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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
COMMISSION ADVISERS ACT SCHIELD ADVERTISEMENTS INVESTMENT TROY SAIP RESPONDENT MANAGEMENT PURSUANT DISCLOSE SECURITIES MISLEADING EXCHANGE COMMISSION ADMINISTRATIVE PROCEEDINGS CALCULATING PUBLICATION UNITED STATES MARSHALL FINDINGS IMPOSING COLORADO DIRECTS GRAPHS OVERSTATE DEDUCT WILLFUL VIOLATION MONEY ORDER |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
INVESTMENT ADVISERS ACT OF 1940
Release No. 1872 / May 31, 2000
ADMINISTRATIVE PROCEEDING
File No. 3-10008
In the Matter of
SCHIELD MANAGEMENT COMPANY,
MARSHALL L. SCHIELD, and
TROY M. SCHIELD,
Respondents.
ORDER MAKING FINDINGS,
IMPOSING CEASE-AND-DESIST
ORDER, AND IMPOSING
REMEDIAL SANCTIONS PURSUANT
TO SECTIONS 203(f),
AND 203(k) OF THE
INVESTMENT ADVISERS ACT
OF 1940 AS TO TROY M. SCHIELD
I.
In these proceedings ordered pursuant to Sections 203(f), and 203(k)
of the Investment Advisers Act of 1940 ("Advisers Act"), Respondent
Troy M. Schield has submitted an Offer of Settlement which the
Securities and Exchange 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, the Respondent consents to the entry of this Order of the
Commission Making Findings, Imposing a Cease-and-Desist Order and
Imposing Remedial Sanctions Pursuant to Sections 203(f), and 203(k) of
the Investment Advisers Act of 1940, without admitting or denying the
findings of this Order, except that he admits the jurisdiction of the
Commission over him and over the subject matter of the proceedings
instituted against him by the Commission.
II.
On the basis of the Respondent's Offer of Settlement, the Commission
makes the following findings
SNIPPETS:
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