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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
INVESTMENT COMMISSION SECURITIES EXCHANGE ACT INVESTMENT ADVISERS RESPONDENT BENTLEY PURSUANT DEFENDANTS INSTITUTING FINDINGS SELLING CDS UNITED STATES IMPOSING REMEDIAL SANCTIONS ADMITTING COMPLAINT BUYING ADMINISTRATIVE PROCEEDINGS MATTER ROBERT MAKING FINDINGS SETTLEMENT DENYING CONSENTS ENTRY BROKER-DEALER INJUNCTION ALLEGATIONS |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 47589 / March 28, 2003
INVESTMENT ADVISERS ACT OF 1940
Release No. 2120 / March 28, 2003
Administrative Proceedings
File No. 3-11077
_________________________________________________________________
In the Matter of
Robert L. Bentley,
Respondent.
_________________________________________________________________
Order Instituting Proceedings, Making Findings and Imposing Remedial
Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of
1934 and Section 203(f) of the Investment Advisers Act of 1940
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") and Section
203(f) of the Investment Advisers Act of 1940 ("Advisers Act") against
Robert L. Bentley ("Respondent" or "Bentley").
II.
In anticipation of the institution of these proceedings, Respondent
has submitted an Offer of Settlement (the "Offer") which the
Commission has determined to accept. Solely for the purpose of these
proceedings and any other proceedings brought by or on behalf of the
Commission, or to which the Commission is a party, and without
admitting or denying the findings herein, except as to the
Commission's jurisdiction over him and the subject matter of these
proceedings, and the findings contained in Section III.2 below, which
are admitted, Respondent consents to the entry of this Order
Instituting Proceedings, Making Findings and
Imposing Remedial Sanctions Pursuant to Section 15(b) of the
SNIPPETS:
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