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SEC LITIGATION RELEASE
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EXTRACTED KEY WORDS
ALEXANDER COMMISSION PENALTY SECURITIES EXCHANGE COMMISSION DISTRICT PATRICK ADRIAN ANTONIU ALEXANDER DEALER LITIGATION DISTRICT COURT COLUMBIA ENFORCEMENT ORDER REQUIRING PAY VIOLATIONS ASSOCIATING BROKER INVESTMENT CIVIL PENALTIES MUNICIPAL SECURITIES DEALER CEASE ISSUANCE ADMITTING DENYING FINDINGS PAID ORDER COMMANDING ROONEY CIVIL PENALTY PROVISIONS |
U.S. Securities and Exchange Commission
Washington, D.C.
LITIGATION Release No. 17425 / March 20, 2002
Securities and Exchange Commission v. Patrick J. Rooney and Adrian
Antoniu Alexander, U.S. District Court for the District of Columbia
(Misc. No. 02-00134) (ESH)
SEC SEEKS ENFORCEMENT OF PENALTY ORDER AGAINST PATRICK J. ROONEY AND
ADRIAN ANTONIU ALEXANDER
On March 20, 2002, the Securities and Exchange Commission filed an
application in the United States District Court for the District of
Columbia to enforce a Commission order requiring Patrick J. Rooney and
Adrian Antoniu Alexander to pay penalties of $700,000 and $100,000,
respectively. The penalty obligations arose out of a settled
cease-and-desist order that the Commission issued against Rooney and
Alexander on June 13, 2001. The order found that Rooney and Alexander
had violated Section 15(a) of the Securities Exchange Act and prior
Commission orders barring them from associating with any broker or
dealer, investment company, investment adviser or municipal securities
dealer. The order required them to cease and desist from such
violations, barred them from association with any broker or dealer,
and ordered them to pay the penalties of $700,000 and $100,000. Rooney
and Alexander consented to the issuance of the order without admitting
or denying the Commission's findings. See Litigation Release No. 44414
(June 13, 2001). Neither Rooney nor Alexander has paid the civil
penalties.
The Commission's action seeks an order commanding Rooney and Alexander
to comply with the civil penalty provisions of the June 13, 2001
order.
_________________________________________________________________
Modified 03/21/2002
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