Defendant Name:
Ross B. Shapiro
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Ross B. Shapiro
First Document Date
10-Oct-2018
Initial Filing Format
Administrative Action
File Number
3-18863
Allegation Type
Broker Dealer
Affiliations
- Former: Broker/Registered Representative at Nomura Securities International, Inc. (August 2009—May 2016)
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 unspecified duration)
- Bar from participating in any penny stock offering (of unspecified duration)
First Resolution Date
