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


Violations Alleged

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


First Resolution Date 17-Sep-2021
Headline Total Penalty and Disgorgement

See Related Documents

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

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