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1
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SEC ADMINISTRATIVE LAW JUDGE DECISION
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EXTRACTED KEY WORDS
CERTIFICATES SECURITIES COMMISSION RESPONDENT SHIVA YEN BOND EXCHANGE FINDINGS PROCEEDING COURT DISTRICT EXCHANGE ACT FRAUDULENT EXHIBITS DIV DEPOSITION INSTRUMENTS PRIME BANK SANCTION PURSUANT VIOLATIONS CIR EVENTUAL SALE LAW INVESTMENT ADVISER FICTITIOUSNESS TESTIMONY NATURE GRAND LARCENY |
INITIAL DECISION RELEASE NO. 87
ADMINISTRATIVE PROCEEDING
FILE NO. 3-8803
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
____________________________
In the Matter of :
: INITIAL DECISION
DEMITRIOS JULIUS SHIVA : APRIL 1, 1996
:
:
____________________________
APPEARANCES: Edward G. Sullivan for the Division of
Enforcement, Securities and Exchange Commission,
Atlanta District Office
Demitrios Julius Shiva, pro se
BEFORE: Carol Fox Foelak, Administrative Law Judge
The Securities and Exchange Commission (Commission)
initiated this proceeding by an Order Initiating Proceedings
(OIP) on September 7, 1995, pursuant to Sections 15(b) and 19(h)
of the Securities Exchange Act of 1934 (Exchange Act). The OIP
alleged that a Final Judgment of Permanent Injunction had been
entered against Respondent Shiva restraining him from violations
of Section 17(a) of the Securities Act of 1933 and Section 10(b)
of the Exchange Act in SEC v. Demitrios Julius Shiva, et al.,
SNIPPETS:
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