SEC v VICTOR TEICHER & CO., L.P., et al


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Keywords & Phrases

CaseNo: 34-40010, Defendant: Victor Teicher & Co., L.P., Ross S. Frankel Release No. IA1722, Plaintiff: SEC, State: WA Washington, UniqueCaseRef: SEC>34-40010, Investment Adviser, Teicher, Frankel, Act, Securities, Commission, Bar, Authority, Respondents, Exchange Act, Dealer, Broker, Victor Teicher, Impose, Statute, Convictions, Investment Company, Appeals, Law Judge, Sanction, Municipal Securities Dealer, Basis, Advisory Bar, Misconduct, Determinations, Language, Congress, Docket , ContentID: 120247232

Case Documents

1998-05-20

SEC COMMISSION OPINION
[ see first page and extracted highlights below ] ItemID: 117382

14 pages
TXT

Total Documents: 1 document , 14 pages

Price: $ 19.95

IVESLCD01 KGI0001

1 . SEC COMMISSION OPINION

EXTRACTED KEY WORDS

TEICHER
FRANKEL
ACT
SECURITIES
COMMISSION
BAR
LAW
AUTHORITY
RESPONDENTS
EXCHANGE ACT
DEALER
BROKER
VICTOR TEICHER
IMPOSE
STATUTE
CONVICTIONS
INVESTMENT COMPANY
APPEALS
LAW JUDGE
SANCTION
MUNICIPAL SECURITIES DEALER
BASIS
ADVISORY BAR
MISCONDUCT
DETERMINATIONS
LANGUAGE
COURT
CONGRESS
DOCKET







                          SECURITIES AND EXCHANGE COMMISSION
                                   Washington, D.C.


     SECURITIES EXCHANGE ACT OF 1934
     Rel. No.  40010 / May 20, 1998

     INVESTMENT ADVISERS ACT OF 1940
     Rel. No.   1722 / May 20, 1998

     Admin. Proc. File No. 3-8394


                                        :
              In the Matter of          :
                                        :
               VICTOR TEICHER           :
          VICTOR TEICHER & CO., L.P.    :
              New York, New York        :
                                        :
               ROSS S. FRANKEL          :
             5 Seymour Place East       :
               Armonk, New York         :
                                        :


     OPINION OF THE COMMISSION

          BROKER-DEALER AND INVESTMENT ADVISER PROCEEDINGS

               Jurisdiction

               The Commission is authorized under Section 203(f) of the
               Investment Advisers Act to bring proceedings against and
sanction
               persons associated with unregistered investment advisers.

               Grounds for Remedial Action

                    Criminal Convictions
                    Injunction

SNIPPETS:

SECURITIES AND EXCHANGE COMMISSION

SECURITIES EXCHANGE ACT OF 1934

VICTOR TEICHER & CO., L.P.:

BROKER-DEALER AND INVESTMENT ADVISER PROCEEDINGS

and to impose a collateral bar

Roger J. Bernstein, for Ross S. Frankel.

Victor Teicher & Co., L.P., an unregistered investment adviserexempt from registration under

Our Division of Enforcement also appeals from that decision with respect to Ross S. Frankel,

Based on the criminal convictions of Teicher Co. and Teicher and their stipulation, the law

the Teicher respondents object only to that portion of the law judge's order that bars them

They contend that we lack authority under the Act to bring administrative proceedings against