Defendant Name:
Gibraltar Global Securities, Inc.
Defendant Type:
Other
Initial Case Details
Legal Case Name
SEC v. Gibraltar Global Securities, Inc., and Warren A. Davis
First Document Date
18-Apr-2013
Initial Filing Format
Civil Proceeding
Case Number
13-cv-02575
Allegation Type
Broker Dealer
Federal District Court
New York, Southern District of New York
Violations Alleged
•
Section 15(a)(1) Exchange Act
Additionally,
Warren A. Davis is alleged to have controlled Gibraltar Global Securities, Inc.'s violation of Sec 20(a) of the Exchange Act.
Warren A. Davis is alleged to have controlled Gibraltar Global Securities, Inc.'s violation of 15(a)(1) Exchange Act.
Resolutions
First Resolution Date
02-Jul-2015
Headline Total Penalty and Disgorgement
$3,667,146
Other Defendants in Action: