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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
EXCHANGE ACT FRITH SECURITIES ADMINISTRATIVE PROCEEDINGS FINDINGS BROKERAGE SANCTIONS PURSUANT RESPONDENT SETTLEMENT CHICAGO PARTNERSHIP BOARD CPB FUNDS BROKERAGE CUSTOMERS SECURITIES DEALERS INVESTMENT JAMES ADMITTING DISTRICT COMPLAINT FUTURE VIOLATIONS THEREUNDER CONNECTION TRANSACTIONS LIMITED PARTNERSHIP UNITS SUFFICIENT FUNDS SPECIAL RESERVE ACCOUNT PROTECTION REQUIRED AMOUNT |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 40691 / November 19, 1998
ADMINISTRATIVE PROCEEDING
File No. 3-9780
_____________________________________
In the Matter of : ORDER INSTITUTING
ADMINISTRATIVE
: PROCEEDINGS, MAKING
FINDINGS AND
JAMES R. FRITH, JR. : IMPOSING REMEDIAL
SANCTIONS
:
Respondent. :
_____________________________________:
I.
The Securities and Exchange Commission (Commission) deems it
appropriate and in the public interest that public administrative
proceedings be instituted pursuant to Sections 15(b) and 19(h) of
the Securities Exchange Act of 1934 (Exchange Act) against James
R. Frith, Jr. (Frith). In anticipation of the institution of
these administrative proceedings, the Respondent 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
to which the Commission is a party, and without admitting or
denying the findings herein, except as to jurisdiction and the
findings contained in Section III.B. herein, which is admitted,
the Respondent consents to the entry of this Order Instituting
Administrative Proceedings, Making Findings and Imposing Remedial
Sanctions (Order).
II.
Accordingly, it is ordered that administrative proceedings
pursuant to Sections 15(b) and 19(h) of the Exchange Act be, and
SNIPPETS:
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