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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
COMMISSION HEARTLAND EXCHANGE ACT PROCEEDING PURSUANT ADMINISTRATIVE PROCEEDING RESPONDENT FINDINGS INSTITUTING DATEK SECURITIES FRAUDULENT SCHEME SOES IMPOSING SANCTIONS CONCEALMENT NOMINEE ACCOUNTS DAY-TRADING MATTER HEARTLAND SECURITIES CORPORATION MAKING FINDINGS DEEMS SETTLEMENT HEREBY DISTRICT COMPLAINT EXECUTE TRADES NASDAQ STOCK ORDER EXECUTION SYSTEM ILLEGAL PROFITS |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 47326 / February 6, 2003
ADMINISTRATIVE PROCEEDING
File No. 3-11034
_________________________________________________________________
In the Matter of
Heartland Securities Corporation,
Respondent.
_________________________________________________________________
ORDER INSTITUTING ADMINISTRATIVE PROCEEDING PURSUANT TO SECTION
15(b)(4) OF THE SECURITIES EXCHANGE ACT OF 1934, MAKING FINDINGS, AND
IMPOSING SANCTIONS
I.
The Securities and Exchange Commission ("Commission") deems it
appropriate and in the public interest that a public administrative
proceeding be instituted against Heartland Securities Corporation
("Respondent" or "Heartland") pursuant to Section 15(b)(4) of the
Securities Exchange Act of 1934 ("Exchange Act").
II.
In anticipation of these administrative proceedings, Respondent has
submitted an Offer of Settlement ("Offer"), which the Commission has
determined to accept. Solely for the purpose of this proceeding 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 contained herein, except as to those findings contained in
Section III.B below and as to jurisdiction of the Commission over
Respondent and over the subject matter of this proceeding, which
Respondent admits, Heartland consents to the issuance of this Order
Instituting Administrative Proceeding Pursuant to Section 15(b)(4) of
the Securities Exchange Act of 1934, Making Findings, and Imposing
Sanctions ("Order").
Accordingly, IT IS ORDERED that a proceeding pursuant to Section
15(b)(4) of the Exchange Act against Heartland be, and hereby is,
instituted.
SNIPPETS:
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