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
Affiliations
- Former: Broker/Registered Representative at Ferris, Baker Watts, Inc. (January 2003—November 2005)
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)
First Resolution Date
