SEC Open Meeting Agenda
|Item 1:||Michael Batterman and Randall B. Batterman, III|
Office: Office of the General Counsel
The Commission will hear oral argument in an appeal by Michael Batterman, an investment adviser, and by Randall B. Batterman III from an initial decision of an administrative law judge. On motion for summary disposition, the law judge found that the Battermans had been permanently enjoined from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, Exchange Act Rule 10b-5, and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. The law judge barred the Battermans from association with any investment adviser.
Among the issues likely to be considered are:
For further information, please contact the Office of the Secretary at (202) 942-7070.
|Home | Previous Page||