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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
INVESTORS JMS SECURITIES COMMISSION EXCHANGE EXCHANGE ACT COMPLAINT FUNDS ADMINISTRATIVE PROCEEDINGS JOHANN INDIANA STOCK ACCOUNT DEFENDANTS SCHEME VIOLATIONS PURSUANT FINDINGS SETTLEMENT ADMITTING PERMANENT INJUNCTION BROKER-DEALER PURCHASE TECHNOLOGY COMPANIES PUBLIC OFFERINGS FINANCIAL INSTITUTIONS RECOMMENDATIONS INTERNET TRANSACTIONS |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 46279 / July 29, 2002
ADMINISTRATIVE PROCEEDING
File No. 3-10851
_________________________________________________________________
In the Matter of
JOHANN M. SMITH,
Respondent.
_________________________________________________________________
ORDER INSTITUTING PUBLIC ADMINISTRATIVE PROCEEDINGS PURSUANT TO
SECTION 15(b) OF THE SECURITIES EXCHANGE ACT OF 1934, MAKING FINDINGS
AND IMPOSING REMEDIAL SANCTIONS
I.
The Securities and Exchange Commission ("Commission") deems it
appropriate and in the public interest that public administrative
proceedings be and hereby are instituted pursuant to Section 15(b) of
the Securities Exchange Act of 1934 ("Exchange Act"), against Johann
M. Smith ("Smith").
In anticipation of the institution of these proceedings, Smith has
submitted an Offer of Settlement to the Commission which the
Commission has determined to accept. Solely for the purposes of these
proceedings and any other proceedings brought by or on behalf of the
Commission or in which the Commission is a party and, without
admitting or denying the findings contained herein, except as to the
entry of the permanent injunction described in paragraph II.F. below
and the Commission's jurisdiction over him and over the subject matter
of this proceeding, which are admitted, Smith consents to the
institution of public administrative proceedings, and the findings and
remedial sanctions set forth below.
II.
On the basis of this Order and the Offer of Settlement submitted by
Smith, the Commission finds that
A. Smith, age 44, resides in Indianapolis, Indiana and is the founder
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