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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
SECURITIES ACT EXCHANGE ACT COMMISSION CLIENT FINDINGS PURSUANT VIOLATIONS RESPONDENT CLIENT SELL ORDERS DISGORGEMENT CIVIL PENALTY PAYMENT MILLENNIUM PURCHASE SALE DISCLOSE MATERIAL ADVERSE CIR ASSERT PETITION DEFENSE CONTEST MATTER CEASE IMPOSING REMEDIAL SANCTIONS CHRISTOPHER ENTRY BROKER LAW |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES ACT OF 1933
Release No. 8197 / February 27, 2003
SECURITIES EXCHANGE ACT OF 1934
Release No. 47411 / February 27, 2003
ADMINISTRATIVE PROCEEDING
File No. 3-9933
_________________________________________________________________
In the Matter of
A.S. GOLDMEN INC.,ANTHONY J. MARCHIANO,STUART E. WINKLER,JOHN T.
DIASABEYAGUNAWARDENA, (a.k.a. John Abbey)JOHN P. DELCIOPPO,CHRISTOPHER
M. DELCIOPPO,VINCENT J. LIA,DUANE P. TAYLOR, andCHARLES TRENTO
Respondents.
_________________________________________________________________
ORDER MAKING FINDINGS, ORDERING RESPONDENT TO CEASE AND DESIST, AND
IMPOSING REMEDIAL SANCTIONS AS TO CHRISTOPHER M. DELCIOPPO
I.
On July 7, 1999, the Securities and Exchange Commission ("Commission")
instituted public administrative and cease-and-desist proceedings,
pursuant to Section 8A of the Securities Act of 1933 ("Securities
Act") and Sections 15(b)(4), 15(b)(6), and 21C of the Securities
Exchange Act of 1934 ("Exchange Act").
II.
Respondent Christopher M. DelCioppo ("DelCioppo") has submitted an
Offer of Settlement ("Offer") that 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, DelCioppo consents to the entry
of this Order Making Findings, Ordering Respondent to Cease and Desist
and Imposing Remedial Sanctions as to Christopher M. DelCioppo
("Order"), as set forth below.
III.
SNIPPETS:
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