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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
KNOWLEDGEWARE EXCHANGE ACT SALES COMMISSION LETTERS TRANSACTIONS RESELLERS CONTINGENT PAYMENT TERMS SECURITIES CONTINGENT PAYMENT REVENUE SUBORDINATES RIGHTS ADMINISTRATION PURSUANT FINDINGS VIOLATIONS PURPORTED SALES TRANSACTIONS REPORTS SUBMITTING OFFICERS BOOKS RECOGNITION ORDER ADMINISTRATION PERSONNEL TAFS IMPROPER HEREBY EMPLOYEES MATERIALLY FALSE |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
Securities Exchange Act of 1934
Release No. 41926 / September 28, 1999
Accounting and Auditing Enforcement
Release No. 1177 / September 28, 1999
Administrative Proceeding
File No. 3-10037
________________________
In the Matter of ORDER INSTITUTING PUBLIC
PROCEEDINGS PURSUANT TO
Robert S. Chamberlain, SECTION 21C OF THE
SECURITIES EXCHANGE ACT OF 1934,
MAKING FINDINGS, AND IMPOSING
Respondent. CEASE-AND-DESIST ORDER AND
ORDER OF DISGORGEMENT
________________________
I.
The Securities and Exchange Commission ("Commission") deems it
appropriate and in the public interest that public administrative
proceedings be, and hereby are, instituted pursuant to Section 21C of
the Securities Exchange Act of 1934 ("Exchange Act") against Robert S.
Chamberlain ("Chamberlain").
II.
In anticipation of the institution of these administrative
proceedings, Chamberlain has submitted an Offer of Settlement
("Offer"), which the Commission has determined to accept. Solely for
the purpose of this proceeding and any other proceeding brought by or
on behalf of the Commission or to which the Commission is a party, and
without admitting or denying the findings contained herein, except as
to the Commission's finding of jurisdiction over him and the subject
matter of this proceeding, which Chamberlain admits, Chamberlain
consents to the issuance of this Order Instituting Proceedings
("Order") and to the entry of the findings and the imposition of
relief set forth below.
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