SEC v GARY A. SMITH; BRENDA P. MURRAY, et al


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Keywords & Phrases

CaseNo: 84, Defendant: Gary A. Smith; Brenda P. Murray, Chief Administrative Law Judge File No. 3-8755, Plaintiff: SEC, UniqueCaseRef: SEC>84, Smith, Advisers, Investment Adviser, Advisers Act, Commission, Proceeding, Securities, Judge, Pursuant, Respondent, Hav, Register, Civil, Div, Attorney Kuhr, Violations, Review, Trustees, Life, Motion, Memorandum, Conference, Enforcement, Threats, Government, Findings , ContentID: 120245698

Case Documents

1996-01-04

SEC ADMINISTRATIVE LAW JUDGE DECISION
[ see first page and extracted highlights below ] ItemID: 112437

11 pages
TXT

Total Documents: 1 document , 11 pages

Price: $ 19.95

IVESLCD01 KGI0001

1 . SEC ADMINISTRATIVE LAW JUDGE DECISION

EXTRACTED KEY WORDS

ADVISERS
INVESTMENT ADVISER
ADVISERS ACT
COMMISSION
COUNSEL
PROCEEDING
ATTORNEY
SECURITIES
COURT
JUDGE
PURSUANT
RESPONDENT
HAV
REGISTER
CIVIL
DIV
ATTORNEY KUHR
VIOLATIONS
REVIEW
TRUSTEES
BUSINESS
LIFE
MOTION
MEMORANDUM
CONFERENCE
ENFORCEMENT
THREATS
GOVERNMENT
FINDINGS

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                              INITIAL DECISION NO. 84

                              ADMINISTRATIVE PROCEEDING
                              FILE NO. 3-8755




                     UNITED STATES OF AMERICA
                            Before the
                SECURITIES AND EXCHANGE COMMISSION



____________________________

In the Matter of         :
                         :
GARY A. SMITH            :         INITIAL DECISION
                         :         JANUARY 4, 1996
                         :
____________________________












APPEARANCES:   James Davidson and Rebecca Carlins for the
               Securities and Exchange Commission's Division of
               Enforcement, Midwest Regional Office.

               Gary A. Smith, pro se.*


BEFORE:        Brenda P. Murray, Chief Administrative Law Judge


* It is unclear whether Mr. Smith has legal counsel.

SNIPPETS:

SECURITIES AND EXCHANGE COMMISSION

Enforcement, Midwest Regional Office.

It is unclear whether Mr. Smith has legal counsel.

The Securities and Exchange Commission

initiated this proceeding on July 17, 1995, pursuant to Sections

203and 203of the Investment Advisers Act of 1940

review the books and records of companies he controlled and he

court order and court enforcement of subpoenas.

You hav a lot of power but you can't use any of it on me because I will never agree that you

I will never register under any conditions, to be a registered investment adviser and agree

I will not pay one penny civil penalty, even if every judge in the U.S.A. orders me to do so