Defendant Name: Ross B. Shapiro

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. Ross B. Shapiro, Michael A. Gramins, and Tyler G. Peters
First Document Date 08-Sep-2015
Initial Filing Format Civil Proceeding
Case Number 15-cv-07045
Allegation Type Broker Dealer
Federal District Court New York, Southern District of New York


Violations Alleged

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


First Resolution Date 03-Oct-2018
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

comp-pr2015-181 08-Sep-2015 Complaint
court_doc138_15-cv-07045 03-Oct-2018 Court Docket Document
Final Judgment as to Defendant Ross B. Shapiro

Other Defendants in Action:

Related Actions:

In the Matter of Nomura Securities International, Inc.
In the Matter of Ross B. Shapiro
In the Matter of Michael A. Gramins