Defendant Name:
Benjamin Solomon
Defendant Type:
Individual
Document Reference:
34-82686
Document Details
Legal Case Name
In the Matter of Deutsche Bank Securities Inc. and Benjamin Solomon
Document Name
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Document Date
12-Feb-2018
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Disgorgement & Penalty Information
Resolutions
Cooperation Before the Resolution
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
Monetary Penalties:
Civil Penalty
Individual:
$165,000.00
Shared:
Other Defendants in Action:
