 |
 |
|
|
|
|
|
|
|
| | | |
|
|
|
|
|
|||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
1
.
SEC ADMINISTRATIVE PROCEEDING
|
EXTRACTED KEY WORDS
INVESTMENT ADVISERS COMMISSION ADVISERS ACT SECURITIES CLIENTS RESPONDENT PURSUANT EXCHANGE COMMISSION ADMINISTRATIVE PROCEEDINGS FINDINGS CALIFORNIA FUNDS FRED ALBERT SCHLUEP MAKING FINDINGS REMEDIAL SANCTIONS HEREBY MISREPRESENTATIONS OMISSIONS PURCHASE UNITED STATES MATTER IMPOSING DEEMS PURPOSES ADMITTING CONSENTS CERTIFICATION CIVIL DISTRICT |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
INVESTMENT ADVISERS ACT OF 1940
Release No. 2101 / January 22, 2003
ADMINISTRATIVE PROCEEDING
File No. 3-11014
_________________________________________________________________
In the Matter of
FRED ALBERT SCHLUEP,
Respondent.
_________________________________________________________________
ADMINISTRATIVE PROCEEDINGS PURSUANT TO 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 203(f)
of the Investment Advisers Act of 1940 ("Advisers Act") against Fred
Albert Schluep ("Schluep" or "Respondent").
II.
In anticipation of the institution of these proceedings, Respondent
has submitted an Offer of Settlement ("Offer"), which the Commission
has determined to accept. Solely for the purposes 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.2 below, which are admitted,
Respondent consents to the entry of this Order Instituting
Administrative Proceedings Pursuant to Section 203(f) of the
Investment Advisers Act of 1940, Making Findings, and Imposing
Remedial Sanctions ("Order"), as set forth below.
III.
On the basis of this Order and Respondent's Offer, the Commission
SNIPPETS:
|
|
|
| | | |
|
|
