Defendant Name: Eugenio Garcia Jimenez, Jr.

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. Eugenio Garcia Jimenez, Jr.
First Document Date 01-Dec-2020
Initial Filing Format Civil Proceeding
Case Number 20-cv-01682
Allegation Type Investment Advisers/Investment Companies
Federal District Court Puerto Rico, District of Puerto Rico


Violations Alleged

Exchange Act
Sec 10(b) + Rule 10b-5
Securities Act
Sec 17(a)(1)
Sec 17(a)(2)
Sec 17(a)(3)
Sections 206(1), 206(2) Advisers Act


First Resolution Date

Related Documents:

comp-pr2020-299 01-Dec-2020 Complaint

Related Actions:

In the Matter of LPL Financial LLC