ADMINISTRATIVE PROCEEDING BEFORE THE SECURITIES COMMISSIONER OF MARYLAND CONSENT ORDER
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1 ADMINISTRATIVE PROCEEDING BEFORE THE SECURITIES COMMISSIONER OF MARYLAND IN THE MATTER OF: * OAH Case No. OAG-SD MARYLAND RETIREMENT SERVICES, * SD Case No INC. * Respondent. * * * * * * * * * * * * * CONSENT ORDER WHEREAS, the Securities Division of the Office of the Attorney General initiated an investigation into the activities of Respondent Maryland Retirement Services, Inc., and other persons; and WHEREAS, the Maryland Securities Commissioner (the Securities Commissioner ) has determined that grounds exist to allege that Respondent Maryland Retirement Services, Inc. has engaged in violations of the Maryland Securities Act, Md. Ann. Code, Corps. & Ass ns, et seq. (2007 Repl. Vol. and 2008 Cum. Supp.) (the Securities Act ), , and ; and WHEREAS, in July 2008, the Securities Commissioner issued a First Amended Summary Order To Cease And Desist/Order To Show Cause issued as to Respondent Maryland Retirement Services, Inc. and certain third persons (the Summary Order ); and WHEREAS, in connection with the Summary Order, this matter was referred to the Office of Administrative Hearings for a hearing, at Respondent s written request; and WHEREAS, Respondent Maryland Retirement Services, Inc. s charter was forfeited by the - 1 -
2 Maryland State Department of Assessments and Taxation in October 2008; and WHEREAS, Maryland Retirement Services, Inc. is no longer a corporation in good standing in the State of Maryland; and WHEREAS, Respondent Maryland Retirement Services, Inc., in entering into this Consent Order, seeks to wind up its business affairs; and WHEREAS, before the holding of a hearing, without trial or final adjudication of any issue of fact or law, and prior to the issuance of a final order in this proceeding, the Securities Commissioner and Respondent Maryland Retirement Services, Inc. have reached an agreement whereby Respondent Maryland Retirement Services, Inc., without admitting or denying the allegations asserted by the Securities Commissioner in the Summary Order, consents to the terms of this Order; and WHEREAS, the Securities Commissioner has jurisdiction in this proceeding pursuant to of the Securities Act; and WHEREAS, at all times relevant to the facts on which this Consent Order is based, as those facts are set forth in the Summary Order, Respondent Maryland Retirement Services, Inc. s principal place of business was located in Maryland; and WHEREAS, Respondent Maryland Retirement Services, Inc. s principal was Robert M. Bynum, IV; and WHEREAS, Respondent Maryland Retirement Services, Inc. wishes to resolve this matter without further proceedings; and WHEREAS, the Securities Commissioner has determined that it is in the public interest and appropriate for the protection of investors to issue this Consent Order
3 NOW, THEREFORE, IT IS HEREBY ORDERED, and Respondent Maryland Retirement Services, Inc. expressly consents and agrees that: a. Respondent Maryland Retirement Services, Inc. shall cease and desist from engaging in activities in violation of the Securities Act. b. Respondent Maryland Retirement Services, Inc. is permanently barred from the securities and investment advisory business in Maryland. c. Respondent Maryland Retirement Services, Inc. shall in any and all future activities in Maryland comply with the Securities Act. Jurisdiction shall be retained by the Securities Commissioner for such further orders and directions as may be necessary or appropriate for the construction or enforcement of this Consent Order. This Consent Order is as to Respondent Maryland Retirement Services, Inc. only. This Consent Order resolves all issues pending against Respondent Maryland Retirement Services, Inc. as described in this Consent Order. Nothing in this Consent Order, however, shall prevent the Securities Commissioner from bringing any action against Respondent Maryland Retirement Services, Inc. relating to any activities and/or transactions other than those upon which this Consent Order is specifically based, or relating to the activities and/or transactions described herein should the Securities Commissioner determine, by order issued after notice and an opportunity for a hearing, that Respondent Maryland Retirement Services, Inc. made any material misrepresentations and/or withheld relevant information during the course of the investigation upon which this Consent Order is based
4 If Respondent Maryland Retirement Services, Inc. fails to comply with any material term of this Consent Order, the Securities Commissioner may institute administrative or judicial proceedings against Respondent Maryland Retirement Services, Inc. to enforce this Consent Order or to sanction Respondent Maryland Retirement Services, Inc. for willfully violating an Order of the Securities Commissioner, and may take any other action authorized under the Securities Act or any regulation promulgated thereunder, including the issuance of fines or penalties as provided by the Securities Act. For the purpose of any such proceeding, the sole issue will be whether Respondent Maryland Retirement Services, Inc. complied with this Consent Order. In the event that judicial intervention in this matter is sought by the Securities Commissioner or Respondent Maryland Retirement Services, Inc., subject matter jurisdiction will lie in the Circuit Court for Baltimore City pursuant to of the Securities Act. That Court will have personal jurisdiction over Respondent Maryland Retirement Services, Inc. pursuant to Md. Courts and Judicial Proceedings Code Ann., 6-103(b) (2006 Repl. Vol.). Venue will be properly in that Court pursuant to 6-201(a) of that article. SO ORDERED: Date: June 4, 2009 Commissioner s Signature is on File with Original Document Melanie Senter Lubin Securities Commissioner CONSENTED TO: MARYLAND RETIREMENT SERVICES, INC. By: /S/ - 4 -
5 Please print name and title: On this day of, 2009, personally appeared, signer of the foregoing Consent Order, who did duly acknowledge his authority to act on behalf of Maryland Retirement Services, Inc., and that his signature was his free act and deed. Notary Public My Commission Expires: /S/, 2009 Bruce L. Marcus Attorney for Maryland Retirement Services, Inc
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