Defendant Name: Mark Zaino

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Mark Zaino
First Document Date 04-May-2011
Initial Filing Format Administrative Action
File Number 3-14369
Allegation Type Municipal Securities & Public Pensions



First Resolution Date

Related Documents:

34-64398 04-May-2011 Administrative Proceeding
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions

Related Actions:

SEC v. UBS Financial Services Inc.