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
Affiliations
- Former: Managing Director at Deutsche Bank Securities, Inc. (June 2011—February 2013)
- Former: Senior Equity Research Analyst at Deutsche Bank Securities, Inc. (June 2011—February 2013)
Violations Alleged
•
Rule 501 Regulation AC Exchange Act
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 12 months
- Bar from participating in any penny stock offering for 12 months
- Prohibited from serving in various capacities for an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter for 12 months
First Resolution Date
17-Feb-2016
Headline Total Penalty and Disgorgement
$100,000
