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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
CUBE ACT RESPONDENT EXCHANGE ACT COMMISSION CUSTOMERS PURSUANT ACCOUNT PURCHASES UNITED STATES SALES EMMANUEL FINDINGS MONEY ORDER PAY PAYMENTS VIOLATIONS MATERIAL FACT DISGORGEMENT PREJUDGMENT AMOUNT INVESTMENT OBJECTIVES INSTRUCTIONS FOREGOING CIVIL PENALTY ISSUANCE BARCLAY IMPOSING REMEDIAL SANCTIONS DEFRAUD |
UNITED STATES OF AMERICA
before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES ACT OF 1933
Release No. 8201 / March 13, 2003
SECURITIES EXCHANGE ACT OF 1934
Release No. 47497 / March 13, 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 EMMANUEL P. CUBE
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 Emmanuel P. Cube ("Cube" or
"Respondent") and others. Cube has submitted an Offer of Settlement
("Offer") which the Commission has determined to accept.
II.
Solely for the purpose of these proceedings and any other proceedings
brought by or on behalf of the Commission, or to which the Commission
SNIPPETS:
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