Defendant Name:
Benjamin Solomon
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Deutsche Bank Securities Inc. and Benjamin Solomon
First Document Date
12-Feb-2018
Initial Filing Format
Administrative Action
File Number
3-18367
Allegation Type
Broker Dealer
Violations Alleged
•
Failure to supervise within the meaning of Sections 15(b)(4)(E), 15(b)(6)(A)(i) Exchange Act
Resolutions
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
First Resolution Date
12-Feb-2018
Headline Total Penalty and Disgorgement
See Related Documents
Other Defendants in Action:
