Defendant Name: Jesus Gutierrez

Defendant Type: Individual

Document Reference: 34-62144

Document Details

Legal Case Name In the Matter of Jesus Gutierrez
Document Name Order Instituting Administrative Proceedings Pursuant Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Document Date 20-May-2010
Document Format Administrative Proceeding
File Number 3-13906
Administrative Law Judge Brenda P. Murray
Allegation Type Broker Dealer
Document Summary

Disgorgement & Penalty Information

  • Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 90 days

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