Registered Individuals – Enforcement & Disciplinary Actions
Search DNFBP Firms – Registered Individuals



Firm Name QFC Number Name of Individual Type of Actions\ Misconduct Action Effective From Action Effective Until Summary of Action
Horizon Crescent Wealth LLC00223Jean-Marc ManteganiIndefinite Prohibition, Financial Penalties05/06/2023 View Summary of Action
Horizon Crescent Wealth LLC00223Patrick BaeriswylIndefinite Prohibition, Financial Penalties05/06/2023 View Summary of Action

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Related Individuals – ENFORCEMENT & DISCIPLINARY ACTIONS
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