SEC Open Meeting Agenda
|Item 1:||George J. Kolar|
Office: Office of the General Counsel
Staff: Anne E. Chafer, William S. Stern
The Commission will hear oral argument on an appeal by George J. Kolar from the decision of an administrative law judge. The law judge found that Kolar failed to exercise reasonable supervision over a salesman in Dean Witter's Troy, Michigan branch office, who violated registration and antifraud provisions of the securities laws. The law judge ordered that Kolar be suspended for six months from acting in a supervisory capacity with any registered broker or dealer, and fined him $20,000.
Among the issues likely to be argued are:
For further information, please contact William Stern at (202) 942-0949
|Home | Previous Page||