THE STAFF OF THE SEC HAS ADVISED THAT IT INTENDS TO RECOMMEND THAT THE COMMISSION BRING AN ADMINISTRATIVE PROCEEDING AGAINST SCOTT GOLDSTEIN ALLEGING THAT MR GOLDSTEIN, AS A CONTROL PERSON OF NEWBRIDGE SECURITIES CORPORATION VIOLATED SECTIONS 5(A), 5(C) AND 17(A) OF THE SECURITIES ACT OF 1933, SECTIONS 10(B),15(C)(1) AND 15(C)(2) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 10B-5 THEREUNDER AND AIDED AND ABETTED NEWBRIDGE'S VIOLATIONS OF THE PROVISIONS, AND SECTIONS 5(A), 5(C) AND 17(A) OF THE SECURITIES ACT OF 1933, AND SECTION 10(B) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 10B-5 THEREUNDER AS CONTROL PERSON FOR AIDING AND ABETTING VIOLATIONS BY DANIEL KANTROWITZ.
04/27/2006
SECURITIES AND EXCHANGE COMMISSION
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