I notice Roger Greer signed that letter->ADMINISTRATIVE SANCTIONS IMPOSED AGAINST NATIONAL STOCK TRANSFER, INC. AND
ROGER GREER; PROCEEDINGS DISMISSED AS TO KRISTA CASTLETON NIELSEN
google.com
On December 4, the Commission has entered an Administrative Order Making
Findings and Imposing Remedial Sanctions against National Stock
Transfer, Inc. (NST), of Salt Lake City, Utah, and its president Roger
Lee Greer. The Order makes findings that from approximately September
1994 through February 1995, NST and Greer issued stock certificates for
more than 98 million shares of PanWorld Minerals International, Inc.
(PanWorld), without any restrictive legends, based on representations
from the issuer that the stock was registered with the Commission on
Form S-8. However, no registrations statement on Form S-8 or otherwise
was in effect as to this stock. The Order thus finds that NST and Greer
willfully aided and abetted and caused violations of the registration
provisions of the Securities Act of 1933. The Order, which NST and
Greer consented to, censures NST and Greer, orders NST and Greer to
cease and desist from aiding and abetting or causing registration
violations, and imposes a $5,000 civil money penalty jointly on NST and
Greer.
At the same time, the Commission entered an order dismissing Krista
Castleton Nielsen, former president of NST. Nielsen had been charged
with aiding and abetting and causing registration violations in a
different transaction involving PanWorld stock. (Rels. 33-7924; 34-
43662; File No. 3-9949) |
