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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
ACCOUNT SECURITIES INVESTMENT HARVEST COMMISSION ACT EXECUTION CUSTOMER EXCHANGE ACT TRADING TRADES OBJECTIVES RESPONDENT MEMBER RECOMMENDATIONS CONSTANCE TRANSACTIONS PAPARIELLA GROUP REPRESENTATIONS INVESTMENT STRATEGY AUTHORITY EQUITY EMPLOYERS RUSCETTI SECURITIES ACCOUNT AGREEMENT PAID APPRECIATION AMOUNT KATHRYN |
United States of America
before the
Securities and Exchange Commission
Securities Act of 1933
Release No. 8181 / January 24, 2003
Securities Exchange Act of 1934
Release No. 47254 / January 24, 2003
Administrative Proceeding
File No. 3-10739
_________________________________________________________________
In the Matter of
ROBERT A. PAPARIELLA
Respondent.
_________________________________________________________________
ORDER MAKING FINDINGS AND IMPOSING REMEDIAL SANCTIONS AND
CEASE-AND-DESIST ORDER
I.
In these proceedings instituted 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"), Respondent
Robert A. Papariella ("Papariella") has submitted an Offer of
Settlement which the Securities and Exchange Commission ("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
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, which are admitted, Papariella consents
to the entry of this Order Making Findings and Imposing Remedial
Sanctions and Cease-and Desist Order pursuant to Section 8A of the
Securities Act, and Sections 15(b) and 21C of the Securities Exchange
as set forth below.
III.
On the basis of this Order and Papariella's Offer of Settlement, the
SNIPPETS:
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