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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
COMMISSION SECURITIES OMNI EXCHANGE ACT DEALER PURSUANT BROKER COMPLAINT UNITED STATES ADMINISTRATIVE PROCEEDING MATTER ORDER MAKING FINDINGS SANCTIONS SETTLEMENT OMNI INTERNATIONAL TRADING SALE TENDER HEREBY DANIEL RESPONDENT FACTS ORDER INSTITUTING INDUCE DISTRICT DEFENDANTS ENJOINING KOEHLER VIOLATING PROMULGATED THEREUNDER DEFRAUDED PUBLIC INVESTORS |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
RELEASE NO. 41764 / August 19, 1999
ADMINISTRATIVE PROCEEDING
FILE NO. 3-9849
In the Matter of
DANIEL L. KOEHLER,
Respondent.
ORDER MAKING FINDINGS
AND IMPOSING REMEDIAL
SANCTIONS
I.
In this public administrative proceeding ordered pursuant to Section
15(b) of the Securities Exchange Act of 1934 ("Exchange Act"), Daniel
L. Koehler ("Koehler") has submitted an Offer of Settlement, 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 contained in this Order Making
Findings and Imposing Remedial Sanctions ("Order"), except for the
Commission's jurisdiction with respect to the matters set forth in
this Order and those facts which are set forth in paragraphs II.1. and
II.2. below, which he admits, Koehler consents to the entry of this
Order.
II.
On the basis of this Order, the Order Instituting Public
Administrative Proceedings in this matter and the Offer of Settlement
submitted by Koehler, the Commission finds that
1. From in or about April 1992 through in or about March 1993, Koehler
was not registered as a broker or dealer with the Commission pursuant
to the Exchange Act. However, from in or about April 1992 to in or
about March 1993, Koehler used Omni International Trading, Inc.
("Omni") to effect transactions in, or induce or attempt to induce the
purchase or sale of, certain Omni securities, at a time when Koehler
was not registered with the Commission as a broker or dealer.
2. On December 4, 1998, in the case of SEC v. Omni International
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