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1
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SEC COMMISSION OPINION
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EXTRACTED KEY WORDS
BARR ADVISERS ACT COMMISSION INVESTMENT ADVISER SECURITIES PROCEEDING FUTURE VIOLATIONS INJUNCTION APPEALS STAFF BARR FINANCIAL GROUP BFG COMMISSION FILINGS ADVISERS ACT RULE EXAMINATION FALSE STATEMENTS ENFORCEMENT DISTRICT COURT EXCHANGE COMMISSION ASSOCIATING MANAGEMENT INDIANA UNIVERSITY NASD TRANSCRIPT AMENDMENTS MANAGEMENT SERVICES MISCONDUCT ACADEMIC CREDENTIALS WASHINGTON |
Securities and Exchange Commission
Washington, D.C.
Investment Advisers Act of 1940
Rel. No. 2179 / October 2, 2003
Admin. Proc. File No. 3-9918
_________________________________________________________________
In the Matter of
THE BARR FINANCIAL GROUP, INC.
Tampa, Florida
and
ALFRED E. BARR
_________________________________________________________________
OPINION OF THE COMMISSION
INVESTMENT ADVISER PROCEEDING
CEASE-AND-DESIST PROCEEDING
False Statements in Commission Reports
Injunction
Investment adviser and its president made material false statements in
Commission filings and were permanently enjoined from violating
Section 204 of the Investment Advisers Act of 1940 and Advisers Act
Rule 204-2. , it is in the public interest to order respondents to
cease and desist from future violations of the provisions they were
found to have violated, to revoke registration of investment adviser,
and to bar its president from associating with any investment adviser.
APPEARANCES
, , and for the Barr Financial Group, Inc.
, for the Division of Enforcement.
Appeal filed July 10, 2002
Last brief received October 28, 2002
Oral Argument July 31, 2003
I.
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