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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
INVESTORS COMMISSION ACT ADVISERS ACT OEG NOTES SECURITIES EXCHANGE ACT COMPLAINT FINDINGS PURSUANT BROKER OHIO JAMES MICHAEL COGLEY INSTITUTING HEREBY ESTATE INVESTING FUNDS PROSPECTIVE INVESTORS BUSINESS DEVELOPMENT PROJECTS RESPONDENT REMEDIAL SANCTIONS ADMITTING ACCORDING DEALER PROMISSORY CONSENTS OHIO ESTATE GROUP INDUCE PURCHASE |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 43135 / August 10, 2000
INVESTMENT ADVISERS ACT OF 1940
Release No. 1892 / August 10, 2000
ADMINISTRATIVE PROCEEDING
File No. 3-10267
_________________________________________________________________
In the Matter of
JAMES MICHAEL COGLEY,
Respondent.
_________________________________________________________________
ORDER INSTITUTING PUBLIC
PROCEEDINGS, MAKING
FINDINGS AND IMPOSING
REMEDIAL SANCTIONS
I.
The Securities and Exchange Commission ("Commission") deems it
appropriate and in the public interest to institute public
administrative proceedings against Respondent James Michael Cogley
("Cogley"), pursuant to Section 15(b) of the Securities Exchange Act
of 1934 ("Exchange Act"), and Section 203(f) of the Investment
Advisers Act of 1940 ("Advisers Act").
II.
In anticipation of an Order Instituting Proceedings, Making Findings
and Imposing Remedial Sanctions ("Order") being entered against him,
Cogley has submitted an Offer of Settlement ("Offer") to the
Commission, 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 contained herein, except
for the Commission's findings contained in Paragraphs III(A) through
III(C) below and the jurisdiction of the Commission over Cogley and
over the subject matter of these proceedings, which are admitted,
Cogley hereby consents to the entry of this Order.
SNIPPETS:
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