Defendant Name:
Ramiro L. Colon, III
Defendant Type:
Individual
Document Reference:
34-76014
Document Details
Legal Case Name
In the Matter of Ramiro L. Colon, III
Document Name
Order Instituting Administrative Proceedings, Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Document Date
29-Sep-2015
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 12 months
Monetary Penalties:
Civil Penalty
Individual:
$25,000.00
Shared:
