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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
REPRESENTATIVES SUPERVISION TRADING ACCOUNTS REGISTERED REPRESENTATIVES SECURITIES COLORADO SPRINGS INDEPENDENT CONSULTANT COMMISSION ENGAGEMENT EXCHANGE ACT INVESTMENT CUSTOMER DENVER UNSUITABLE TRADING REVIEW REPORT RESPONDENT RECOMMENDATIONS COMPLIANCE ATLANTA CLIENTS STAFF ADEQUATE UNAUTHORIZED TRADING FIRM BRANCH MANAGER TRADING ACTIVITY OSJ OFFICES |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 43354 / September 26, 2000
ADMINISTRATIVE PROCEEDING
File No. 3-10308
In the Matter of
D.E. FREY AND COMPANY, INC.
Respondent.
ORDER INSTITUTING PUBLIC PROCEEDINGS PURSUANT TO SECTIONS 15(b) AND
19(h) OF THE SECURITIES EXCHANGE ACT OF 1934, MAKING FINDINGS AND
IMPOSING REMEDIAL 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) and 19(h) of the Securities Exchange Act of 1934
("Exchange Act") against Respondent D.E. Frey and Company, Inc.,
("D.E. Frey" or "Respondent"). Accordingly, it is hereby ORDERED that
these proceedings be, and hereby, are instituted.
In anticipation of the institution of these administrative
proceedings, the Respondent has submitted an Offer of Settlement
("Offer"), 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 the
Respondent admits the Commission's jurisdiction over it and over the
subject matter of these proceedings, D.E. Frey has consented by its
Offer to the entry of the findings and the imposition of the remedial
sanctions as to it as set forth below.
II.
On the basis of this Order and the Offer submitted by the Respondent,
the Commission finds that
A. Respondent
D. E. Frey is a corporation registered with the Commission as a
broker-dealer since 1988. It is a member of the National Association
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