Defendant Name: Guillermo Haro

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Guillermo Haro
First Document Date 04-Jun-2010
Initial Filing Format Administrative Action
File Number 3-13924
Allegation Type Broker Dealer


Violations Alleged

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


First Resolution Date 04-Jun-2010

Related Documents:

34-62226 04-Jun-2010 Administrative Proceeding
Order Instituting Administrative Proceedings Pursuant Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions

Related Actions:

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