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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
KISOR INVESTMENT ADVISERS SECURITIES EXCHANGE ACT COMMISSION RESPONDENT COMPLAINT PUBLIC ADMINISTRATIVE PROCEEDINGS FINDINGS ADMINISTRATIVE PROCEEDING INSTITUTING PURSUANT ADMITTING CONSENTS OFFERINGS UNREGISTERED BROKER-DEALER COMPLAINT ALLEGES MATTER PATRICK KISOR MAKING FINDINGS IMPOSING REMEDIAL SANCTIONS DEEMS DENYING ENTRY FOUNDER PDK FRAUDULENT DISTRICT KEITH MOHN |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 47173 / January 13, 2003
INVESTMENT ADVISERS ACT OF 1940
Release No. 2100 / January 13, 2003
ADMINISTRATIVE PROCEEDING
FILE NO. 3-11008
_________________________________________________________________
In the Matter of
J. Patrick Kisor,
Respondent.
_________________________________________________________________
ORDER INSTITUTING PUBLIC ADMINISTRATIVE PROCEEDINGS PURSUANT TO
SECTION 15(b) OF THE SECURITIES EXCHANGE ACT OF 1934 AND SECTION
203(f) OF THE INVESTMENT ADVISERS ACT OF OF 1940, MAKING FINDINGS, AND
IMPOSING REMEDIAL SANCTIONS
I.
The Securities and Exchange Commission ("Commission") deems it
appropriate and in the public interest that a public administrative
proceeding be instituted 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") against J. Patrick
Kisor ("Respondent" or "Kisor").
II.
In anticipation of the institution of these proceedings, Respondent
has submitted an Offer of Settlement (the "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 him and the subject matter of these
proceedings, and the findings contained in Sections III. C and III. D.
below, which are admitted, Respondent consents to the entry of this
Order Instituting Public Administrative Proceedings Pursuant to
Section 15(b) of the Securities Exchange Act of 1934 and Section
SNIPPETS:
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