Defendant Name: Claude Fernandez

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Claude Fernandez (CPA)
First Document Date 23-Apr-2008
Initial Filing Format Administrative Action
File Number 3-13018
Allegation Type Broker Dealer
AAER 2812

Affiliations

Resolutions

Bars:
First Resolution Date

Related Documents:

34-57705 23-Apr-2008 Administrative Proceeding
Order Instituting Public Administrative Proceedings, Pursuant to Rule 102 (e) of the Commission's Rule of Practice, Making Findings, and Imposing Remedial Sanctions

Related Actions:

In the Matter of Ameriprise Financial Services, Inc.
Ameriprise Financial Services, Inc.
SEC v. W.P. Carey & Co. LLC, Carey Financial LLC, John J. Park, and Claude Fernandez
W.P. Carey & Co. LLC
John J. Park
Claude Fernandez
Carey Financial LLC