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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
FUND INVESTMENT MORGAN FULLER PARADIGM STOCK INVESTMENT ADVISER HERMIS STOCK COMMISSION ADVISERS ACT CALIFORNIA PARTNERS SECURITIES TRADING LOSSES EXCHANGE COMMISSION RESPONDENT MARKET FINDINGS PURSUANT HEDGE FUND ASSETS TRANSACTION PURCHASE DELIVERY MISREPRESENTATIONS GENERAL PARTNER SAN FRANCISCO LIMITED PARTNERS MONEY ORDER |
UNITED STATES OF AMERICA
Before The
SECURITIES AND EXCHANGE COMMISSION
INVESTMENT ADVISERS ACT OF 1940
Release No. 1842 / October 4, 1999
ADMINISTRATIVE PROCEEDING
File No. 3-10073
In the Matter of
James William Fuller,
Respondent. ORDER INSTITUTING PUBLIC PROCEEDDINGS, MAKING FINDINGS,
IMPOSING REMEDIAL SANCTIONS, AND ISSUING CEASE-AND-DESIST ORDER
I.
The Securities and Exchange Commission (the "Commission") deems it
appropriate and in the public interest to institute public
administrative and cease-and-desist proceedings pursuant to Sections
203(f) and 203(k) of the Investment Advisers Act of 1940 ("Advisers
Act"), to determine whether James William Fuller ("Fuller" or
"Respondent") willfully aided and abetted and caused violations of
Sections 206(1) and 206(2) of the Advisers Act committed by Morgan
Fuller Capital Management, LLC ("Morgan Fuller"), an investment
adviser registered with the state of California.
In anticipation of the institution of these proceedings, Fuller 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 contained herein, except that Respondent admits the
jurisdiction of the Commission over him and over the subject matter of
these proceedings, Respondent consents to the issuance of this Order
Instituting Public Proceedings, Making Findings, Imposing Remedial
Sanctions, and Issuing Cease-and-Desist Order ("Order").
Accordingly, IT IS ORDERED that administrative and cease-and-desist
proceedings pursuant to Sections 203(f) and 203(k) of the Advisers Act
be, and hereby are, instituted.
II.
On the basis of this Order and the Respondent's Offer, the Commission
makes the following findings
A. NATURE OF PROCEEDING
SNIPPETS:
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