 |
 |
|
|
|
|
|
|
|
| | | |
|
|
|
|
|
|||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
1
.
SEC ADMINISTRATIVE PROCEEDING
|
EXTRACTED KEY WORDS
ACCOUNTS CUSTOMERS MILLER TRADING COMMISSION OPTIONS TRADING SECURITIES REGISTERED REPRESENTATIVES ADMINISTRATIVE PROCEEDING SUPERVISE EXCHANGE ACT INVESTMENT FINDINGS OFFICER INSTITUTING RISK VIOLATIONS MATTER IMPOSING SANCTIONS HEREBY RESPONSIBILITY BROKER DEALER TRANSACTIONS TRADES CIVIL PENALTY NASD ARBITRATION PAYMENT |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 46359 / August 15, 2002
ADMINISTRATIVE PROCEEDING
File No. 3-10866
_________________________________________________________________
In the Matter of
ROGER FAN,
Respondent.
_________________________________________________________________
ORDER INSTITUTING PUBLIC ADMINISTRATIVE PROCEEDING, MAKING FINDINGS
AND IMPOSING REMEDIAL SANCTIONS
I.
The Securities and Exchange Commission ("Commission") deems it
appropriate and in the public interest that a public administrative
proceeding be instituted pursuant to Section 15(b)(6) of the
Securities Exchange Act of 1934 ("Exchange Act") against Roger Fan
("Fan" or "Respondent").
In anticipation of the institution of this public administrative
proceeding, Fan has submitted an Offer of Settlement ("Offer"), which
the Commission has determined to accept. Solely for the purpose of
this proceeding and any other proceeding brought by or on behalf of
the Commission, or in which the Commission is a party, and without
admitting or denying the findings contained herein (except that Fan
admits the findings in II.A. below, and the jurisdiction of the
Commission over him and over the subject matter of this proceeding),
Fan consents to the entry of this Order Instituting Public
Administrative Proceeding, Making Findings and Imposing Remedial
Sanctions ("Order") set forth below.
Accordingly, IT IS HEREBY ORDERED that a proceeding pursuant to
Section 15(b)(6) be, and hereby is, instituted.
II.
On the basis of this Order and the Offer of Settlement submitted by
Fan, the Commission finds that
SNIPPETS:
|
|
|
| | | |
|
|
