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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
COMMISSION ACT SECURITIES EXCHANGE ACT CLIENTS ADVISERS ACT BUSINESS CUSTOMERS TRANSACTIONS VIOLATIONS FIRM INVESTMENT ADVISERS BROKERAGE REMEDIES ACCOUNTS TRADES IMPOSE FINDINGS MATERIALS CIVIL PENALTY MAILS PETITION MATTER PURSUANT CEASE DESIST ORDER REMEDIAL SANCTIONS PRIOR FIRM OTCM |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 41887 / September 20, 1999
INVESTMENT ADVISERS ACT OF 1940
Release No. 1827 / September 20, 1999
ADMINISTRATIVE PROCEEDING
File No. 3-10017
In the Matter of
DORTHY A. CHIKLY,
Respondent.
ORDER INSTITUTING PUBLIC
PROCEEDINGS PURSUANT TO
SECTIONS 15(b), 19(h)
AND 21C OF THE SECURITIES
EXCHANGE ACT OF 1934 AND
SECTIONS 203(f) AND (k) OF THE
INVESTMENT ADVISERS ACT OF 1940,
MAKING FINDINGS, AND IMPOSING
A CEASE AND DESIST ORDER AND
REMEDIAL SANCTIONS
I.
The Securities and Exchange Commission ("Commission") deems it
appropriate and in the public interest to institute public
administrative proceedings against Dorthy A. Chikly ("Chikly")
pursuant to Sections 15(b), 19(h) and 21C of the Securities Exchange
Act of 1934 ("Exchange Act") and Sections 203(f) and (k) of the
Investment Advisers Act of 1940 ("Advisers Act").
In anticipation of the institution of these proceedings, Chikly has
submitted an Offer of Settlement ("Offer") which the 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, and without admitting or denying the
findings herein, except that Chikly admits the Commission's
jurisdiction over her and over the subject matter of these
proceedings, Chikly has consented to the entry of this Order and to
the imposition of the cease and desist order and remedial sanctions
set forth below. The Commission has determined that it is appropriate
and in the public interest to accept Chikly's Offer.
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