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STATE
OF
OFFICE
OF SECURITIES
121
STATE HOUSE STATION
________________________________
)
IN THE MATTER OF: )
)
Landmark Financial Services, Inc. )
(CRD #122568) and ) CONSENT AGREEMENT
James F. Jurczak )
(CRD #2032940) )
No. 04-083-CAG
)
________________________________)
This Agreement is entered into by
the State of Maine Office of Securities ("Securities"), Landmark
Financial Services, Inc. (“Landmark”), CRD #122568, an investment adviser company
with a principal place of business at
WHEREAS,
the parties agree as follows:
1.
Pursuant to 32 M.R.S.A. § 10303(1), a
person may not act in
2.
Pursuant to 32 M.R.S.A. § 10303(3) it
is unlawful for an investment adviser licensed or required to be licensed under
the Revised Maine Securities Act to employ or contract with an individual as a
representative of the investment adviser in Maine unless the individual is
licensed;
3.
Securities has reviewed Jurczak’s
licensing record and has found that Jurczak has never held an investment
adviser representative’s license in
4.
It is Securities’ position that Jurczak
has acted as an investment adviser representative in
5.
All parties desire an expeditious
resolution of this matter.
NOW THEREFORE, without trial or adjudication of any issue of fact or law, and without
Jurczak or Landmark admitting or denying that their conduct violated the
Revised Maine Securities Act, it is agreed that:
Jurczak and Landmark will comply
with all licensing and other legal requirements governing persons acting as investment
advisers and investment adviser representatives in the State of Maine at all
times from the date hereof;
In lieu of Securities seeking the
imposition of a penalty for the allegations contained herein, Jurczak and Landmark
will pay the sum of $1,500.00 to Securities upon Jurczak’s and Landmark’s
execution of this Agreement; and
Securities will not take further action
against Jurczak and Landmark based upon the unlicensed status of Jurczak during
the period preceding and including the date of execution of the Agreement.
Landmark
Financial Services, Inc.
By:
March 22,
2004 /s/
James F. Jurczak
Date Signature
James
F. Jurczak
(printed
name)
Its
President
March 22,
2004 /s/
James F. Jurczak
Date James
F. Jurczak
March 31,
2004 /s/
Christine A. Bruenn
Date Christine
A. Bruenn
Securities Administrator
Reviewed by:
March 31, 2004 /s/
Christina V. Breen
Date Christina
V. Breen
Assistant
Securities Administrator
Submitted by:
March 24, 2004 /s/ Christian D. Van Dyck
Date Christian
D. Van Dyck
Investigator/Examiner