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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
ACT COMMISSION INVESTMENT INVESTMENT ADVISER PROCEEDING SECURITIES UNITED STATES DISTRICT UNITED STATES EXCHANGE ACT INJUNCTIVE ACTION FINDINGS REMEDIAL SANCTIONS CALIFORNIA STATES DISTRICT COURT MICHAEL ORDER INSTITUTING PROCEEDINGS MAKING FINDINGS IMPOSING PURSUANT COMPLAINT FUND NORTHERN DISTRICT VIOLATING ADMINISTRATIVE PROCEEDING MATTER DEEMS UNREGISTERED INVESTMENT ADVISER THEREUNDER SALE |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
INVESTMENT ADVISERS ACT OF 1940
Release No. 1947 / June 1, 2001
ADMINISTRATIVE PROCEEDING
File No. 3-10492
_________________________________________________________________
In the Matter of
MICHAEL T. HIGGINS,
Respondent.
_________________________________________________________________
ORDER INSTITUTING PROCEEDINGS,
MAKING FINDINGS AND IMPOSING
REMEDIAL SANCTIONS
I.
The Securities and Exchange Commission ("Commission") deems it
appropriate and in the public interest to institute a public
administrative proceeding against Michael T. Higgins ("Higgins")
pursuant to Section 203(f) of the Investment Advisers Act of 1940
("Advisers Act").
II.
In anticipation of these proceedings, Higgins has submitted an Offer
of Settlement ("Offer") which the Commission has determined to accept.
Solely for the purposes of this proceeding, and any other proceeding
brought by or on behalf of the Commission or in which the Commission
is a party, Higgins has admitted the jurisdiction of the Commission
over him and over the subject matter of this proceeding and the
findings set forth below (except the allegations of the Commission's
complaint described in paragraph III.C. below, which Higgins neither
admits nor denies) and Higgins has consented to the issuance of this
Order Instituting Proceedings, Making Findings and Imposing Remedial
Sanctions ("Order"), and to the entry of the findings and the
imposition of the remedial sanctions set forth below.
III.
On the basis of this Order and Higgins's Offer, the Commission finds
SNIPPETS:
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