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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
CHART CLIENTS INVESTMENT ADVERTISEMENT COMMISSION ASSET RESPONDENT ACT FUND ADVISERS ACT STAR PROGRAM PORTFOLIO PROMOTIONAL PACKAGE ALLOCATION EXCHANGE COMMISSION MATERIALS MONEY SECURITIES TRADING GRAPH PURSUANT MUTUAL FUND FUND SELECTION DISCLOSE FEES CAUSED SRM ASSET CLASS BAR CHART PRO-FORMA |
UNITED STATES OF AMERICA
before the
SECURITIES AND EXCHANGE COMMISSION
INVESTMENT ADVISERS ACT OF 1940
RELEASE NO. 1584 / September 27, 1996
ADMINISTRATIVE PROCEEDING
FILE NO. 3-9107
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: ORDER INSTITUTING PUBLIC
: PROCEEDINGS PURSUANT TO
: SECTIONS 203(f) AND
In the Matter of : 203(k) OF THE INVESTMENT
: ADVISERS ACT OF 1940,
PATRICIA OWEN-MICHEL : MAKING FINDINGS AND
: IMPOSING REMEDIAL SANCTIONS
Respondent : AND CEASE-AND-DESIST ORDER
:
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I.
The Securities and Exchange Commission deems it appropriate
and in the public interest that administrative and cease-and-
desist proceedings be instituted against Patricia Owen-Michel
("Respondent"), pursuant to Sections 203(f) and 203(k) of the
Investment Advisers Act of 1940 ("Advisers Act").
In anticipation of the institution of these proceedings,
Respondent has submitted an Offer of Settlement ("Offer") which
the Commission has determined to accept. Solely for the purpose
of these proceedings and any other proceeding brought by or on
behalf of the Commission or in which the Commission is a party,
and without admitting or denying any of the findings contained
herein, except as to the jurisdiction of the Commission over her
and over the subject matter of these proceedings, and as to the
findings contained in Section II paragraphs 1 and 2, which are
admitted, Respondent consents to the entry by the Commission of
this Order Instituting Public Proceedings Pursuant to Sections
SNIPPETS:
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