UNITED STATES OF AMERICA
In the Matter of
|ORDER INSTITUTING PUBLIC ADMINISTRATIVE PROCEEDING, MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTION|
The Securities and Exchange Commission ("Commission") deems it appropriate and in the public interest to institute a public administrative proceeding pursuant to Section 203(f) of the Investment Advisers Act of 1940 ("Advisers Act") against James Oh ("Oh").
Accordingly, IT IS HEREBY ORDERED that said proceeding be, and hereby is, instituted.
In anticipation of the institution of this proceeding, Respondent has submitted an Offer of Settlement ("Offer"), which the Commission has determined to accept. Solely for the purpose of this proceeding and any other proceeding brought by or on behalf of the Commission or in which the Commission is a party, and without admitting or denying the findings contained herein, except that Respondent admits the jurisdiction of the Commission over him and over the subject matter of this proceeding and admits the entry of the Judgment of Permanent Injunction set forth in paragraph III.C., Respondent consents to the entry of this Order Instituting Public Administrative Proceeding, Making Findings, And Imposing Remedial Sanction ("Order").
On the basis of this Order and Respondent's Offer, the Commission finds that:
Based on the foregoing, the Commission deems it appropriate and in the public interest to accept the Offer submitted by Respondent and to impose the remedial sanction specified in Respondent's Offer.
Accordingly, IT IS HEREBY ORDERED, effective immediately, that Respondent is barred from association with any investment adviser.
By the Commission.
Jonathan G. Katz
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