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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
INVESTMENT ADVISER ADVISERS ACT INSTITUTING BANK BRIAN FINDINGS UNITED STATES ADMINISTRATIVE PROCEEDINGS ORDER INSTITUTING REMEDIAL SANCTION ADMINISTRATIVE PROCEEDINGS PURSUANT ADMITTING CONVICTION HEREBY SECURITIES EXCHANGE COMMISSION RESPONDENT MAKING FINDINGS IMPOSING REMEDIAL SANCTION DEEMS ENTRY DISTRICT FRAUD CLIENT BANK ACCOUNT INDICTMENT UNDERLYING ACTING ADVISORY CLIENT TRANSFER FUNDS |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
INVESTMENT ADVISERS ACT OF 1940
Release No. 1893 / August 10, 2000
ADMINISTRATIVE PROCEEDING
File No. 3-10269
In the Matter of
BRIAN W. O'CONNOR,
Respondent.
ORDER INSTITUTING
PUBLIC PROCEEDINGS,
MAKING FINDINGS, AND
IMPOSING REMEDIAL SANCTION
I.
The Securities and Exchange Commission ("Commission") deems it
appropriate and in the public interest to institute public
administrative proceedings pursuant to Section 203(f) of the
Investment Advisers Act of 1940 ("Advisers Act") against Brian W.
O'Connor ("O'Connor").
In anticipation of the institution of these proceedings, O'Connor has
submitted an Offer of Settlement (the "Offer") to the Commission,
which the Commission has determined to accept. Solely for the purpose
of these proceedings and any other proceedings brought by or on behalf
of the Commission or in which the Commission is a party, and without
admitting or denying the findings contained herein, except as to the
Commission's jurisdiction, which is admitted, and the entry of the
conviction set forth in Paragraph II.C, which is admitted, O'Connor
has consented to the entry of this Order Instituting Public
Proceedings, Making Findings, and Imposing Remedial Sanction.
Accordingly, IT IS ORDERED that administrative proceedings pursuant to
Section 203(f) of the Advisers Act be, and hereby are, instituted
against O'Connor.
II.
On the basis of this Order and the Offer, the Commission makes the
following findings
A. Brian W. O'Connor & Co, Inc. ("BWOC") was registered with the
Commission as an investment adviser pursuant to Section 203(c) of the
SNIPPETS:
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