Defendant Name: Ramón Lafarga Bátiz

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Ramón Lafarga Bátiz
First Document Date 27-Sep-2021
Initial Filing Format Administrative Action
File Number 3-20603
Allegation Type Issuer Reporting and Disclosure

Affiliations

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
• Rule 12b-20
• Sec 13(a)
• Rule 13a-1
• Sec 13(b)(2)(A)
• Sec 13(b)(2)(B)
• Sec 13(b)(5)
Securities Act
• Sec 17(a) (Not specified)
Other
• Rules 13a-16, 13b2-1 Exchange Act

Resolutions

Bars:
First Resolution Date

Related Documents:

34-93137 27-Sep-2021 Administrative Proceeding
Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension Pursuant To Rule 102(e)(3) of The Commission's Rules Of Practice

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