SEC v PAUL J. HOUSE and BRANDON R. MOORE


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Keywords & Phrases

CaseNo: IA-2108, Defendant: Paul J. House and Brandon R. Moore, Plaintiff: SEC, State: OR Oregon, UniqueCaseRef: SEC>IA-2108, Respondents, Investment, Advisers, House, Advisers Act, Commission, Moore, Hedge Fund, Complaint, Brandon, Pursuant, Securities, Paul, Findings, Exchange Commission, Imposing Remedial Sanctions, Entry, Admitting, House Asset Management, Investment Advisory Business, According, Permanent, United States, Matter, Order Making Findings, Deems, Instituting, Denying, Consent, Officer , ContentID: 120255873

Case Documents

2002-02-06

SEC ADMINISTRATIVE PROCEEDING
[ see first page and extracted highlights below ] ItemID: 133163

3 pages
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Total Documents: 1 document , 3 pages

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1 . SEC ADMINISTRATIVE PROCEEDING

EXTRACTED KEY WORDS

INVESTMENT
ADVISERS
HOUSE
ADVISERS ACT
COMMISSION
MOORE
HEDGE FUND
COMPLAINT
BRANDON
PURSUANT
SECURITIES
PAUL
FINDINGS
EXCHANGE COMMISSION
IMPOSING REMEDIAL SANCTIONS
ENTRY
ADMITTING
HOUSE ASSET MANAGEMENT
INVESTMENT ADVISORY BUSINESS
ACCORDING
PERMANENT
UNITED STATES
MATTER
ORDER MAKING FINDINGS
DEEMS
INSTITUTING
DENYING
CONSENT
OFFICER

UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION

INVESTMENT ADVISERS ACT OF 1940
RELEASE NO. 2108 / February 6, 2003

   ADMINISTRATIVE PROCEEDING
   FILE NO. 3-10921
     _________________________________________________________________

   In the Matter of

   Paul J. House and Brandon R.

   Moore,

   Respondents.
     _________________________________________________________________

   ORDER MAKING FINDINGS AND IMPOSING REMEDIAL SANCTIONS AGAINST PAUL J.
   HOUSE AND BRANDON R. MOORE PURSUANT TO 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 to accept the Offers of
   Settlement ("Offers") submitted by Paul J. House ("House") and Brandon
   R. Moore ("Moore") pursuant to Section 203(f) of the Investment
   Advisers Act of 1940 ("Advisers Act").

                                    II.

   In response to the entry of an Order Instituting Proceedings pursuant
   to Section 203(f) of the Advisers Act, Respondents have submitted
   Offers 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 any findings contained herein, except
   as to the jurisdiction of the Commission over them and the subject
   matter of these proceedings and except for the findings contained in
   paragraph III. C. below, which are admitted, Respondents consent to
   the entry of this Order Making Findings and Imposing Remedial
   Sanctions against Paul J. House and Brandon R. Moore pursuant to
   Section 203(f) of the Investment Advisers Act of 1940 ("Order") as set
   forth below.

SNIPPETS:

UNITED STATES OF AMERICA

SECURITIES AND EXCHANGE COMMISSION

INVESTMENT ADVISERS ACT OF 1940

ORDER MAKING FINDINGS AND IMPOSING REMEDIAL SANCTIONS AGAINST PAUL J. HOUSE AND BRANDON R.

The Securities and Exchange Commission deems it appropriate and in the public interest to

In response to the entry of an Order Instituting Proceedings pursuant to Section 203of the

Solely for the purpose of these proceedings and any other proceedings brought by or on behalf tions against Paul J. House and Brandon R. Moore pursuant to Section 203of the Investment Advisers

Respondent House from at least March 2000 until June 2002, was a managing member of House

From at least March 2002 until June 2002, Moore was the chief financial officer of the

The Adviser acted as the advisory entity to a hedge fund named House Edge,

As such, during the time periods stated above, Respondent House, Respondent Moore, and the

The Commission's Complaint alleged that the Respondents, from March 2000 until June 2002,

According to the Complaint, the Respondents falsely told investors that the Hedge Fund had

The Respondents, without admitting or denying the allegations made in the Commission's

the Commission deems it appropriate and in the public interest to impose the sanctions


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