Defendant Name: Jack B. Grubman

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. Jack B. Grubman
First Document Date 28-Apr-2003
Initial Filing Format Civil Proceeding
Case Number 03-cv-02938
Allegation Type Investment Advisers/Investment Companies
Federal District Court New York, Southern District of New York

Affiliations

Violations Alleged

Other
Rule 15c1-2 Exchange Act; Rules 2110, 2210(d)(1), 2210(d)(2) Conduct Rules of NASD; Rules 401, 476, 472 Conduct Rules of NYSE

Related Violations Alleged

Jack B. Grubman is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 15(c) of the Exchange Act.
Jack B. Grubman is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 15c1-2 Exchange Act; Rules 2110, 2210(d)(1), 2210(d)(2) Conduct Rules of NASD; Rules 401, 476, 472 Conduct Rules of NYSE.

Resolutions

Bars:
First Resolution Date 28-Apr-2003

Related Documents:

LR-18111_03-cv-02938 28-Apr-2003 Litigation Release
SEC Sues Citigroup Global Markets, Formerly Known as Salomon Smith Barney, and Former Research Analyst Jack B. Grubman for Research Analyst Conflicts of Interest; Firm to Settle with SEC, NASD, NYSE, NY Attorney General, and State Regulators; Grubman to Settle with SEC, NASD, NYSE, and NY Attorney General
comp18111b 28-Apr-2003 Complaint
Complaint
judgm18111b 28-Apr-2003 Court Docket Document
Final Judgment as to Defendant Jack Benjamin Grubman

Related Actions:

SEC v. Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc.