Defendant Name:
Jamie L. Solow
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Jamie L. Solow
First Document Date
12-Jun-2008
Initial Filing Format
Administrative Action
File Number
3-13066
Allegation Type
Broker Dealer
Affiliations
- Former: Broker/Registered Representative at Archer Alexander Securities Corp. (August 12, 2002—December 9, 2003)
- Former: Broker/Registered Representative at SAMCO Financial Services, Inc. (June 4, 2004—July 14, 2006)
Violations Alleged
•
Sec 17(a) (Not specified)
Related Violations Alleged
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 an unidentified individual or entity's violation of Section 17(a)(1) Exchange Act; Rules 17a-3(a)(1), 17a-3(a)(2), 17a-3(a)(7), 17a-5(a)(2), 15c3-1.
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
