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



First Resolution Date

Related Documents:

34-84390 10-Oct-2018 Administrative Proceeding
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Makings Findings, and Imposing Remedial Sanctions

Related Actions:

In the Matter of Nomura Securities International, Inc.
SEC v. Ross B. Shapiro, Michael A. Gramins, and Tyler G. Peters
In the Matter of Michael A. Gramins