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INITIAL DECISION RELEASE NO. 66 ADMINISTRATIVE PROCEEDING FILE NO. 3-8206
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION
In the Matter of Paul C. Kettler
INITIAL DECISION JUNE 27, 1995
Appearances: Jerrold H. Kohn, Esq. Jonathan H. Stein, Esq. Attorneys for the Division of Enforcement Securities and Exchange Commission Dennis A. Delman, Esq. Attorney for Respondent Before: Glenn Robert Lawrence Administrative Law Judge
These public proceedings were instituted by order of the Commission dated October 26, 1993 pursuant to Section 15(b) and 19(h) of the Securities Exchange of 1934 to determine whether allegations of misconduct made by the Division are true and what, if any remedial action would be appropriate in the public interest. In substance, The Division
alleges that Respondent, Paul C. Kettler (Respondent) failed reasonably to supervise Randal C. Forman (Forman) with a view towards preventing his violations of the federal securities laws, within the meaning of Sections 15( ...