Defendant Name: Warren A. Davis

Defendant Type: Individual

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

Affiliations

Violations Alleged

Exchange Act
• Sec 20(a)
Securities Act
• Sec 5
• Sec 5(a)
• Sec 5(c)
Other
• Section 15(a)(1) Exchange Act

Related Violations Alleged

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 $24,483,908

Related Documents:

comp22683 18-Apr-2013 Complaint
Complaint
court_doc73_13-cv-02575 02-Jul-2015 Court Docket Document
Order
court_doc85_13-cv-02575 12-Jan-2016 Court Docket Document
Default Judgment

Other Defendants in Action:

Gibraltar Global Securities, Inc.

Related Actions:

In the Matter of Oppenheimer & Co. Inc.
Oppenheimer & Co. Inc.
In the Matter of Scott A. Eisler
Scott A. Eisler
In the Matter of Arthur W. Lewis
Arthur W. Lewis
In the Matter of Warren A. Davis
Warren A. Davis