UNITED STATES OF AMERICA
In the Matter of
J. Patrick Kisor,
|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|
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").
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 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions ("Order") , as set forth below.
On the basis of this Order and Respondent's Offer, the Commission finds that:1
In view of the foregoing, the Commission deems it appropriate and in the public interest to accept Respondent Kisor's Offer.
ACCORDINGLY, IT IS HEREBY ORDERED, pursuant to Section 15(b) of the Exchange Act and Section 203(f) of the Advisers Act that Respondent Kisor be, and hereby is, barred from association with any broker, dealer, or investment adviser.
By the Commission.
Jonathan G. Katz
|1||The findings herein are not binding on anyone other than Respondent.|
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