SEC v WILLIAM A. MOLER and STRATEGIC RESOURCE MANAGEMENT, et al


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Keywords & Phrases

CaseNo: 34-41895, Defendant: William A. Moler and Strategic Resource Management, Inc., Plaintiff: SEC, UniqueCaseRef: SEC>34-41895, Commission, Act, Moler, Securities, Proceeding, Respondents, Exchange, Remedies, Impose, William, Findings, Settlement, Markups, Pay Disgorgement, Civil Penalty, Amount, Violations, Matter, Plus Prejudgment, Petition, Strategic Resource, Resource Management, Making Findings, Sanctions, Broker-dealer, Stock, Entry, Sold Sky, Market, Calculating , ContentID: 120245294

Case Documents

1999-09-22

SEC ADMINISTRATIVE PROCEEDING
[ see first page and extracted highlights below ] ItemID: 112033

3 pages
HTML

Total Documents: 1 document , 3 pages

Price: $ 19.95

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1 . SEC ADMINISTRATIVE PROCEEDING

EXTRACTED KEY WORDS

ACT
MOLER
SECURITIES
PROCEEDING
RESPONDENTS
EXCHANGE
REMEDIES
IMPOSE
WILLIAM
FINDINGS
SETTLEMENT
MARKUPS
PAY DISGORGEMENT
CIVIL PENALTY
AMOUNT
VIOLATIONS
MATTER
PLUS PREJUDGMENT
PETITION
STRATEGIC RESOURCE
RESOURCE MANAGEMENT
MAKING FINDINGS
SANCTIONS
BROKER-DEALER
STOCK
ENTRY
SOLD SKY
MARKET
CALCULATING

UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION

SECURITIES ACT OF 1933
Release No. 7740 / September 22, 1999
SECURITIES EXCHANGE ACT OF 1934
Release No. 41895 / September 22, 1999
ADMINISTRATIVE PROCEEDING
File No. 3-9201

_________________________________________________

             In the Matter of

    Sky Scientific, Inc.; W.A. Dorow, Jr.;
   Jerry L. Foster; Gilbert Marshall & Co., Inc.;
   Michael A. Usher; Strategic Resource
   Management, Inc.; William A. Moler; Daniel
   R. Lehl; Thomas Patrick Meehan; Douglas A.
   Glaser; Smith, Benton & Hughes, Inc.;
   Michael Zaman; George T. Hellen; Robert
   Schlien; American Capital Network, Inc.;
   Philip M. Georgeson; Melvin L. Levine;
   William David Jones,

                Respondents.

_______________________________________________

   ORDER OF THE COMMISSION REGARDING WILLIAM A. MOLER AND STRATEGIC
   RESOURCE MANAGEMENT, INC., MAKING FINDINGS AND IMPOSING REMEDIAL
   SANCTIONS AND A CEASE-AND-DESIST ORDER

   I.

   In these proceedings ordered pursuant to Section 8A of the Securities
   Act of 1933 ("Securities Act") and Sections 15(b), 19(h) and 21C of
   the Securities Exchange Act of 1934 ("Exchange Act"), Respondents
   Strategic Resource Management, Inc. ("Strategic") and William A. Moler
   ("Moler") have submitted an Offer of Settlement ("Offer") which the
   Securities and Exchange 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, Strategic and Moler consent to the entry of this Order of the
   Commission Making Findings and Imposing Remedial Sanctions and
   Cease-and-Desist Order and admit the jurisdiction of the Commission
   with respect to the matters set forth in this Order.

SNIPPETS:

SECURITIES AND EXCHANGE COMMISSION

SECURITIES EXCHANGE ACT OF 1934

ORDER OF THE COMMISSION REGARDING WILLIAM A. MOLER AND STRATEGIC RESOURCE MANAGEMENT, INC.,

In these proceedings ordered pursuant to Section 8A of the Securities Act of 1933 and

Solely for the purpose of these proceedings and any other proceedings brought by or on behalf

As a result of these excessive markups Strategic realized excessive trading profits of

In making these sales of stock, Strategic was not a market maker for purposes of calculating

Respondents have submitted sworn financial statements and other evidence and have asserted

The Commission has reviewed the sworn financial statement and other evidence provided by the

the Commission finds that it is in the public interest to impose sanctions specified in the

Moler is barred from association with any broker-dealer with a right to reapply for

Moler and Strategic cease and desist from committing or causing any violations and future

Disgorgement is fixed in the amount of $68,469 plus prejudgment interest, but the payment of

The Division of Enforcement may, at any time following the entry of this Order, petition the if Respondent's offer of settlement had not been accepted.


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