Defendant Name:
Angel Romo
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. Kederio Ainsworth, Guillermo Haro, Jesus Gutierrez, Gabriel Paredes, and Angel Romo
First Document Date
29-Sep-2008
Initial Filing Format
Civil Proceeding
Case Number
08-cv-01350
Allegation Type
Broker Dealer
Federal District Court
California, Central District of California
Affiliations
- Current: Broker/Registered Representative at World Group Securities, Inc. (From March 2004)
- Current: Associate at World Financial Group (From March 2004)
- Current: Senior Loan Officer at Ainsworth Financial Mortgage Corporation
Violations Alleged
•
Sec 17(a) (Not specified)
•
Rules 17a-3(a), 17a-3(a)(6), 17a-3(a)(17) Exchange Act
Related Violations Alleged
Angel Romo is alleged to have aided and abetted World Group Securities, Inc.'s violation of Sec 17(a) (Not specified) of the Securities Act.
Angel Romo is alleged to have aided and abetted World Group Securities, Inc.'s violation of Rules 17a-3(a), 17a-(a)(6), 17a-3(a)(17) Exchange Act.
Resolutions
First Resolution Date
21-Apr-2010
Headline Total Penalty and Disgorgement
$52,114
Other Defendants in Action:
