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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
ACT GIANAMORE EXCHANGE ACT INVESTMENT ADVISERS SECURITIES EXCHANGE ACT RESPONDENT ADMINISTRATIVE PROCEEDINGS INSTITUTING PURSUANT FINDINGS BASIS REMEDIAL SANCTIONS HEREBY CIVIL ACTION COMPLAINT DISGORGEMENT ARBITRATION AWARD SELF-REGULATORY ORGANIZATION UNITED STATES MATTER PAUL MAKING FINDINGS IMPOSING DEEMS ADMITTING CONSENTS BROKER-DEALER ILLINOIS DISTRICT |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 48489 / September 12, 2003
INVESTMENT ADVISERS ACT OF 1940
Release No. 2170 / September 12, 2003
ADMINISTRATIVE PROCEEDING
File No. 3-11258
_________________________________________________________________
In the Matter of
PAUL A. GIANAMORE,
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
Paul A. Gianamore ("Gianamore" or "Respondent").
II.
In anticipation of the institution of these proceedings, Gianamore 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.3below, which are admitted,
Gianamore consents to the entry of this Order Instituting
SNIPPETS:
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