Defendant Name: Jose G. Ramirez, Jr.

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. Jose G. Ramirez, Jr.
First Document Date 29-Sep-2015
Initial Filing Format Civil Proceeding
Case Number 15-cv-02365
Allegation Type Broker Dealer
Federal District Court Puerto Rico, District of Puerto Rico


Violations Alleged

Exchange Act
Sec 10(b) + Rule 10b-5
Securities Act
Sec 17(a)(1)
Sec 17(a)(2)
Sec 17(a)(3)
Sec 17(a) (Not specified)


First Resolution Date 31-Mar-2020
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

comp-pr2015-217 29-Sep-2015 Complaint
court_doc99_15-cv-02365 31-Mar-2020 Court Docket Document

Related Actions:

In the Matter of UBS Financial Services Incorporated of Puerto Rico
In the Matter of Ramiro L. Colon, III
In the Matter of Jose G. Ramirez, Jr.