Defendant Name: Eugenio Garcia Jimenez, Jr.

Defendant Type: Individual

Document Reference: IA-6482

Document Details

Legal Case Name In the Matter of Eugenio Garcia Jimenez, Jr.
Document Name Opinion of the Commission
Document Date 14-Nov-2023
Document Format Administrative Proceeding
File Number 3-21122
Allegation Type Investment Advisers/Investment Companies
Document Summary

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)

Related Documents:

IA-6143 21-Sep-2022 Administrative Proceeding
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing

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In the Matter of LPL Financial LLC
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In the Matter of Joseph Kirkland
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