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SEC News Digest, 07-26-1984

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SEC News Digest, 07-26-1984 ~)secnews digest Issue 84-145 U.S. SECURITIES AND EXCHANGE COMMI5~i " July 26, 1984 ADMINISTRATIVE PROCEEDINGS GARY L. JACKSON, CPA, DISQUALIFIED FROM PRACTICE Administrative Law Judge Jerome K. Soffer issued an initial decision permanently disqualifying Gary L. Jackson, a certified public accountant of San Francisco, California, from appearing or practicing before the Commission. The sanction was imposed based upon findings that Jackson had been permanently enjoined by a court of competent jurisdiction by reason of his misconduct in aiding and abetting the violation of the provisions and rules of the Securities Exchange Act of 1934 relating to the filing of registration statements. Specifically, the viola- tions involved the submission of financial statements not prepared in accordance with generally accepted accounting principles and auditing standards in the valuation of assets, and in the failure to disclose material information. JAY ERROLL WEINBERG BARRED The Commission instituted public administrative proceedings under the Advisers Act against Jay Erroll Weinberg, also known as Jeffrey Paul Weinberg and Jay P. Smythe, of Manhasset, New York. The Commission simultaneously accepted an Offer of Settlement in which weinberg, without admitting or denying the alleged violations, consented to findings of violations and a bar from association with any investment adviser. The Commission found that weinberg: wilfully violated the registration and antifraud provisions of the Advisers Act and the Commission's advertising rules by failing to .register with the commission as an investment adviser while publishing The OKford Report, an investment advisory newsletter and telephone "hotline" service; dissemi- nated blatantly false and misleading advertisements for The OKford Report; and had been convicted in New York State of crimes involving larceny and fraud and permanently enjoined from further violations of the Advisers Act [SEC v. The OKford Corporation and Jay Erroll Weinberg, 84 Civil 1833, SDNY]. (ReI. IA-9l8) CIVIL PROCEEDINGS THOMAS D. CARTER, OTHERS PERMANENTLY ENJOINED The Los Angeles Regional Office announced that on June 26 the U.S. District Court for the Central District of California entered orders of permanent injunction and ancillary relief against Thomas D. Carter, The Carter Company, Tom Carter Enter- prises, Inc., Concept 80, C. Fred Maurer and Fred Basom. The orders permanently enjoin the defendants from further violations of the registration and antifraud pro- visions of the Securities and Exchange Acts, and Concept 80 and Maurer from operating as an investment company without registration with the Commission. The orders fur- ther require Carter to submit an accounting, under oath, of the use of investors' funds and Concept 80 to return to its investors approximately $90,000. The defen- dants consented to the orders without admitting or denying any of the complaint's allegations. The November 25, 1983 complaint alleges that from at least January 1982, the defen- dants raised in excess of $10 million from public investors through the fraudulent offer and sale of unregistered securities in a non-existent Carter medical factoring business. (SEC v. Thomas D. Carter, et al., Civil Action No. 83-7645 RJK, CD CA). (LR-l0467) ALFRED T. SALVATORE, JR., OTHERS ENJOINED The New York Regional Office announced that on July 12 Judge Charles L. Brieant, U.S. District Court for the southern District of New York, issued findings of fact and conclusions of law and signed final judgments by consent permanently enjoining Steven Crow and Kenneth Petricig from further violations of the antifraud and tender offer provisions of the Securities Exchange Act of 1934. Judge Brieant issued similar findings and conclusions and signed a final judgment by consent as to Alfred T. Salvatore, Jr. on July 13. Salvatore and Petricig were document proofreaders and Crow was a word processor operator and supervi80rat the New York City law firm of Skadden Arpa, Slate, Meagher and Plom. The finding. of fact state that the defendant. misappropriated confidential, material non-public information from Skadden Arps' computerized word processing files and from confidential documents submitted for proofreading. The defendants conveyed the information directly and indirectly to others for the purpose of trading securities in return for payments of certain sums of money. In addition, Salvatore, Petricig and Crow consented to orders requiring them to dis- gorge $7,B75, $4,100 and $500, respectively, representing payments made to them for improperly conveying the above-referenced information. (SEC v. Stephen G. Karanzalis, et al., B4 Civil 2070 [CLB] SONY). (LR-1047l) COMPLAINT NAMES MAGIC MARKER INDUSTRIES, INC. The Commission filed a civil injunctive action on July 23 against Magic Marker Indus- tries, Inc. of Trenton, New Jersey. The complaint alleges violations of the reporting provisions of the securities laws and seeks a Judqment of Permanent Injunction and Other Equitable Relief. The Commission alleges that Magic Marker, as part of a continuing course of violative conduct extending over several years, failed to file: its Annual Report on Porm 10-K for its fiscal year ended February 2B, 1984, required to have been filed with the Commission by May 29, 1984; various periodic reports in a timely manner; and required Notifications of Late Filing on Form l2b-25. The Commission requests that the Co~rt order Magic Marker to file its delinquent Annual Report and enjoin it from further violations of the reporting provisions of the securities laws. (SEC v. Magic Marker Industries, Inc., USDC DC, Civil Action No. 84-2265). (LR-10472) INVESTMENT COMPANY 'ACT RELEASES BANKERS NATIONAL LIFE INSURANCE COMPANY A notice has been issued giving interested persons until August 17 to request a hear- ing on an application filed by Bankers National Life Insurance Company, Bankers National Variable Account B, and BNL Securities Inc. for an order exempting them from the provisions of Sections 26(a) and 27(c) (2) of the Investment COmpany Act to permit transactions de.cribed in the application. (Rel. IC-14045 - July 24) INVESTORS GNMA MORTGAGE-BACKED SECURITIES TRUST, INC. An order has been issued exempting Investors GNMA Mortgage~Backed Securities Trust, Inc. from all provisions of the Investment Company Act. (Rel. IC-14046 - July 24) LIBERTY HOUSING PARTNERS LIMITED PARTNERSHIP A notice has been issued giving interested persons until August 13 to request a hear~ ing on an application of Liberty Housing Partners Limited Partnership (Partnership) and its managing general partner, Liberty Real Estate Corporation, for an order exempting the Partnership from all provisions of the Investment Company Act. (Re1. IC-14047 - July 24) SELF-REGULATORY ORGANIZATIONS ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission approved, on an accelerated basis, a proposed rule change filed by the National Association of Securities Dealers, Inc. (SR-NASD-84-19) to indefinitely defer a fee increase for last sale information in NASDAQ/National Market System Securities. (Re1. 34-21169) EFFECTIVENESS OF PROPOSED RULE CHANGE The New York Stock Exchange, Inc. filed a proposed rule change which became effective under Section 19(b) (3)(A) of the Securities Exchange Act. The rule change (SR-NYSE- 84-24) amends the NYSE Rule governing monthly charges for the Exchange's delayed prices service by distinguishing between dissemination of NYSE last sale information via leased lines and via satellite based on the proposed difference in charges ($296 'and $100, respectively) for the services. (Rel. 34-21171) 2 NEWS DIGEST, July 26, 1984 SECURmES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. T~e rep?rted information appears as follows: Form, Name, address and phone number (1f ava1lable) of the issuer of the security: Title and the number and/or face amount of the securities being offered: Name of the managing underwrit~r or,dep?sitor (if applicable): File number and date filed: Assigned Branch; and a des1gnat10n 1f the statement is a New Issue. S-18 CONTINENTAl CAPITAL CORP/NV, 189 SHERMAN ST, STE 6~0, DENVER, CO 80203 (30 3) 830-8503 - 1,500,000 ($3,000,000) COMMON STOCK. 1,500.000 ($1,500,000) COMMON STOCK. 3,000,000 ($450,000) COMMON STOCK. (fiLE 2-92115-0 - JUL. 09) (BR. 5 - NEW ISSUE) S-6 MUNICIPAL INVESTMENT TRUST FUND THREE HUNDRED THIRTY SECOND, C/O MERRILL LYNCH PIERCE FENNER & SMITH, ONE LI8ERTY PLI 165 8ROADWAY, NEW YORK, NY 10080 - INDEfINITE SHARES. (FILE 2-922~O - JUl. 16) (BR. 11 - NEW ISSUE) S-8 SHERBURNE CORP, KILLINGTON RD, KILLINGTON, VT 05151 (802) 422-3333 - 100 ($11,000) COMMON STOCK. (fiLE 2-92244 - JUL. 11) (BR. 12 - NEW ISSUE) S-6 HUTTON UTILITY TRUST SeVENTH PUBLIC ~TILITY EQUITY SERIES - INDEFINITE SHARES. 10,000,000 ($10,000,000' UNIT INVESTMENT TRUST. (FILE 2-92245 - JUL. 11) (BR. 18) S-8 COMMERCIAL FEDERAL SAVINGS & LOAN ASSOCIATION, 2120 S 12ND ST, OM'HA, NE 68124 (402) 554-9200 - 4,000.000 ($4,000,000) OTHER SECURITIES INCLUDING VOTING TRUST. (fILE 2-92252 - JUL. 16) (BR. 2 - NEW ISSUE) S-14 fISHKILL NATIONAL CORP, 200 MAIN ST, BEACON, NY 12508 (914) 831-1180 - 241,380 ($8.603,000) COMMON STOCK. (FILE 2-92254 - JUL. 11) (BR. 2) S-14 TWO RIVERS BANCORP INC, 114 WEST THIRD ST, PROPHETSTOWN. IL 61211 (815) 537-2348 - 12,000 ($4,655,000) COMMON STOCK. (FILE 2-92255 - JUL. 18) (8R. 1 - NEW ISSUE) S-8 SILVERCREST INDUSTRIES INC, 299 N SMITH AVE, CORONA, tA 91120 (213) 582-0966- 182.500 ($958,125) COMMON STOCK. (FILE 2-92256 - JUL. 18) (aR. 9) S-11 OCCIDENTAL DEVELOPMENT fUND III, 22632 E GOLDEN SPRINGS DR. STE 300, DIAMOND 8AR, CA 91765 (714) 861-6211 - 25,000 ($25,000,000) LIMITED PARTNERSHIP CERTIFICATE. (FILE 2-92257 - JUL. 18) (8R. 5 - NEW ISSUE) S-l FEDERATED GROUP INC, 5655 E UNION PAtIFIC AVE, CITY OF COMMERCE, CA 90022 (213) 728-5100 - 1,150,000 ($25,300.000) COMMON STOCK.
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