Defendant Name:
Marc H. Plotkin
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Marc H. Plotkin
First Document Date
18-Dec-2007
Initial Filing Format
Administrative Action
File Number
3-12906
Allegation Type
Broker Dealer
Affiliations
- Former: Broker/Registered Representative at Morgan Stanley DW, Inc. (March 2000—November 2003)
Violations Alleged
Related Violations Alleged
Marc H. Plotkin is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
Marc H. Plotkin is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 17(a) (Not specified) of the Securities Act (willfully/knowingly).
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 1 year
- Prohibited from serving in various capacities for an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter for 1 year
First Resolution Date
18-Dec-2007
Headline Total Penalty and Disgorgement
$90,000
