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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
SECURITIES ACT CUSTOMERS COMMISSION EXCHANGE ACT BENTLEY INVESTMENT ADVISERS BROKER-DEALER DISGORGEMENT PURSUANT CDS PENALTIES INSTITUTING CEASE-AND-DESIST PROCEEDINGS FINDINGS ENTRY BOUGHT BFS SANCTIONS HEREBY TDI CIVIL PENALTY PAYMENT BRANCH OFFICE REPRESENTATIONS VIOLATIONS UNDERTAKES RETIREMENT ACCOUNTS |
UNITED STATES OF AMERICA
before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES ACT OF 1933
Release No. 8195 / February 21, 2003
SECURITIES EXCHANGE ACT OF 1934
Release No. 47391 / February 21, 2003
INVESTMENT ADVISERS ACT OF 1940
Release No. 2111 / February 21, 2003
ADMINISTRATIVE PROCEEDING
File No. 3-11043
_________________________________________________________________
In the Matter of
MATHEW A. MATZ,
Respondent.
_________________________________________________________________
ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS,
MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS AND A
CEASE-AND-DESIST ORDER PURSUANT TO SECTION 8A OF THE SECURITIES ACT OF
1933, SECTIONS 15(b) AND 21C OF THE SECURITIES EXCHANGE ACT OF 1934
AND SECTION 203(f) OF THE INVESTMENT ADVISERS ACT OF 1940
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 8A of the Securities Act of 1933 ("Securities Act"),
Sections 15(b) and 21C of the Securities Exchange Act of 1934
("Exchange Act"), and Section 203(f) of the Investment Advisers Act of
1940 ("Advisers Act") against Mathew A. Matz ("Respondent").
II.
In anticipation of the institution of these proceedings, Respondent
has submitted an Offer of Settlement (the "Offer") which the
SNIPPETS:
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