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
Affiliations
- Former: Broker/Registered Representative at UBS Financial Services Inc. of Puerto Rico
Violations Alleged
•
Sec 17(a) (Not specified)
Resolutions
Bars:
- barred from association with any FINRA member in any capacity. (of permanent duration)
First Resolution Date
31-Mar-2020
Headline Total Penalty and Disgorgement
$1,785,887
