Defendant Name: Carlos J. Ortiz

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Miguel A. Ferrer, and Carlos J. Ortiz
First Document Date 01-May-2012
Initial Filing Format Administrative Action
File Number 3-14862
Allegation Type Broker Dealer

Affiliations

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
• Sec 15(c)
Securities Act
• Sec 17(a)(1)
• Sec 17(a)(2)
• Sec 17(a)(3)

Related Violations Alleged

Carlos J. Ortiz is alleged to have aided and abetted UBS Financial Services Inc. of Puerto Rico's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
Carlos J. Ortiz is alleged to have caused UBS Financial Services Inc. of Puerto Rico's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Carlos J. Ortiz is alleged to have aided and abetted UBS Financial Services Inc. of Puerto Rico's violation of Sec 15(c) of the Exchange Act (willfully/knowingly).
Carlos J. Ortiz is alleged to have caused UBS Financial Services Inc. of Puerto Rico's violation of Sec 15(c) of the Exchange Act.
Carlos J. Ortiz is alleged to have aided and abetted UBS Financial Services Inc. of Puerto Rico's violation of Sec 17(a) (Not specified) of the Securities Act (willfully/knowingly).
Carlos J. Ortiz is alleged to have caused UBS Financial Services Inc. of Puerto Rico's violation of Sec 17(a) (Not specified) of the Securities Act.

Resolutions

First Resolution Date 29-Oct-2013

Related Documents:

33-9317 01-May-2012 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940
id513bpm 29-Oct-2013 ALJ Initial Decision
Initial Decision

Other Defendants in Action:

Miguel A. Ferrer

Related Actions:

In the Matter of UBS Financial Services Inc. of Puerto Rico
UBS Financial Services Inc. of Puerto Rico