Defendant Name:
Anthony G. Blumberg
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. Anthony G. Blumberg
First Document Date
07-Aug-2014
Initial Filing Format
Civil Proceeding
Case Number
14-cv-04962
Allegation Type
Broker Dealer
Federal District Court
New Jersey, District of New Jersey
Affiliations
- Former: CEO at ConvergEx Global Markets Limited (November 2006—November 2011)
Violations Alleged
•
Sec 17(a) (Not specified)
•
Section 15(c)(1) Exchange Act
Related Violations Alleged
Anthony G. Blumberg is alleged to have aided and abetted G-Trade Services LLC's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Anthony G. Blumberg is alleged to have aided and abetted ConvergEx Global Markets Limited's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Anthony G. Blumberg is alleged to have aided and abetted Jonathan Daspin's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Anthony G. Blumberg is alleged to have aided and abetted Thomas Lekargeren's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Anthony G. Blumberg is alleged to have aided and abetted G-Trade Services LLC's violation of Sec 15(c) of the Exchange Act.
Resolutions
First Resolution Date
28-May-2019
Headline Total Penalty and Disgorgement
$557,300
