Defendant Name: Ramiro L. Colon, III

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Ramiro L. Colon, III
First Document Date 29-Sep-2015
Initial Filing Format Administrative Action
File Number 3-16847
Allegation Type Broker Dealer


Violations Alleged

Respondent failed reasonably to supervise Ramirez for the purposes of Section 15(b)(4)(E) Exchange Act.


First Resolution Date 29-Sep-2015
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

34-76014 29-Sep-2015 Administrative Proceeding
Order Instituting Administrative Proceedings, Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions

Related Actions:

In the Matter of UBS Financial Services Incorporated of Puerto Rico
SEC v. Jose G. Ramirez, Jr.
In the Matter of Jose G. Ramirez, Jr.