Defendant Name: Stephen J. Glantz

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Stephen J. Glantz
First Document Date 10-Feb-2009
Initial Filing Format Administrative Action
File Number 3-13365
Allegation Type Broker Dealer



First Resolution Date

Related Documents:

34-59373 10-Feb-2009 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, Making Findings, and Imposing Remedial Sanctions

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In the Matter of Ferris, Baker Watts, Inc.
In the Matter of William H. Salem
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