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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
SMIRLOCK COMMISSION PROCEEDING INVESTMENT VIOLATING MICHAEL FINDINGS SECURITIES EXCHANGE SANCTIONS RESPONDENT DISTRICT UNITED STATES MATTER INSTITUTING PROCEEDINGS SANCTIONS SET HEDGE FUNDS HEREBY ADMITTING LASER ADVISERS INVESTMENT PORTFOLIO STATES DISTRICT COURT SOUTHERN DISTRICT YORK THEREUNDER CAUSING AIDING ABETTING VIOLATIONS COMPLAINT |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
INVESMENT ADVISERS ACT OF 1940
Release No. 2046 / August 12, 2002
ADMINSTRATIVE PROCEEDING
File No. 3-10861
_________________________________________________________________
In the Matter of
MICHAEL L. SMIRLOCK,
Respondent.
_________________________________________________________________
ORDER INSTITUTING PROCEEDINGS, MAKING FINDINGS AND IMPOSING REMEDIAL
SANCTIONS
I.
The Securities and Exchange Commission ("Commission") deems it
appropriate and in the public interest that proceedings be, and hereby
are, instituted pursuant to Section 203(f) of the Investment Advisers
Act of 1940 ("Advisers Act") against Michael L. Smirlock
("Respondent")
II.
In anticipation of these proceedings, the Respondent has submitted an
Offer of Settlement ("Offer") which the Commission has determined to
accept. Solely for the purpose of this proceeding, and any other
proceeding brought by or on behalf of the Commission, or in which the
Commission is a party, without admitting or denying the findings
contained herein, expect the Commission's findings set forth in
Paragraphs III. A., III.B. and III.D., and the Commission's
jurisdiction over him and over the subject of this proceeding, which
are admitted, Respondent has consented to the issuance of this Order
Instituting Proceedings, Making Findings and Imposing Remedial
Sanctions ("Order"), and to the entry of the findings and the
imposition of the remedial sanctions set forth below.
III.
On the basis of this Order and the Respondent's Offer, the Commission
finds that
SNIPPETS:
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