U.S. Securities & Exchange Commission
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U.S. Securities and Exchange Commission

SEC Open Meeting Agenda
Tuesday, June 15, 2004, 10:00 a.m.

Agenda as of the morning of June 14, 2004. Note that Open Meeting agendas are subject to last-minute changes.

Item 1: Edgar B. Alacan
Office:  Office of the General Counsel

Item 1: Edgar B. Alacan

The Commission will hear oral argument on an appeal by Edgar B. Alacan ("Alacan"), a former registered representative of J.W. Barclay & Co., Inc., a former broker-dealer, from the decision of an administrative law judge. The law judge found that Alacan violated antifraud provisions of the federal securities laws through unauthorized trading, unsuitable trading, churning, and failures to follow customers' instructions in connection with his handling of the accounts of several customers during 1997 and 1998.

Among the issues likely to be argued are:

  1. Whether the evidence supports the law judge's findings that Alacan violated the antifraud provisions; and
  2. Whether and to what extent sanctions should be imposed in the public interest.

For further information, please contact the Office of the Secretary at (202) 942-7070.



Modified: 06/14/2004