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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
DELANEY EXCHANGE ACT SECURITIES INSTITUTING BASIS MAKING FINDINGS SANCTIONS HEREBY KNIGHT BROKER-DEALER VIOLATING REENTRY DISGORGEMENT ARBITRATION AWARD SELF-REGULATORY ORGANIZATION UNITED STATES ADMINISTRATIVE PROCEEDING MATTER BRIAN DEEMS PURSUANT ADMITTING ENTRY DISTRICT COURT EXCHANGE ACT RULE ACCOUNTS JUDGEMENT CHARGES |
UNITED STATES OF AMERICA
before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 48561 / September 29, 2003
ADMINISTRATIVE PROCEEDING
File No. 3-11280
_________________________________________________________________
In the Matter of
BRIAN P. DELANEY,
Respondent.
_________________________________________________________________
ORDER INSTITUTING PROCEEDINGS, MAKING FINDINGS, AND IMPOSING REMEDIAL
SANCTIONS
I.
The Securities and Exchange Commission ("Commission") deems it
appropriate and in the public interest that public administrative
proceedings be, and hereby are, instituted pursuant to Section 15(b)
of the Securities Exchange Act of 1934 ("Exchange Act") against Brian
P. Delaney.
In anticipation of the institution of these proceedings, Delaney has
submitted an Offer of Settlement (the "Offer"), 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 to which the Commission is a party, and without admitting or
denying the findings herein, except as to the Commission's
jurisdiction over him, the subject matter of these proceedings, and
the entry of an injunction, which are admitted, Delaney consents to
the entry of this Order Instituting Proceedings, Making Findings, and
Imposing Remedial Sanctions ("Order"), as set forth below.
II.
On the basis of this Order and Delaney's Offer, the Commission finds
that
A. During the period October 1995 through March 2002, Delaney was an
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