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SEC LITIGATION RELEASE
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EXTRACTED KEY WORDS
SHINNICK ADMINISTRATIVE PROCEEDING CIVIL COMPLAINT PENALTY EXCHANGE COMMISSION SECURITIES ADMINISTRATIVE PROCEEDING FILE IMPOSING REMEDIAL SANCTIONS COMMISSION ORDER IMPOSING PRIOR COMMISSION ORDER COMPLAINT CHARGES CIVIL MONEY PENALTY PAY FEDERAL COURT INVESTMENT ADVISERS ACT FILED PURSUANT MARK CIVIL ACTION LITIGATION |
U.S. SECURITIES & EXCHANGE COMMISSION
LITIGATION RELEASE NO. 17955 / January 29, 2003
, Civil Action No. 030635-RSK-FMOX (C.D. CA)
On January 28, 2003, the Securities and Exchange Commission commenced
proceedings to collect a civil penalty previously ordered in a
Commission administrative proceeding against Mark F. Shinnick. The
complaint, filed pursuant to Section 209(d) of the Investment Advisers
Act, asks a federal court to order Shinnick to comply with the
Commission's Order and pay a $10,000 civil money penalty. The
complaint charges that Shinnick failed to comply with the terms of a
prior Commission order imposing remedial sanctions issued in ,
Administrative Proceeding File No. 3-10652 (August 28, 2002).
_________________________________________________________________
Modified 01/30/2003
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