 |
 |
|
|
|
|
|
|
|
| | | |
|
|
|
|
|
|||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
1
.
SEC ADMINISTRATIVE PROCEEDING
|
EXTRACTED KEY WORDS
VALLEY FORGE SECURITIES INVESTMENT CLIENTS WOLF VFCH COMMISSION PROCEEDING CCFG ADVISORY OFFERINGS ADVISERS ACT TANG RUPAY-BARRINGTON INVESTMENT ADVISORY MANAGEMENT EMPLOYEES SALE PAYMENTS EXCHANGE COMMISSION INVESTMENT ADVISORY SERVICES FINDINGS RESPONDENT FINANCIAL GROUP PURCHASES FREDERICK IMPOSING OFFICERS MONEY ORDER HICKEY |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
INVESTMENT ADVISERS ACT of 1940
Release No. 1839 / September 30, 1999
INVESTMENT COMPANY ACT of 1940
Release No. 24061 / September 30, 1999
ADMINISTRATIVE PROCEEDING
File No. 3-9734
In the Matter of
Rupay-Barrington Investment Advisory Services, Inc.
Formerly Known As
Valley Forge Barrington, and Frederick A. Wolf
Order Making Findings, Imposing Remedial Sanctions and Imposing a
Cease-and-Desist Order as to Rupay-Barrington Investment Advisory
Services, Inc.
I.
The Securities and Exchange Commission ("Commission") has previously
instituted a public administrative and cease-and-desist proceeding
against Rupay-Barrington Investment Advisory Services, Inc.
("Barrington" or "Respondent") and Frederick A. Wolf ("Wolf") pursuant
to Sections 203(e), 203(f), 203(i) and 203(k) of the Investment
Advisers Act of 1940 ("Advisers Act") and Section 9(b) of the
Investment Company Act of 1940 ("Investment Company Act").Barrington
has subsequently submitted an Offer of Settlement ("Offer"), which the
Commission has determined to accept.
II.
Solely for the purpose of this proceeding 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 findings contained
herein, except that Barrington admits the jurisdiction of the
Commission over it and over the subject matter of this proceeding,
Barrington consents to the issuance of this Order Making Findings and
Imposing a Cease-and-Desist Order ("Order") and to the entry of the
findings and the imposition of the relief set forth below.
III.
On the basis of this Order and Barrington's Offer, the Commission
finds the following
SNIPPETS:
|
|
|
| | | |
|
|
