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U.S. Securities and Exchange Commission

U.S. SECURITIES & EXCHANGE COMMISSION

LITIGATION RELEASE NO. 17955 / January 29, 2003

Securities and Exchange Commission v. Mark F. Shinnick, Civil Action No. 030635-RSK-FMOX (C.D. CA)

On January 28, 2003, the Securities and Exchange Commission commenced proceedings to collect a civil penalty previously ordered in a Commission administrative proceeding against Mark F. Shinnick. The complaint, filed pursuant to Section 209(d) of the Investment Advisers Act, asks a federal court to order Shinnick to comply with the Commission's Order and pay a $10,000 civil money penalty. The complaint charges that Shinnick failed to comply with the terms of a prior Commission order imposing remedial sanctions issued in In the Matter of Market Timing Systems, Inc., Gregory L. Meadors, and Mark F. Shinnick, Administrative Proceeding File No. 3-10652 (August 28, 2002).

 

SEC Complaint in this matter

http://www.sec.gov/litigation/litreleases/lr17955.htm

Modified: 01/30/2003