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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
EXCHANGE ACT NOLAN PURSUANT SECURITIES EXCHANGE ACT PROCEEDING MAKING FINDINGS WITHDRAW THEREUNDER DISGORGEMENT PREJUDGMENT IMPOSING TERMS CONSENTS PLUS POST-JUDGMENT THEREON ADMINISTRATIVE PROCEEDING INSTITUTING SETTLEMENT ADMITTING DENYING BROKER-DEALER SUPERVISE PAY MATTER ENTRY IMPOSING REMEDIAL SANCTIONS CEASE-AND-DESIST ORDER SUPERVISE INDIVIDUALS MEANING PAID |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
RELEASE NO. 47438 / March 4, 2003
ADMINISTRATIVE PROCEEDING
FILE NO. 3-10662
_________________________________________________________________
W.J. Nolan & Co., Inc.,
Respondent.
_________________________________________________________________
ORDER MAKING FINDINGS AND IMPOSING TERMS AND CONDITIONS UPON
WITHDRAWAL FROM REGISTRATION WITH THE COMMISSION PURSUANT TO SECTION
15(b) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 15b6-1(b)
THEREUNDER
I.
On December 28, 2001, the Securities and Exchange Commission
(Commission) instituted public administrative proceedings against W.J.
Nolan & Co., Inc. (W.J. Nolan) pursuant to Section 15(b) of the
Securities Exchange Act of 1934 (Exchange Act) and Rule 15b6-1(b)
thereunder (15 U.S.C. §78o(b) and 17 C.F.R. 240.15b6-1(b)).
II.
W.J. Nolan has submitted an Offer of Settlement, which the Commission
has determined to accept. Solely for the purposes of this proceeding
and any other proceeding brought by or on behalf of the Commission or
to which the Commission is a party, and prior to a hearing pursuant to
the Commission's Rules of Practice, 17 C.F.R. §201.100 , W.J. Nolan,
without admitting or denying the findings contained in this Order
Making Findings And Imposing Terms And Conditions Upon Withdrawal From
Registration With The Commission Pursuant To Section 15(b) Of The
Securities Exchange Act of 1934 And Rule 15b6-1(b) Thereunder (Order),
except as to the Commission's jurisdiction over it and over the
subject matter of this proceeding, consents to the entry of this Order
as set forth below.
SNIPPETS:
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