Defendant Name:
Angel Romo
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Angel Romo
First Document Date
20-May-2010
Initial Filing Format
Administrative Action
File Number
3-13905
Allegation Type
Broker Dealer
Affiliations
- Current: Broker/Registered Representative at World Group Securities, Inc. (From March 2004)
- Current: Associate at World Financial Group (From March 2004)
Violations Alleged
•
Sec 17(a) (Not specified)
•
Rules 17a-3(a)(6), 17a-3(a)(17) Exchange Act
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 90 days
First Resolution Date
20-May-2010
