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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
FUND DEAN WITTER MUTUAL FUND REVIEW COMMISSION EXCHANGE SECURITIES LETTERS TRANSACTIONS CUSTOMERS EXCHANGE ACT VIOLATIONS REASON SHARES REGISTERED REPRESENTATIVES MANAGER REPORT INVESTMENT RECOMMENDATION PRIOR ENGAGEMENT ATLANTA APPROVE ADMINISTRATIVE PROCEEDINGS PURSUANT PURCHASE SALES EXECUTION SUPERVISE |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 43215 / August 28. 2000
ADMINISTRATIVE PROCEEDING
File No. 3-10274
In the Matter of
DEAN WITTER REYNOLDS INC., 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 AND MONETARY PENALTIES
I.
The Securities and Exchange Commission ("Commission") deems it
appropriate and in the public interest that public administrative
proceedings be instituted against Dean Witter Reynolds Inc. ("Dean
Witter") pursuant to Sections 15(b) and 19(h) of the Securities
Exchange Act of 1934 ("Exchange Act"). In anticipation of the
institution of these administrative proceedings, Dean Witter has
submitted an Offer of Settlement, 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 prior to a hearing pursuant to the
Commission's Rules of Practice, 17 C.F.R. § 201.100 et seq., Dean
Witter, by its Offer of Settlement, admits the jurisdiction of the
Commission over it and the subject matter of these administrative
proceedings and consents to the entry of this Order Instituting Public
Administrative Proceedings, Making Findings, and Imposing Remedial
Sanctions and Monetary Penalties without admitting or denying the
Commission's findings except for those contained in Section III.A.,
which are admitted.
II.
Accordingly, IT IS HEREBY ORDERED that proceedings pursuant to
Sections 15(b) and 19(h) of the Exchange Act be, and hereby are,
instituted.
SNIPPETS:
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