UNITED STATES OF AMERICA
In the Matter of
| ORDER INSTITUTING PROCEEDINGS,|
MAKING FINDINGS AND IMPOSING
REMEDIAL SANCTIONS PURSUANT TO
SECTION 15(b) OF THE SECURITIES
EXCHANGE ACT OF 1934
The Securities and Exchange Commission ("Commission") deems it appropriate and in the public interest that public administrative proceedings be, and hereby are, instituted pursuant to Section 15(b) of the Securities Exchange Act of 1934 ("Exchange Act") against Thomas E. Hall ("Hall").
In anticipation of the institution of these proceedings, Hall has submitted an Offer of Settlement (the "Offer") which 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, and the findings contained in Section III.2 below, which are admitted, Hall consents to the entry of this Order Instituting Proceedings, Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 ("Order"), as set forth below.
On the basis of this Order and Hall's Offer, the Commission finds that:
In view of the foregoing, the Commission deems it appropriate and in the public interest to impose the sanctions specified in Respondent Hall's Offer.
Accordingly, IT IS HEREBY ORDERED that Respondent Thomas E. Hall be, and hereby is, barred from association with any broker or dealer.
By the Commission.
Jonathan G. Katz
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