80 FR 16044 - Sunshine Act Meeting

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 80, Issue 58 (March 26, 2015)

[Federal Register Volume 80, Number 58 (Thursday, March 26, 2015)]
[Notices]
[Page 16044]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2015-07048]


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SECURITIES AND EXCHANGE COMMISSION


Sunshine Act Meeting

    Notice is hereby given, pursuant to the provisions of the 
Government in the Sunshine Act, Public Law 94-409, that the Securities 
and Exchange Commission will hold an Open Meeting on March 30, 2015, at 
10:30 a.m., in Room 10800 at the Commission's headquarters building, to 
hear oral argument in cross-appeals by Francis V. Lorenzo and the 
Division of Enforcement from an initial decision of an administrative 
law judge.
    On December 31, 2013, the law judge found that Lorenzo violated the 
antifraud provisions of Section 17(a) of the Securities Act of 1933, 
Section 10(b) of the Securities Exchange Act of 1934, and Exchange Act 
Rule 10b-5 when he sent two potential investors emails containing false 
and misleading information about his firm's client. The law judge 
ordered Lorenzo to cease and desist from violations of the antifraud 
provisions, barred him from the securities industry, and ordered him to 
pay a civil money penalty of $15,000.
    The issues likely to be considered at oral argument include whether 
Lorenzo violated the antifraud provisions as alleged and, if so, the 
extent to which he should be sanctioned for those violations.
    The duty officer determined that no earlier notice thereof was 
possible. For further information, please contact the Office of the 
Secretary at (202) 551-5400.

    Dated: March 24, 2015.
Brent J. Fields.
Secretary.
[FR Doc. 2015-07048 Filed 3-24-15; 4:15 pm]
 BILLING CODE 8011-01-P