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STATE OF
OFFICE OF SECURITIES
121 STATE HOUSE STATION
AUGUSTA, ME 04333
CONSENT AGREEMENT
05-030-CAG
This
Consent Agreement is entered into between the Office of Securities ("the
Office”), Olympia Asset Management, Ltd. (“
WHEREAS the parties agree as follows:
1.
2.
On December 20, 2004, the Securities Administrator
issued a Notice of Intent to Deny a Broker-Dealer and Sales Representative
License, Issue a Cease and Desist Order, and Impose a Civil Penalty against
3.
On January 3, 2005,
4. The parties desire an expeditious resolution of this matter.
NOW, THEREFORE, without trial or
adjudication of any issue of fact or law, and without
1. The Office shall accept
2.
3. This Consent Agreement constitutes the
entire agreement between the Office of Securities,
Date: January 25, 2005 s/Michael P. Murphy
Olympia Asset Management, Ltd.
By: Michael P. Murphy, CEO
s/Michael
P. Murphy
Michael P. Murphy, individually
Date: January 31, 2005 s/Christine A. Bruenn
Christine A. Bruenn
Securities Administrator
Reviewed by:
Date: January 31, 2005 s/Bonnie E. Russell
Bonnie E. Russell
Assistant Securities Administrator
Presented by:
Date: January 27, 2005 s/Michael W. Atleson
Michael W. Atleson
Staff Attorney