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

Exchange Act
• Sec 10(b) + Rule 10b-5
Securities Act
• Sec 17(a) (Not specified)

Resolutions

Bars:
First Resolution Date 12-Feb-2018
Headline Total Penalty and Disgorgement $2,514,986

Related Documents:

34-82686 12-Feb-2018 Administrative Proceeding
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions

Other Defendants in Action:

Deutsche Bank Securities, Inc.