Securities Enforcement Empirical Database (SEED)

Defendant Name: Jose G. Ramirez, Jr.

Defendant Type: Individual

Legal Case Name In the Matter of Jose G. Ramirez, Jr.

First Document Date 06-Jun-2019

Initial Filing Format Administrative Action

File Number 3-19195

Allegation Type Broker Dealer

Former: Broker/Registered Representative at UBS Financial Services Inc. of Puerto Rico (February 1997—January 2014)

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)
Bar from participating in any penny stock offering (of unspecified duration)

First Resolution Date 02-Dec-2022

In the Matter of UBS Financial Services Incorporated of Puerto Rico

UBS Financial Services Inc. of Puerto Rico

In the Matter of Ramiro L. Colon, III

Ramiro L. Colon, III

SEC v. Jose G. Ramirez, Jr.

Jose G. Ramirez, Jr.