Defendant Name: Charles P. Grom

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Charles P. Grom
First Document Date 17-Feb-2016
Initial Filing Format Administrative Action
File Number 3-17119
Allegation Type Broker Dealer


Violations Alleged

Rule 501 Regulation AC Exchange Act


First Resolution Date 17-Feb-2016
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

34-77150 17-Feb-2016 Administrative Proceeding
Order Instituting Administrative and Cease-And-Desist Proceedings, Pursuant to Sections 15(B) and 21C of the Securities Exchange Act of 1934, Section 203(F) of the Investment Advisers Act of 1940, and Section 9(B) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order

Related Actions:

In the Matter of Deutsche Bank Securities Inc.