JB Oxford Settlement With the SEC and Announces Stock Dividend
January 18 2006 - 4:05PM
PR Newswire (US)
LOS ANGELES, Jan. 18 /PRNewswire-FirstCall/ -- JB Oxford Holdings,
Inc. (OTC:JBOHD) (JBOH), reports that it and its National Clearing
Corp (NCC) subsidiary have agreed to settle a lawsuit commenced by
the Securities and Exchange Commission alleging improper late
trading and facilitation of market timing. Without admitting or
denying wrongdoing, NCC has consented to the entry of an injunction
enjoining NCC from future violations of certain provisions of the
federal securities laws. NCC has also agreed to disgorge $1,035,324
which represents the gross revenue earned by NCC, plus interest,
based on the conduct alleged in the SEC's Complaint, and to pay a
civil penalty of $1.0 million. Three former employees have also
agreed to separate settlements, for which neither NCC nor JBOH will
be responsible. JBOH, without admitting or denying the SEC's
allegations, has consented to the entry of an administrative cease
and desist order prohibiting it from future violations of Section
10(b) of the Securities Exchange Act and Rule 10b-5 thereunder. In
addition, JBOH has agreed not to have a controlling interest in a
clearing brokerage firm for a period of five (5) years. JBOH will
not be required to pay any money in settlement of this action.
Stock Dividend Announced The Board of Directors of JB Oxford
Holdings has resolved to pay a stock dividend to shareholders of
record as of the close of business on January 5, 2006. The stock
dividend will consist of 9 shares of $.01 par value previously
authorized, but unissued JBOH common stock for each whole share of
record as of the close of business on January 5, 2006. It is
anticipated that the dividend will be paid within the next ten (10)
days by our transfer agent. About JB Oxford Holdings, Inc. JB
Oxford Holdings, Inc. offers market making and institutional
trading services through its National Clearing Corp subsidiary. The
Company also purchases and sells real estate for investment and/or
development through its FiCorp, Inc. subsidiary. The Company's
offices are located in Los Angeles, CA. This press release contains
statements that are forward-looking, including comments on future
business plans, investments, market conditions, revenue growth,
expense management, and outlook. Any number of conditions may occur
which would affect important factors in this analysis and
materially change expectations. These factors include, but are not
limited to, known and unknown risks, customer trading activity;
changes in technology; success of cost-containment programs;
ability to successfully identify, negotiate, close and integrate
acquisitions and investment opportunities; shifts in competitive
patterns; decisions with regard to products and services; changes
in revenues and profits; and significant changes in the market
environment. For a description of the foregoing and other factors,
investors and others should refer to the company's filings with the
U.S. Securities and Exchange Commission, including but not limited
to information under the headings "Business," "Management's
Discussion and Analysis of Financial Condition and Results of
Operations" and "Quantitative and Qualitative Disclosures about
Market Risk" and particularly under the subheading "Risk Factors"
thereunder in its annual report on Form 10-K for the year ended
Dec. 31, 2004; and other periodic filings. JB Oxford undertakes no
obligation to update the forward-looking statements contained
herein to reflect changed events or circumstances after today's
date. DATASOURCE: JB Oxford Holdings, Inc. CONTACT: JB Oxford
Investor Relations, +1-818-907-6580
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