Defendant Name: Jose G. Ramirez, Jr.

Defendant Type: Individual

Document Reference: 34-96440

Document Details

Legal Case Name In the Matter of Jose G. Ramirez, Jr.
Document Name Order Imposing Remedial Sanctions
Document Date 02-Dec-2022
Document Format Administrative Proceeding
File Number 3-19195
Allegation Type Broker Dealer
Document Summary

Disgorgement & Penalty Information

Resolutions
None Specified
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)
  • Bar from participating in any penny stock offering (of unspecified duration)

Related Documents:

34-86055 06-Jun-2019 Administrative Proceeding
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing

Related Actions:

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