Defendant Name: Christopher Aguilar

Defendant Type: Individual

Document Reference: 34-60976

Document Details

Legal Case Name In the Matter of Merriman Curhan Ford & Co., D. Jonathan Merriman, and Christopher Aguilar
Document Name Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist ORder
Document Date 10-Nov-2009
Document Format Administrative Proceeding
File Number 3-13681
Allegation Type Broker Dealer
Document Summary

Disgorgement & Penalty Information

Cease and Desist Order
Other Compliance Related Undertaking
Cooperation Before the Resolution
  • Bar on association in a supervisory capacity with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 12 months
Monetary Penalties:

Civil Penalty

Individual:     $40,000.00 Shared:    

Other Defendants in Action:

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In the Matter of William J. Del Biaggio III