Disciplined List
Torres, Jaime Alejandro
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Date of Order or Settlement:
2009-08-10
Sanction:
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An Order to comply fully with the Securities Act, the Securities Rules and any applicable regulations
Supporting Documents:
Violation:
- Trading in violation of a cease trade order
- Acting contrary to the public interest
Ruling Body:
BCSCPayment Agreed/Ordered:
$3,500