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
Affiliations
- Current: Broker/Registered Representative at World Group Securities, Inc.
- Current: Associate at World Financial Group (From 2001)
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 1 year
- Barred as a supervisor with any broker or dealer for 4 years
First Resolution Date
04-Jun-2010
