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SEC v E-INVEST, INC., FORMERLY KNOWN AS, ASHTIN KELLY & CO., et al Click to find out why . . .



Keywords & Phrases
CaseNo: 33-7893, Defendant: E-Invest, Inc., formerly known as, Ashtin Kelly & Co., and William Jonathan Wride., Plaintiff: SEC, State: OR Oregon, UniqueCaseRef: SEC>33-7893, Securities Act, Commission, Ashtin, Exchange Act, Disqualification, Waiver, Pursuant, Violations, Administrative Proceeding, E-invest, Jonathan, Provision, Exemption, Regulation, Settlement, Committing, Promulgated Thereunder, Officer, Investment Adviser, Underwriter, Showing, Request, Causing, Future Violations, Civil Penalty, Issuer, Principal Security Holder, Representations Set, Entry , ContentID: 120244246

Case Documents
1 2000-09-21 SEC ADMINISTRATIVE PROCEEDING
[ see first page and extracted highlights below  ] ItemID: 110980
2 pages
HTML
Total Documents: 1 document , 2 pages
Price: $ 19.95


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1 . SEC ADMINISTRATIVE PROCEEDING

EXTRACTED KEY WORDS
COMMISSION
ASHTIN
EXCHANGE ACT
DISQUALIFICATION
WAIVER
PURSUANT
VIOLATIONS
ADMINISTRATIVE PROCEEDING
E-INVEST
JONATHAN
PROVISION
EXEMPTION
REGULATION
SETTLEMENT
COMMITTING
PROMULGATED THEREUNDER
OFFICER
INVESTMENT ADVISER
UNDERWRITER
SHOWING
REQUEST
CAUSING
FUTURE VIOLATIONS
CIVIL PENALTY
ISSUER
PRINCIPAL SECURITY HOLDER
PARTNER
REPRESENTATIONS SET
ENTRY
UNITED STATES OF AMERICA
before the
SECURITIES AND EXCHANGE COMMISSION

   SECURITIES ACT OF 1933
   Release No. 7893 / September 21, 2000

   ADMINISTRATIVE PROCEEDING
   File No. 3-10292

   In the Matter of

   E-INVEST, INC., formerly known as,
   ASHTIN KELLY & CO. ,
   and WILLIAM JONATHAN WRIDE
   Respondent.
   ORDER UNDER
   RULE 602(e) OF THE
   SECURITIES ACT OF 1933
   GRANTING A WAIVER OF THE
   DISQUALIFICATION
   PROVISION OF RULE 602(c)(3)

   E-Invest, Inc., formerly known as, Ashtin Kelly & Co. ("Ashtin") has
   submitted a letter, dated August 22, 2000, for waiver of the
   disqualification from the exemption under Regulation E arising from
   Ashtin's settlement of an administrative proceeding commenced by
   Commission. On September 21, 2000, pursuant to Ashtin's Offer of
   Settlement, the Commission issued an Order Instituting Administrative
   and Cease-and-Desist Proceedings, Making Findings and Imposing
   Remedial Sanctions ("Order") against Ashtin. Under the Order, the
   Commission found that Ashtin willfully violated, and committed or
   caused violations of, Section 5(a) of the Securities Act of 1933
   ("Securities Act") and Sections 15(c)(3), 17(a) of the Securities
   Exchange Act of 1934 ("Exchange Act") and Rules 15c3-1, 17a-3, 17a-5
   and 17a-11 promulgated thereunder.

   In the Order, the Commission (1) censures Ashtin; (2) requires Ashtin
   to cease and desist from committing or causing any violations and any
   future violations of Section 5(a) of the Securities Act and Sections
   15(c)(3), 17(a) of the Exchange Act and Rules 15c3-1, 17a-3, 17a-5 and
   17a-11, promulgated thereunder; and (3) orders Ashtin to pay a civil
   penalty of $20,000.

   The Regulation E exemption is not available for the securities of an
   issuer if a director, officer, principal security holder, investment
   adviser or underwriter of the securities to be offered, or any
   partner, director or officer of such investment adviser or
SNIPPETS:
  • SECURITIES AND EXCHANGE COMMISSION
  • and WILLIAM JONATHAN WRIDE Respondent.
  • SECURITIES ACT OF 1933 GRANTING A WAIVER OF THE DISQUALIFICATION
  • E-Invest, Inc., formerly known as, Ashtin Kelly & Co. has submitted a letter, dated August
  • On September 21, 2000, pursuant to Ashtin's Offer of Settlement, the Commission issued an
  • Under the Order, the Commission found that Ashtin willfully violated, and committed or caused
  • In the Order, the Commission censures Ashtin; requires Ashtin to cease and desist from
  • The Regulation E exemption is not available for the securities of an issuer if a director,
  • Based upon the representations set forth in Ashtin's request, the Commission has determined
  • Accordingly, IT IS ORDERED, pursuant to Rule 602under the Securities Act, that a waiver from
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