SEC v JOHN FRANCIS DACQUISTO - Legal Case Documents


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SEC v JOHN FRANCIS DACQUISTO

Keywords & Phrases

CaseNo: IA-1696, Defendant: John Francis DAcquisto, Plaintiff: SEC, State: WA Washington, UniqueCaseRef: SEC>IA-1696, Investment Adviser, Law Judge, Commission, Securities, District Court, Advisers Act, Registered Investment, Appeals, Permanent Injunction, Exchange, Associating, Evidence, John, Administrative Law Judge, Violating, Revoke, Bar, Sanction, Investors, Remedial Action, Antifraud Provisions, Federal Securities Laws, Doubleday Trust, Judgement, Sheridan Asset Management, Future Violations, Wire Fraud, Form Adv-w, Allegations, Conviction , ContentID: 120247240

Case Documents

1998-01-21

SEC COMMISSION OPINION
[ see first page and extracted highlights below ] ItemID: 117390

14 pages
TXT

Total Documents: 1 document , 14 pages

Price: $ 19.95

IVESLCD01 KGI0001

1 . SEC COMMISSION OPINION

EXTRACTED KEY WORDS

LAW JUDGE
COMMISSION
SECURITIES
DISTRICT COURT
ADVISERS ACT
REGISTERED INVESTMENT
APPEALS
PERMANENT INJUNCTION
EXCHANGE
ASSOCIATING
EVIDENCE
JOHN
ADMINISTRATIVE LAW JUDGE
VIOLATING
REVOKE
BAR
SANCTION
INVESTORS
REMEDIAL ACTION
ANTIFRAUD PROVISIONS
FEDERAL SECURITIES LAWS
DOUBLEDAY TRUST
JUDGEMENT
SHERIDAN ASSET MANAGEMENT
FUTURE VIOLATIONS
WIRE FRAUD
FORM ADV-W
ALLEGATIONS
CONVICTION








SECURITIES AND EXCHANGE COMMISSION
                                   Washington, D.C.

     INVESTMENT ADVISERS ACT OF 1940
     Rel. No. 1696 / January 21, 1998

     Admin. Proc. File No. 3-8899


                                                      :
                         In the Matter of                  :
                                                      :
                    JOHN FRANCIS D'ACQUISTO           :
                                                      :



     OPINION OF THE COMMISSION

          INVESTMENT ADVISER PROCEEDINGS

          Ground for Remedial Action

               Permanent Injunction

          Registered investment adviser was permanently enjoined from
          violating the antifraud provisions of the federal securities laws.

          Held, it is in the public interest to revoke his registration as
an
          investment adviser and to bar him from associating with an
investment
          adviser.

     APPEARANCES:

          John F. D'Acquisto, pro se.

          James A. Howell and Marianne Wisner, for the Commission's Division
of
     Enforcement.

SNIPPETS:

SECURITIES AND EXCHANGE COMMISSION

Ground for Remedial Action

Registered investment adviser was permanently enjoined from violating the antifraud

it is in the public interest to revoke his registration as an investment adviser and to bar

John F. D'Acquisto, a registered investment adviser, appeals from the decision of an

The law judge found that a district court had permanently enjoined D'Acquisto from violating

Based on this injunction and consideration of the public interest, the administrative law

On September 20, 1995, the United States District Court for the Southern District of

D'Acquisto acted through entities he controlled, D'Acquisto Financial Group, Inc. and

The district court entered the permanent injunction pursuant

to a grant of partial summary judgment for the Commission.