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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
COMMISSION ADMINISTRATOR ORDER APPROVING APPOINTING PUBLICATION NORTHEAST REGIONAL OFFICE HEREBY PROCEEDING ROBERT SMITH RESPONDENT FUNDS JOSEPH ZANGRI ESQ STAFF ATTORNEY PAYMENTS PAYEE IMPOSING SANCTIONS ISSUING CEASE-AND-DESIST ORDER TREASURY PENDING ENFORCEMENT OBJECTION PURSUANT PRACTICE COMPTROLLER BROOKS CHARITABLE TRUST JONATHAN KATZ |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
Administrative Proceeding
File No. 3-9782
Investment Advisers Act
Release No. 1837 / September 29, 1999
In the Matter of
Robert J. Smith,
Respondent. ORDER APPROVING PLAN FOR
THE DISTRIBUTION OF DISGORGED
FUNDS AND APPOINTING
ADMINISTRATOR
On November 25, 1998, the Commission issued an Order Instituting
Public Proceedings, Making Findings, Imposing Sanctions, and Issuing
Cease-And-Desist Order against Robert J. Smith ("Respondent").
Respondent disgorged $51,653.73, which was placed in the U.S. Treasury
pending further order from the Commission.
The Division of Enforcement (the "Division") has submitted for
approval a Plan for the Distribution of Disgorged Funds (the
"Distribution Plan") and has recommended that Joseph A. Zangri, Esq.,
a Staff Attorney in the Commission's Northeast Regional Office, be
appointed as Administrator of the Distribution Plan.
The Commission on March 10, 1999 issued an order approving publication
of notice of the Distribution Plan and such notice was given.
No objection to the Distribution Plan was received by the Commission
within 30 days of the publication of the notice.
NOW, THEREFORE IT IS HEREBY ORDERED, pursuant to Rule 613 of the
Commission's Rules of Practice (17 C.F.R. 201.613), that the
Distribution Plan is approved; and
IT IS HEREBY FURTHER ORDERED that Joseph A. Zangri, Esq., a Staff
Attorney in the Northeast Regional Office, be appointed Administrator
of the Distribution Plan; and
IT IS HEREBY FURTHER ORDERED that the Office of the Comptroller shall,
within thirty days, make the following payments using the payee
addresses provided by the Division
Payee
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