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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
INVESTMENT COMMISSION INVESTMENT ADVISER ADVISERS ACT INVESTMENT CLIENTS PROCEEDING FINDINGS CONVICTIONS CONNECTICUT VIOLATION SANCTION CGS FELONIES SECURITIES EXCHANGE COMMISSION ADMINISTRATIVE PROCEEDING MATTER BRIAN PURSUANT LARCENY FORGERY ENGAGING SCHEME DEFRAUD INVESTMENT CLIENTS FAILING PROPER DISCLOSURES REGARD ADVISORY FEE |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
Investment Advisers Act of 1940 Release No. 1874 / June 7, 2000
Administrative Proceeding File No. 3-10155
In the Matter of
Brian T. Lenihan,
Respondent.
ORDER MAKING FINDINGS
AND IMPOSING A SANCTION
I.
In connection with a public administrative proceeding instituted
against him on March 14, 2000, pursuant to Section 203(f) of the
Investment Advisers Act of 1940 (the "Advisers Act"), Brian T. Lenihan
("Lenihan") has submitted an Offer of Settlement ("Offer") to the
Securities and Exchange Commission ("Commission") which the Commission
has determined to accept. Solely for the purposes of this proceeding
and any other proceeding 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 that he admits the jurisdiction
of the Commission over him and over the subject matter of these
proceedings, and the findings contained in Section II, paragraphs 1,
2, and 4 below, Lenihan consents to the entry of the findings and
remedial sanction set forth below.
II.
On the basis of this Order and the Offer submitted by Lenihan, the
Commission makes the following findings.
1. Lenihan, an investment adviser, did business under the name
"Lenihan Investments," a sole-proprietorship operated from his
residence in Fairfield County, Connecticut. Lenihan registered with
the Commission as an investment adviser under Section 203 of the
Advisers Act on July 12, 1994. Lenihan maintained his status as a
registered investment adviser until March 13, 1998, when his
registration was withdrawn pursuant to the terms of a Form ADV-W filed
with the Commission on January 12, 1998.
2. On July 18, 1999, Lenihan appeared before the Stamford/Norwalk
Superior Court in Norwalk, Connecticut, and entered a plea of guilty
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