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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
SHKEDI EXCHANGE ACT SECURITIES INSTITUTING BASIS MAKING FINDINGS SANCTIONS HEREBY KNIGHT BROKER-DEALER DISGORGEMENT ARBITRATION AWARD SELF-REGULATORY ORGANIZATION UNITED STATES ADMINISTRATIVE PROCEEDING MATTER NICOLE DEEMS PURSUANT ADMITTING ENTRY CIVIL DISTRICT COURT JERSEY VIOLATING EXCHANGE ACT RULE ACCOUNTS PAYMENT |
UNITED STATES OF AMERICA
before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 48562 / September 29, 2003
ADMINISTRATIVE PROCEEDING
File No. 3-11281
_________________________________________________________________
In the Matter of
NICOLE M. SHKEDI,
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 public administrative
proceedings be, and hereby are, instituted pursuant to Section 15(b)
of the Securities Exchange Act of 1934 ("Exchange Act") against Nicole
M. Shkedi.
In anticipation of the institution of these proceedings, Shkedi 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 her, the subject matter of these proceedings, and
the entry of an injunction, which are admitted, Shkedi consents to the
entry of this Order Instituting Proceedings, Making Findings, and
Imposing Remedial Sanctions ("Order"), as set forth below.
II.
On the basis of this Order and Shkedi's Offer, the Commission finds
that
A. During the period August 1998 through March 2002, Shkedi was an
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