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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
COMMISSION RESPONDENT INVESTMENT ADVISERS SECURITIES EXCHANGE ACT WIGGINTON PURSUANT ADMINISTRATIVE PROCEEDINGS INSTITUTING FINDINGS BASIS LIMITED PARTNERSHIP COMPLAINT UNITED STATES REMEDIAL SANCTIONS HEREBY VIOLATIONS MAKING FINDINGS IMPOSING DEEMS ADMITTING CONSENTS LAPIN WIGGINTON ASSET MANAGEMENT LWAM BROKER-DEALERS HOUSTON TEXAS PERMANENTLY ENJOINING |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 48517 / September 22, 2003
INVESTMENT ADVISERS ACT OF 1940
Release No. 2175 / September 22, 2003
ADMINISTRATIVE PROCEEDING
File No. 3-11265
_________________________________________________________________
In the Matter of
JEFFREY CARL WIGGINTON,
Respondent.
_________________________________________________________________
ORDER INSTITUTING ADMINISTRATIVE PROCEEDINGS PURSUANT TO SECTION 15(b)
OF THE SECURITIES EXCHANGE ACT OF 1934 AND SECTION 203(f) OF THE
INVESTMENT ADVISERS ACT OF 1940, 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") and Section
203(f) of the Investment Advisers Act of 1940 ("Advisers Act") against
Jeffrey Carl Wigginton ("Respondent").
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
SNIPPETS:
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