IN THE UNITED STATES DISTRICT COURT
FOR THE NORTHERN DISTRICT OF GEORGIA
ATLANTA DIVISION
SECURITIES AND EXCHANGE COMMISSION
Plaintiff, :
: CIVIL ACTION NO:
v. :
: COMPLAINT FOR
JAMES VINCENT O'BRIEN AND TRADERS : INJUNCTIVE AND
: OTHER RELIEF
ACCESS CENTER, INC., :
Defendants.
1. The plaintiff, Securities and Exchange Commission ("Commission"), for its Complaint
alleges that:
2. Defendants James Vincent O'Brien ("O'Brien") and Traders Access Center, Inc.
("Traders Access Center" or the "Company"), have engaged in acts, practices and courses
of business which constitute violations of Section 15(a) of the Securities Exchange Act of
1934 ("Exchange Act") [15 U.S.C. Section 78o(a)] through their operation of Traders
Access Center as an unregistered securities broker.
3. Defendant O'Brien has associated with a securities broker, Traders Access Center, in
violation of a 1977 Order from the Commission prohibiting him from being associated
with a broker or dealer.
JURISDICTION AND VENUE
4. Plaintiff Commission brings this action pursuant to Sections 21(d) and 21(e) of the
Exchange Act, as amended, [15 U.S.C. Sections 78u(d) and (e)], to enjoin O'Brien and
Traders Access Center from engaging in the acts, practices and courses of business herein
alleged and for other relief.
5. Plaintiff Commission also brings this action pursuant to Section 21(e) of the Exchange
Act [15 U.S.C. § 78u(e)], to seek an Order of the Court directing Defendant O'Brien to
comply with the Commission's Order barring him from association with any securities
broker or dealer.
6. The Court has jurisdiction over this action and venue lies in this district pursuant to
Sections 21(d) and (e), and 27 of the Exchange Act, as amended, [15 U.S.C. Sections
SNIPPETS:
FOR THE NORTHERN DISTRICT OF GEORGIA
The plaintiff, Securities and Exchange Commission, for its Complaint alleges that:
Defendants James Vincent O'Brien and Traders Access Center, Inc., have engaged in acts,
Defendant O'Brien has associated with a securities broker, Traders Access Center, in
Plaintiff Commission brings this action pursuant to Sections 21and 21of the Exchange Act, as
Plaintiff Commission also brings this action pursuant to Section 21of the Exchange Act, to
Defendant O'Brien, age 61, lives in Marietta, Georgia.
During the time of the violations alleged herein, O'Brien managed and controlled the actions
From December 1998 through August 1999, Traders Access Center provided materials and
Traders Access Center maintained a website that it used not only to solicit customers for its
Furthermore, the website invited visitors to contact Traders Access Center to obtain the
K. O'Brien did provide customers with information concerning margin trading, she contacted
By virtue of the foregoing, Traders Access Center operated as a securities broker while
(Attorney for Defendants James Vincent O'Brien and Traders Buker, Jones & Haley, Access
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