Defendant Name:
Guillermo Haro
Defendant Type:
Individual
Document Reference:
34-62226
Document Details
Legal Case Name
In the Matter of Guillermo Haro
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
04-Jun-2010
Document Format
Administrative Proceeding
File Number
3-13924
Administrative Law Judge
Brenda P. Murray
Allegation Type
Broker Dealer
Disgorgement & Penalty Information
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 1 year
- Barred as a supervisor with any broker or dealer for 4 years
