Defendant Name: Michael A. Gramins

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Michael A. Gramins
First Document Date 30-Dec-2022
Initial Filing Format Administrative Action
File Number 3-21266
Allegation Type Broker Dealer

Affiliations

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
Securities Act
• Sec 17(a) (Not specified)

Resolutions

Bars:
First Resolution Date 24-Jan-2025

Related Documents:

34-96596 30-Dec-2022 Administrative Proceeding
Corrected 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 and Notice of Hearing
34-102283 24-Jan-2025 Administrative Proceeding
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940

Related Actions:

In the Matter of Nomura Securities International, Inc.
Nomura Securities International, Inc.
SEC v. Ross B. Shapiro, Michael A. Gramins, and Tyler G. Peters
Ross B. Shapiro
Michael A. Gramins
Tyler G. Peters
In the Matter of Ross B. Shapiro
Ross B. Shapiro