Open Meeting Agenda
|Item 1:||Jeffrey L. Gibson|
Office: Office of the General Counsel
Staff: Joan Loizeaux, Kermit Kennedy, Roy Sheetz
The Commission will hear oral argument in an appeal by Jeffrey L. Gibson from the decision of an administrative law judge. Gibson is a part-owner and associated person of Gibson Gaither Wealth Management Advisors, an investment adviser, and also was, during the time at issue, associated with H. Beck, Inc., a broker-dealer. On May 9, 2006, the United States District Court for the Northern District of Georgia enjoined Gibson, with his consent, from violations of the antifraud provisions of the securities laws.
Upon motion for summary disposition, the law judge found that it was undisputed that Gibson was associated with an investment adviser and a broker-dealer and that he had been enjoined from violating the antifraud provisions of the securities laws. The law judge determined that Gibson should be barred from association with an investment adviser or broker-dealer.
Among the issues likely to be argued are:
whether the law judge properly granted the Division of Enforcement's motion for summary disposition; and
if so, whether sanctions should be imposed in the public interest.
For further information, please contact the Office of the Secretary at 202 551-5400.
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