Defendant Name:
Donald S. LaGuardia, Jr.
Defendant Type:
Individual
Document Reference:
IA-6739
Document Details
Legal Case Name
In the Matter of Donald S. LaGuardia, Jr.
Document Name
Order Imposing Remedial Sanctions
Document Date
02-Oct-2024
Document Format
Administrative Proceeding
Allegation Type
Investment Advisers/Investment Companies
Disgorgement & Penalty Information
Resolutions
None Specified
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization (of unspecified duration)
