Defendant Name: Gabriel Paredes

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

Violations Alleged

Exchange Act
Sec 10(b) + Rule 10b-5
Securities Act
Sec 17(a) (Not specified)
Other
Rules 17a-3(a), 17a-(a)(6), 17a-3(a)(17) Exchange Act

Related Violations Alleged

Gabriel Paredes is alleged to have aided and abetted World Group Securities, Inc.'s violation of Sec 17(a) (Not specified) of the Securities Act.
Gabriel Paredes 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

Related Documents:

comp20768 29-Sep-2008 Complaint
Complaint
court_doc72_08-cv-01350 21-Apr-2010 Court Docket Document
FInal Judgment of Permanent Injunction and Other Relief Against Gabriel Paredes

Other Defendants in Action:

Related Actions:

In the Matter of World Group Securities, Inc.
In the Matter of Angel Romo
In the Matter of Jesus Gutierrez
In the Matter of Kederio Ainsworth
In the Matter of Gabriel Paredes
In the Matter of Guillermo Haro