To: tonto who wrote (4455 ) 9/9/1998 12:53:00 PM From: zonkie Respond to of 26163
How is this company connected with AZNT?gsionline.com \08-20.txt ADMINISTRATIVE PROCEEDINGS AGAINST DOMINION CAPITAL CORPORATION, DOUGLAS POWELL, CHARLES ELLIOTT AND WILLIAM BERRY The Commission announced that it issued an Order Instituting Public Administrative Proceedings against Dominion Capital Corporation (Dominion), a broker-dealer registered with the Commission, Douglas Woodrow Powell, Dominion's Chief Executive Officer and Chief Supervisory Officer, Charles Dewey Elliott, Dominion's Options Principal and Assistant Supervisory Officer, and William Carl Berry, a registered representative of Dominion. The Order alleges that Berry and two other Dominion registered representatives willfully violated the antifraud provisions of the federal securities laws. According to the Order, one of the schemes, organized and promoted by Berry and another Dominion representative as partners, involved offers and sales of limited partnership interests in two limited partnerships formed to engage in OEX index options trading. Another scheme, involving Dominion-sponsored offers and sales of unregistered interests in four Limited Liability Companies, involved Berry's partner and a third representative. Separately, two other Dominion representatives willfully violated the antifraud provisions in a scheme involving offers and sales of unregistered interests in an unregistered "offshore" investment company. One of these representatives was also registered with the Commission as an investment adviser, and violated the books and recordkeeping provisions, and the antifraud provisions of the Investment Advisers Act in connection with this scheme. Further, the order alleges that Dominion, Powell and Elliott failed to supervise the registered representatives whose activities are described above. (Rel. 34-38952) zonkie