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Thursday, 02/23/2017 7:35:46 AM

Thursday, February 23, 2017 7:35:46 AM

Post# of 121643
NEW SEC v BARTON DOCUMENT

https://www.sec.gov/litigation/admin/2017/34-80000.pdf


On February 2, 2017, a final judgment was entered by consent against Barton, permanently enjoining him from future violations of Sections 5 and 17(a) of the Securities Act of 1933 (“Securities Act”) and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, in the civil action entitled Securities and Exchange Commission v. Raymond H. Barton, et al., Civil Action Number 17 Civ. 403 (SJF) (GRB), in the United States District Court for the Eastern District of New York.

Accordingly, it is hereby ORDERED pursuant to Section 17A(c)(4)(C) of the Exchange Act that Respondent Barton be, and hereby is barred from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization.