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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
FORMER PARTNERS COMMISSION SHENDE AGREEMENT PEQUET ADVISERS ACT CLIENT PROCEEDING INVESTMENT ADVISERS DIRECTING DISCLOSE VIOLATIONS PURSUANT TRADES PAYMENT SECURITIES EXCHANGE COMMISSION UNITED STATES ARRANGEMENTS INSTITUTING FINDINGS ILLINOIS COMPENSATION CASH ACCORDANCE FAILING MIDWEST REGIONAL OFFICE MONEY ORDER IMPOSE |
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 RELEASE NO. 1876 / June 12, 2000 ADMINISTRATIVE PROCEEDING FILE NO. 3-9922 In the Matter of MPI Investment Management, David Pequet and Ashok Shende Respondents. ORDER INSTITUTING PROCEEDINGS PURSUANT TO SECTIONS 203(e), (f) AND (k) OF THE INVESTMENT ADVISERS ACT OF 1940 I. In anticipation of a hearing in previously instituted administrative and cease-and-desist proceedings, MPI Investment Management (MPI), David Pequet (Pequet) and Ashok Shende (Shende) have submitted an Offer of Settlement (Offer) which the Commission has determined to accept. Solely for the purpose of this proceeding and any other proceedings brought by or on behalf of the Commission or in which the Commission is a party, MPI , Pequet and Shende consent, without admitting or denying the findings, except as to jurisdiction as set forth in paragraphs II.A through C below which they admit, to the issuance of this Order Making Findings and Imposing Sanctions pursuant to Sections 203(e), (f), and (k) of the Investment Advisers Act of 1940 (Order) and to the entry of the findings and imposition of sanctions as set forth below. II. FINDINGS On the basis of this Order and the Offer of Settlement, the Commission finds that A. At all times relevant hereto, MPI Investment Management (MPI), based in Hinsdale, Illinois, was registered with the Commission as an investment adviser pursuant to Section 203(c) of the InvestmentSNIPPETS: |
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