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1
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SEC ADMINISTRATIVE LAW JUDGE DECISION
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EXTRACTED KEY WORDS
SECURITIES TRENTO COMMISSION EXCHANGE LAW OIP CHARLES TRENTO EXCHANGE ACT STUART MOTION PROCEEDING VIOLATIONS ADMINISTRATIVE LAW JUDGE JOHN CIVIL MONEY CHIEF ADMINISTRATIVE LAW CIVIL MONEY PENALTY PLEA AGREEMENT RESTITUTION CIVIL MONEY PENALTIES ENTERPRISE CORRUPTION ENFORCEMENT LIFETIME BAR REPRESENTATION SECURITIES STATUTES FUTURE VIOLATIONS CHRISTOPHER UNITED STATES APPEARANCES |
Initial Decision of an SEC Administrative Law Judge
A.S. Goldmen & Co., 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, and Charles Trento
INITIAL DECISION RELEASE NO. 231
ADMINISTRATIVE PROCEEDING
FILE NO. 3-9933
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
_________________________________________________________________
In the Matter of
A.S. GOLDMEN & CO., 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,
and CHARLES TRENTO
_________________________________________________________________
INITIAL DECISION
June 27, 2003
APPEARANCES
Robert B. Kaplan and Lesley B. Atkins for the Division of Enforcement
Securities and Exchange Commission
Charles Trento and Stuart E. Winkler appear
BEFORE Brenda P. Murray, Chief Administrative Law Judge
Background
On July 7, 1999, the Securities and Exchange Commission ("Commission")
issued an Order Instituting Proceeding ("OIP"). The OIP alleges that
* Respondent Winkler willfully violated Section 17(a) of the
Securities Act of 1933 ("Securities Act"), Section 10(b) of the
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