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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
COMMISSION SECURITIES ACT CUSTOMER ACCOUNT ADDISON PLAN EXCHANGE ACT BROKERAGE FINDINGS REMEDIES IMPOSE RESPONDENT CEASE-AND-DESIST PROCEEDINGS IMPOSING MISAPPROPRIATION TRANSACTIONS PURCHASES INSTITUTING REMEDIAL SANCTIONS FUNDS AUTHORIZATION TRUSTEES ASSETS PAY DISGORGEMENT CIVIL PENALTY AMOUNT PLUS PREJUDGMENT CONTROL |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES ACT OF 1933
Release No. 7898 / September 26, 2000
SECURITIES EXCHANGE ACT OF 1934
Release No. 43351 / September 26, 2000
ADMINISTRATIVE PROCEEDING
File No. 3-10305
In the Matter of
Cheryl A. Rodgers,
Respondent.
ORDER INSTITUTING PUBLIC
ADMINISTRATIVE AND
CEASE-AND-DESIST PROCEEDINGS,
MAKING FINDINGS, IMPOSING
REMEDIAL SANCTIONS AND
IMPOSING CEASE-AND-DESIST
ORDER
I.
The Securities and Exchange Commission ("Commission") deems it
appropriate in the public interest and for the protection of investors
that public administrative and cease-and-desist proceedings be, and
hereby are, instituted against Respondent Cheryl A. Rodgers
("Respondent" or "Rodgers") pursuant to Section 8A of the Securities
Act of 1933 ("Securities Act") and Sections 15(b), 19(h) and 21C of
the Securities Exchange Act of 1934 ("Exchange Act").
In anticipation of the institution of these proceedings, Rodgers 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 to
which the Commission is a party, and without admitting or denying the
Commission's findings contained herein, except that she admits the
findings contained in paragraphs II.A and the jurisdiction of the
Commission over her and the subject matter of these proceedings,
Rodgers consents to the issuance of this Order Instituting Public
Administrative and Cease-and-Desist Proceedings, Making Findings,
Imposing Remedial Sanctions and Imposing Cease-and-Desist Order, and
the entry of findings and the imposition of the sanctions set forth
below.
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