Defendant Name: Jaime L. Durando

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Jaime L. Durando
First Document Date 17-Sep-2021
Initial Filing Format Administrative Action
File Number 3-20570
Allegation Type Municipal Securities & Public Pensions

Affiliations

Violations Alleged

Other
• Section 15B(c)(1) Exchange Act; Rules G-17, G-11(k) MSRB

Resolutions

First Resolution Date 17-Sep-2021
Headline Total Penalty and Disgorgement $25,000

Related Documents:

34-93044 17-Sep-2021 Administrative Proceeding
Order Instituting Administrative and Cease-And-Desist Proceedings Pursuant To Sections 15(b), 15B(c) And 21C of The Securities Exchange Act of 1934 Making Findings, and Imposing Remedial Sanctions and A Cease-and-Desist Order

Related Actions:

In the Matter of RBC Capital Markets, LLC
RBC Capital Markets, LLC
In the Matter of Kenneth G. Friedrich
Kenneth G. Friedrich