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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
COMMISSION INVESTMENT ACT EXCHANGE ACT INVESTMENT ADVISERS SECURITIES D/B/A FIRST PLEA PURSUANT FINDINGS ACCOUNTING FIRM HEREBY DEALER ADMINISTRATIVE PROCEEDING DEEMS SETTLEMENT ADMITTING ADMITS SANCTIONS BROKER-DEALERS GUILTY PLEA AGREEMENT FALSE INCOME TAX PAY FERRANTE PLED GUILTY MAIL FRAUD FILING PLEA HEARING DIVERTED INVESTOR FUNDS |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
INVESTMENT ADVISERS ACT OF 1940
RELEASE NO. 1589 / September 30, 1996
SECURITIES EXCHANGE ACT OF 1934
RELEASE NO. 37763 / September 30, 1996
ADMINISTRATIVE PROCEEDING
File No. 3-9133
---------------------------------
:
In the Matter of : ORDER PURSUANT TO SECTION
: 203(f) OF THE INVESTMENT
: ADVISERS ACT OF 1940 AND
DOMENIC P. FERRANTE, : SECTIONS 15(b) AND 19(h) OF
: THE SECURITIES EXCHANGE ACT OF
: 1934, INSTITUTING PROCEEDINGS,
Respondent. : MAKING FINDINGS AND IMPOSING
: REMEDIAL SANCTIONS
:
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I.
The Securities and Exchange Commission ("Commission") deems
it appropriate and in the public interest that a public
administrative proceeding be instituted pursuant to Section
203(f) of the Investment Advisers Act of 1940 ("Advisers Act")
and Sections 15(b) and 19(h) of the Securities Exchange Act of
1934 ("Exchange Act") against Domenic P. Ferrante ("Ferrante").
II.
In anticipation of the institution of these proceedings,
Ferrante has submitted an Offer of Settlement ("Offer"), 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 Commission's findings
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