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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
COMMISSION INVESTMENT SECURITIES EXCHANGE ACT VAN WYK INSTITUTING COMPLAINT ICC INVESTMENT CONTRACTS ADMINISTRATIVE PROCEEDINGS HEREBY BROKER-DEALER INVESTOR FUNDS PAY MATTER DALE VAN WYK ADMINISTRATIVE PROCEEDINGS PURSUANT MAKING FINDINGS ADMITTING ENTRY JURISDICTION PARAGRAPH INJUNCTION RESPONDENT CONSENTS DISTRICT COURT VIOLATIONS PROVISIONS FACTS |
UNITED STATES OF AMERICA
before the
SECURITIES AND EXCHANGE COMMISSION
Securities Exchange Act of 1934
Release No. 43335 / September 25, 2000
Administrative Proceeding
File No. 3-10299
In the Matter of
Dale Van Wyk,
Respondent.
ORDER INSTITUTING PUBLIC ADMINISTRATIVE 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 deems it appropriate, for the
protection of investors and in the public interest that administrative
proceedings be instituted against Dale Van Wyk ("Van Wyk" or
"Respondent") pursuant to Sections 15(b) and 19(h) of the Securities
Exchange Act of 1934 ("Exchange Act").
In anticipation of the institution of these proceedings, 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 proceeding brought by or on behalf of the Commission or
in which the Commission is a party, and without admitting or denying
any of the findings contained herein, except as to the jurisdiction of
the Commission over him and over the subject matter of these
proceedings, and the matters set forth in paragraph II. 1. below, and
the entry of the injunction set forth in paragraph II. 3. below, which
are admitted, Respondent consents to the entry by the Commission of
this Order Instituting Public Administrative Proceedings Pursuant to
Sections 15(b) and 19(h) of the Exchange Act, Making Findings and
Imposing Remedial Sanctions ("Order").
Accordingly, IT IS HEREBY ORDERED that proceedings against Respondent
be and hereby are instituted.
II.
On the basis of this Order and the Offer, the Commission finds that
A. At all relevant times, Respondent Van Wyk was associated with an
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