FINRA

Respondent Miramontes failed to respond to FINRA requests for information.

Letter

Bar (Permanent)

All Capacities

Indefinite

2/18/2025

Pursuant to FINRA Rule 9552(h) and in accordance with FINRA's Notice of Suspension and Suspension from Association letters dated November 12, 2024 and January 16, 2025, respectively, on February 18, 2025, Miramontes is barred from association with any FINRA member in all capacities. Miramontes failed to request termination of his suspension within three months of the date of the Notice of Suspension; therefore, he is automatically barred from association with any FINRA member in all capacities.

THEFT- PENAL CODE #487.1 MISDEMEANOR STATUS, AMOUNT $1,400.

MISDEMEANOR

DISPOSITION-CONVICTED THEFT (MISDEMEANOR STATUS) PENAL CODE #487.1, DATE 10/31/94. SENTENCE-12DAYS COMMUNITY SERVICE AND PAID RESITUTION - $1,589.79 STARTING 1/9/95 THROUGH 1/24/95.

ON MAY 18, 1994, I EXERCISED POOR JUDGMENT WHEN I TOOK FROM AN EMPLOYEE OF KIMCO A FUR COAT AND WATCH UNAWARE AT THE TIME THERE WAS $40.00 IN THE POCKET OF THE COAT, WHICH IS WHY I INITIALLY WROTE "FUNDS" WHEN DESCRIBING THE SITUTATION IN THE FIRST U-4 STATMENT. THE $40.00 WAS NOT MENTIONED IN THE POLICE REPORT, THEREFORE WAS CHARGED ONLY WITH THEFT FOR THE COAT AND WATCH (PERSONAL PROPERTY). I'VE FULFILLED MY OBLIGATION TO THE COUNTY AND SERVED MY SENTENCE OF COMMUNITY SERVICE. IN ADDITION, I'VE SUCCESSFULLY PAID RESTITUTION TO THE VICTIM. I'VE SINCE ADDRESSED THE SITUATION APPROPRIATELY IN HOPES OF LEARNING FROM THIS MISTAKE.