Violated Rule 477 by failing to comply with an Exchange request that he
appear and testify -- Censure and bar until he complies.
An Exchange Hearing Panel conducted a hearing on a charge brought by the Exchange’s Division
of Enforcement against Jose Rene Jimenez, a former registered representative with Smith Barney
Inc. Mr. Jimenez was charged with having violated Exchange Rule 477 in that he failed to
comply with an Exchange request that he appear and testify regarding a matter occurring prior to
the termination of his employment.
Mr. Jimenez did not submit an Answer to the Charge Memorandum. Neither he nor any person
on his behalf appeared at the hearing in this matter. After receiving evidence, the Hearing Panel
found as follows:
READ MORE HERE FROM THE NEW YORK STOCK EXCHANGE WEBSITE :
http://www.nyse.com/pdfs/98-028.pdf
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