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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
SECURITIES COMMISSION EXCHANGE EXCHANGE ACT INVESTMENT ADVISERS NALCO BALLESTEROS GUTIERREZ ADMINISTRATIVE PROCEEDINGS FINDINGS RICARDO BALLESTEROS INSTITUTING SANCTIONS DEALER DISTRICT NALCO SHARES SUEZ UNITED STATES PURSUANT ENTRY PERMANENT REGISTERED SECURITIES ASSOCIATION MEMBER COMPLAINT BALLESTEROS FRANCO SOUTHERN DISTRICT YORK STYLED SECURITIES JORGE JGK |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 44420 / June 13, 2001
INVESTMENT ADVISERS ACT OF 1940
Release No. 1948 / June 13, 2001
ADMINISTRATIVE PROCEEDING
File No. 3-10507
In the Matter of
RICARDO BALLESTEROS GUTIERREZ,
Respondent.
ORDER INSTITUTING
ADMINISTRATIVE PROCEEDINGS
PURSUANT TO SECTIONS 15(b)(6),
15B(c)(4) AND 19(h) OF THE
SECURITIES EXCHANGE ACT OF
1934 AND SECTION 203(f) OF THE
INVESTMENT ADVISORS ACT OF
1940, MAKING FINDINGS AND
IMPOSING SANCTIONS
I.
The Securities and Exchange Commission ("Commission") deems it
appropriate in the public interest and for the protection of investors
that administrative proceedings be instituted pursuant to Sections
15(b)(6), 15B(c)(4) and 19(h) of the Securities Exchange Act of 1934
("Exchange Act") and Section 203(f) of the Investment Advisers Act
against Ricardo Ballesteros Gutierrez ("Ballesteros").
II.
In anticipation of these proceedings, Ballesteros has submitted an
Offer of Settlement ("Offer") to the Commission, which the Commission
has determined to accept. Solely for the purpose of these proceedings
and any other proceedings brought by or on behalf of the Commission,
or in which the Commission is a party, and without admitting or
denying the findings herein, except that Ballesteros admits the
jurisdiction of the Commission over him and over the subject matter of
these proceedings and the entry of the Final Judgment of Permanent
SNIPPETS:
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