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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
COMMISSION ADMINISTRATIVE PROCEEDINGS SECURITIES EXCHANGE ACT INVESTMENT ADVISERS FREDERICK ALLEGES DONA UNITED STATES AMERICA ADMINISTRATIVE PROCEEDINGS FILE MATTER FAYETTEVILLE YORK VIOLATING FEDERAL ERISA FEDERAL ERISA LAWS BROKER-DEALER DONA PLED GUILTY WILFULLY CAUSING TRANSMIT FORGED SIGNATURE OVERSTATED BALANCES SCHEME DEFRAUD EMPLOYER COMMISSION MONIES REMEDIAL ACTION |
UNITED STATES OF AMERICA
SECURITIES AND EXCHANGE COMMISSION
Securities Exchange Act of 1934
Release No. 37758 / September 30, 1996
Investment Advisers Act of 1940
Release No. 1587 / September 30, 1996
Administrative Proceedings File No. 3-9126
In The Matter Of Frederick V. Dona Jr.
On September 30, 1996, the Commission instituted public
administrative proceedings against Frederick V. Dona, Jr.
("Dona") of Fayetteville, New York.
The Order Instituting Public Proceedings ("Order") alleges
Dona was criminally convicted in 1995 of violating federal ERISA
laws while he was a registered representative associated with a
broker-dealer and investment adviser registered with the
Commission. The Order also alleges Dona pled guilty to wilfully
causing others to transmit a letter with a forged signature and
overstated balances and admitted the letter was part of a scheme
to defraud his employer of commission monies.
A hearing will be scheduled to determine what, if any,
remedial action is appropriate in the public interest against
Dona.
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