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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
COMMISSION INVESTMENT ADVISER ACT SECURITIES EXCHANGE ACT RESPONDENT MAKING FINDINGS IMPOSING REMEDIAL SANCTIONS BROKER-DEALER FRAUD MISAPPROPRIATION ADMITTING BALTIMORE LEGG MASON MISDEMEANOR FRAUDULENT SALE PURCHASE VICTIMS MATERIAL FACT FUNDS HEREBY ADMINISTRATIVE PROCEEDING MATTER MONICA LYNN COLEMAN DEEMS PURSUANT PURPOSE MARYLAND |
United States of America
before the
Securities and Exchange Commission
Securities Exchange Act of 1934
Release No. 47242 / January 24, 2003
Investment Advisers Act of 1940
Release No. 2102 / January 24, 2003
Administrative Proceeding
File No. 3-10875
_________________________________________________________________
In the Matter of
MONICA LYNN COLEMAN
Respondent.
_________________________________________________________________
ORDER MAKING FINDINGS AND IMPOSING REMEDIAL SANCTIONS
I.
The Securities and Exchange Commission ("Commission") deems it
appropriate to enter an order in this previously instituted public
administrative proceeding, making findings and imposing remedial
sanctions against Monica Lynn Coleman ("Respondent" or "Coleman")
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").
II.
Respondent has submitted an Offer of Settlement ("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 her and the subject matter of these
proceedings, and the findings in paragraphs III.1, III.2 and III.3.
below, which are admitted, Respondent consents to the entry of this
Order Making Findings and Imposing Remedial Sanctions ("Order"), as
set forth below.
III.
SNIPPETS:
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