SEC v JUDY M. RUPAY and DIXON R. HOLMAN RELEASE NO. IA-2113


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Keywords & Phrases

CaseNo: 33-8199, Defendant: Judy M. Rupay and Dixon R. Holman Release No. IA-2113, Plaintiff: SEC, UniqueCaseRef: SEC>33-8199, Act, Investment, Fund, Commission, Securities Act, Investment Company, Rupay, Holman, Investment Advisers, Violations, Rbmanagement, Pursuant, Management, Administrator, Respondents, Exchange Commission, Cease-and-desist Proceedings, Shareholders, Assets, Instituting, Findings, Collectability, Entry, Rupay-barrington, President, Officer, Portfolios, Expense, Financial Statements, Special Master , ContentID: 120255851

Case Documents

2003-03-04

SEC ADMINISTRATIVE PROCEEDING
[ see first page and extracted highlights below ] ItemID: 133141

5 pages
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Total Documents: 1 document , 5 pages

Price: $ 19.95

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1 . SEC ADMINISTRATIVE PROCEEDING

EXTRACTED KEY WORDS

INVESTMENT
FUND
COMMISSION
SECURITIES ACT
INVESTMENT COMPANY
RUPAY
HOLMAN
INVESTMENT ADVISERS
VIOLATIONS
RBMANAGEMENT
PURSUANT
MANAGEMENT
ADMINISTRATOR
RESPONDENTS
EXCHANGE COMMISSION
CEASE-AND-DESIST PROCEEDINGS
SHAREHOLDERS
ASSETS
INSTITUTING
FINDINGS
COLLECTABILITY
ENTRY
RUPAY-BARRINGTON
PRESIDENT
OFFICER
PORTFOLIOS
EXPENSE
FINANCIAL STATEMENTS
SPECIAL MASTER

UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION

SECURITIES ACT OF 1933
RELEASE NO. 8199 / March 4, 2003

   INVESTMENT ADVISERS ACT OF 1940
   RELEASE NO. 2113 / March 4, 2003

   INVESTMENT COMPANY ACT OF 1940
   RELEASE NO. 25960 / March 4, 2003

   ADMINISTRATIVE PROCEEDING
   FILE NO. 3-11049
     _________________________________________________________________



   Judy M. Rupay and Dixon R. Holman,

   Respondents.


     _________________________________________________________________

   ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS,
   MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS AND A
   CEASE-AND-DESIST ORDER PURSUANT TO SECTION 203(k) OF THE INVESTMENT
   ADVISERS ACT OF 1940, SECTIONS 9(b) AND 9(f) OF THE INVESTMENT COMPANY
   ACT OF 1940 AND SECTION 8A OF THE SECURITIES ACT OF 1933

                                     I.

   The Securities and Exchange Commission ("Commission") deems it
   appropriate and in the public interest that public administrative and
   cease-and-desist proceedings be, and hereby are, instituted pursuant
   to Section 203(k) of the Investment Advisers Act of 1940 ("Advisers
   Act"), Sections 9(b) and 9(f) of the Investment Company Act of 1940
   ("Investment Company Act") and Section 8A of the Securities Act of
   1933 ("Securities Act") against Judy M. Rupay ("Rupay") and Dixon R.
   Holman ("Holman") (collectively, "Respondents").

                                    II.

   In anticipation of the institution of these proceedings, the
   Respondents have submitted an Offer of Settlement ("Offer") that the
   Commission has determined to accept. Solely for the purpose of these

SNIPPETS:

SECURITIES AND EXCHANGE COMMISSION

INVESTMENT ADVISERS ACT OF 1940

Judy M. Rupay and Dixon R. Holman,

ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS, MAKING FINDINGS, AND

CEASE-AND-DESIST ORDER PURSUANT TO SECTION 203OF THE INVESTMENT ADVISERS ACT OF 1940,

ACT OF 1940 AND SECTION 8A OF THE SECURITIES ACT OF 1933

In anticipation of the institution of these proceedings, the Respondents have submitted an

Solely for the purpose of these proceedings and any other proceedings brought by or on behalf Investment Advisers Act of 1940, Sections 9and 9of the Investment Company Act of 1940 and Section

Rupay, age 51, was, at all relevant times, an indirect shareholder and a director of

The Fund, a Maryland corporation headquartered in Arlington, Texas, has been registered with

The Fund was organized as a series company with three portfolios Total Return, Value Equity