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
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."
Other Defendants in Action:
