Defendant Name:
Jamie L. Solow
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. Jamie L. Solow
First Document Date
08-Nov-2006
Initial Filing Format
Civil Proceeding
Case Number
06-cv-81041
Allegation Type
Broker Dealer
Federal District Court
Florida, Southern District of Florida
Affiliations
- Former: Broker/Registered Representative at Archer Alexander Securities Corp. (2002—2003)
Violations Alleged
•
Sec 17(a) (Not specified)
Related Violations Alleged
Jamie L. Solow is alleged to have aided and abetted Archer Alexander Securities Corp. 's violation of Sec 15(c) of the Exchange Act.
Jamie L. Solow is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 15(c) of the Exchange Act.
Jamie L. Solow is alleged to have aided and abetted Archer Alexander Securities Corp. 's violation of Rules 15c3-1, 17a-5(a)(2) Exchange Act.
Jamie L. Solow is alleged to have aided and abetted an unidentified individual or entity's violation of Section 17(a) Exchange Act; Rules 17a-3(a)(1), 17a-3(a)(2), 17a-3(a)(7), 15c3-1, 17a-5(a)(2) Exchange Act.
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization (of unspecified duration)
First Resolution Date
14-May-2008
Headline Total Penalty and Disgorgement
$6,071,275
