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
- Former: Managing Director at Citigroup Global Markets Inc. (Until August 15, 2002)
- Former: Research Analyst at Citigroup Global Markets Inc.
Violations Alleged
•
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:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization (of permanent duration)
First Resolution Date
28-Apr-2003
Headline Total Penalty and Disgorgement
$15,000,000
