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

Affiliations

Violations Alleged

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

Resolutions

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

See Related Documents

Related Documents:

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

Other Defendants in Action:

Michael A. Gramins
Tyler G. Peters

Related Actions:

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