Defendant Name:
Donald S. LaGuardia, Jr.
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Donald S. LaGuardia, Jr.
First Document Date
01-Aug-2022
Initial Filing Format
Administrative Action
File Number
3-20941
Allegation Type
Investment Advisers/Investment Companies
Affiliations
- Founder at L-R Managers, LLC
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization (of unspecified duration)
First Resolution Date
02-Oct-2024
