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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
VON DER LIETH REES EXCHANGE ACT SECURITIES MARCORP COMMISSION BUCKHEAD DUGAN REGISTERED REPRESENTATIVES PROCEEDING MCCASKEY ACCOUNT PURSUANT BROKER MARCORP STOCK CUSTOMERS CONTROL SUPERVISE ADMINISTRATIVE PROCEEDING ORDER INSTITUTING RECOMMENDING VIOLATIONS RODGER EVANS REES RESPONDENT HEREBY ADEQUATE TRADING SUSPENSION JOHN VON DER |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 42172 / November 23, 1999
Administrative Proceeding
File No. 3-9854
______________________________
In the Matter of
ORDER MAKING FINDINGS
RODGER EVANS REES, AND IMPOSING REMEDIAL
SANCTIONS
Respondent.
______________________________
I.
In connection with a public administrative proceeding previously
instituted pursuant to Sections 15(b) and 19(h) of the Securities
Exchange Act of 1934 ("Exchange Act"), Rodger Evans Rees has submitted
an Offer of Settlement ("Offer") which the Commission has determined
is in the public interest to accept. See Order Instituting
Administrative Proceeding, File No. 3-9854 (March 23, 1999). Rees
hereby withdraws his April 14, 1999 Answer and Defenses of Respondent
Rodger E. Rees to Order Instituting Public Proceedings. Prior to a
hearing pursuant to the Commission's Rules of Practice (17 C.F.R.
201.1 et seq.), and without admitting or denying the matters set forth
in the Order Instituting Administrative Proceeding, or the findings
contained in this Order Making Findings and Imposing Remedial
Sanctions ("Order"), except as to jurisdiction, which is admitted,
Rees consents to the entry of this Order.
II.
On the basis of the Offer and the Order Instituting Administrative
Proceeding, the Commission finds
A. RESPONDENT
1. Rodger Evans Rees ("Rees"), age 44, resides in Atlanta, Georgia.
From approximately November 1986 until May 1995, Rees was the
president of Buckhead Financial Corporation, a broker-dealer
registered with the Commission pursuant to Section 15 of the Exchange
Act.
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