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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
SUBSCRIBERS NEWSLETTER RECOMMENDATIONS INVESTMENT STOCK EXCHANGE ACT COMMISSION MATERIALS SECURITIES CEASE-AND-DESIST PROCEEDINGS MISLEADING STATEMENTS SUCCESS RESPONDENT INSTITUTING PROSPECTIVE SUBSCRIBERS E-MAILS PRICE PAST INVESTMENT PERFORMANCE PURCHASE THEREUNDER VIOLATIONS SCIENTER MAKING FINDINGS SETTLEMENT REPRESENTING TRADING PUBLISHER DISSEMINATES INVESTMENT ADVICE |
United States of America
before the
Securities and Exchange Commission
Securities Exchange Act of 1934
Release No. 48544 / September 25, 2003
Administrative Proceeding
File No. 3-11271
_________________________________________________________________
In the Matter of
SCOTT SIMON FRASER,
Respondent.
_________________________________________________________________
ORDER INSTITUTING CEASE-AND-DESIST PROCEEDINGS, MAKING FINDINGS AND
IMPOSING A CEASE-AND-DESIST ORDER
I.
The Securities and Exchange Commission ("Commission") deems it
appropriate that cease-and-desist proceedings be, and hereby are,
instituted pursuant to Section 21C of the Securities Exchange Act of
1934 ("Exchange Act") against Scott Simon Fraser ("Fraser").
II.
In anticipation of the institution of these proceedings, Fraser 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,
Fraser consents to the entry of this Order Instituting
Cease-and-Desist Proceedings, Making Findings and Imposing A
Cease-And-Desist Order ("Order"), as set forth below.
III.
On the basis of this Order and Fraser's Offer of Settlement, the
Commission finds that
Respondent
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