
WILLS
COUNSEL
VIOLATIONS
CIVIL PENALTY
DEALER
SALES
MATERIAL FACT
MISCONDUCT
CUSTOMERS
MONEY ORDER
ANNUAL REPORTS
BUSINESS
JERSEY
BROKER
NASD

UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION

SECURITIES ACT OF 1933
Release No. 8203/March 14, 2003

   SECURITIES EXCHANGE ACT OF 1934
   Release No. 47506/March 14, 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 J.W. BARCLAY & CO., INC.

   The Securities and Exchange Commission (SEC or Commission) instituted
   this proceeding against J.W. Barclay & Co., Inc. (Barclay) 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). Barclay filed an answer through
   counsel on June 5, 2002.

   On February 6, 2003, Barclay's counsel filed a motion for leave to
   withdraw from representation. Among other things, the motion stated
   that Barclay "does not maintain an office since it does not conduct
   any business." The motion further stated that Barclay's only current
   address is a post office box in New Jersey. Counsel filed a supplement
   to his motion on February 13, 2003. He advised that no successor
   attorney or officer of Barclay would continue Barclay's defense, and
   that Barclay intended to default.

   On March 4, 2003, the Division of Enforcement (Division) moved for the
   entry of an order making findings and imposing remedial sanctions

SNIPPETS:

SECURITIES AND EXCHANGE COMMISSION

ADMINISTRATIVE PROCEEDING

ORDER MAKING FINDINGS AND IMPOSING REMEDIAL SANCTIONS BY DEFAULT AGAINST J.W. BARCLAY & CO.,

The Securities and Exchange Commission instituted this proceeding against J.W. Barclay & Co.,

On February 6, 2003, Barclay's counsel filed a motion for leave to withdraw from

the motion stated that Barclay "does not maintain an office since it does not conduct any

The motion further stated that Barclay's only current address is a post office box in New

On March 4, 2003, the Division of Enforcement moved for the entry of an order making findings

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

Between June 1997 and December 1998, the times relevant to this proceeding, Barclay was a

Barclay was a privately held corporation principally owned by John A. Bruno and Michael J.