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Technology Stocks : Advanced Engine Technologies (AENG)
AENG 0.00010000.0%Mar 7 3:00 PM EST
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To: david travis who wrote (1175)7/7/1998 11:15:00 AM
From: Sir Auric Goldfinger  Read Replies (1) of 3383
 
4) Do You have funds from Brennan? The SEC would not like that TRAV.

DECISION SANCTIONING ROBERT BRENNAN FINAL

The decision of an administrative law judge imposing sanctions on
Robert E. Brennan has become final. Brennan was the owner and
president of First Jersey Securities, Inc., a defunct broker-dealer
based in New York City and Red Bank, New Jersey.

>>>>>>>>>>>The law judge's order bars Brennan from association with a broker, dealer, member of a national securities exchange or registered securities association, investment adviser, investment company, or municipal securities dealer, and from participating in an offering of penny stock.<<<<<<<<<<<<<<<<<<<<<<<<<<<<

The law judge found that, during 1982 through 1985, First Jersey and
Brennan operated a "pervasive fraud" on hundreds of thousands of
retail customers in violation of the federal securities laws. The
law judge concluded that Brennan "has compiled a record in the
securities industry that is almost unmatched for illegality and
blatant defiance of established norms of honesty and fair dealing."
(Rel. 34-40153; File No. 3-8699)
sec.gov

The final decision (Release 40153, File No. 3-8699) is at:

sec.gov

Note that Brennan did not attempt to appeal the decision of the administrative law
judge to the SEC.
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