Defendant Name: Carlos J. Ortiz

Defendant Type: Individual

Document Reference: id513bpm

Document Details

Legal Case Name In the Matter of Miguel A. Ferrer, and Carlos J. Ortiz
Document Name Initial Decision
Document Date 29-Oct-2013
Document Format Administrative Proceeding
File Number 3-14862
Administrative Law Judge Brenda P. Murray
Allegation Type Broker Dealer
Document Summary

Disgorgement & Penalty Information

Resolutions
"[...] no remedial action is appropriate pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940, and I ORDER that the proceeding is DISMISSED."

Related Documents:

33-9317 01-May-2012 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940

Other Defendants in Action:

Related Actions:

In the Matter of UBS Financial Services Inc. of Puerto Rico