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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
ADVISERS ACT SCHIELD ADVERTISEMENTS COMMISSION INVESTMENT MARSHALL MANAGEMENT SAIP RESPONDENTS PURSUANT CLIENTS DISCLOSE MISLEADING SECURITIES EXCHANGE COMMISSION SCHIELD MANAGEMENT COMPANY TROY CALCULATING VIOLATION UNITED STATES FINDINGS IMPOSING COLORADO PUBLICATION MONEY ORDER DEDUCT BUSINESS REGIONAL OFFICE CONTRACT |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
INVESTMENT ADVISERS ACT OF 1940
Release No. 1871 / 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(e), 203(f),
AND 203(k) OF THE INVESTMENT
ADVISERS ACT OF 1940
AS TO SCHIELD MANAGEMENT
COMPANY AND
MARSHALL L.SCHIELD
I.
In these proceedings ordered pursuant to Sections 203(e), 203(f) and
203(k) of the Investment Advisers Act of 1940 ("Advisers Act"),
Respondents Schield Management Company ("SMC"), and Marshall L.
Schield have 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
Respondents consent 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(e), 203(f) and 203(k) of
the Investment Advisers Act of 1940, without admitting or denying the
findings of this Order, except that they admit the jurisdiction of the
Commission over each of them and over the subject matter of the
proceedings instituted against them by the Commission.
II.
SNIPPETS:
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