U.S. SECURITIES AND EXCHANGE COMMISSION
Litigaton Release No. 18538 / January 12, 2004
Securities and Exchange Commission v. Mark N. Geman Civil Action No. 04-M-0056(MJW)
On January 12, 2004, the Securities and Exchange Commission commenced proceedings to collect a civil penalty previously ordered in a Commission administrative proceeding against Mark N. Geman. The complaint, filed pursuant to pursuant to Section 21(e) of the Securities Exchange Act of 1934 and Section 209(d) of the Investment Advisers Act, asks a federal court to order Geman to comply with the Commission's Order and pay a $200,000 civil money penalty. The complaint charges that Geman failed to comply with the terms of a prior Commission order imposing remedial sanctions issued in In the Matter of Mark N. Geman, Administrative Proceeding File No. 3-9032 (February 14, 2001).
SEC Complaint in this matter