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
Affiliations
- Former: Broker/Registered Representative at UBS Financial Services Inc. of Puerto Rico
- Former: Branch Office Manager at UBS Financial Services Inc. of Puerto Rico (2007—2014)
Violations Alleged
•
Respondent failed reasonably to supervise Ramirez for the purposes of Section 15(b)(4)(E) 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 12 months
First Resolution Date
29-Sep-2015
Headline Total Penalty and Disgorgement
$25,000
