Defendant Name: Jack B. Grubman

Defendant Type: Individual

Document Reference: judgm18111b

Document Details

Legal Case Name SEC v. Jack Benjamin Grubman
Document Name Final Judgment as to Defendant Jack Benjamin Grubman
Document Date 28-Apr-2003
Document Format Civil Proceeding
Case Number 03-cv-02938
Federal District Court New York, Southern District of New York
Allegation Type Investment Advisers/Investment Companies
Document Summary

Disgorgement & Penalty Information

Resolutions
Enjoinment
Monetary Penalties:

Disgorgement

Individual:     $7,500,000.00 Shared:    

Civil Penalty

Individual:     $7,500,000.00 Shared:    

Total Penalty

Individual:     $15,000,000.00 Shared:    

Related Documents:

LR-18111_03-cv-02938 28-Apr-2003 Litigation Release
SEC Sues Citigroup Global Markets, Formerly Known as Salomon Smith Barney, and Former Research Analyst Jack B. Grubman for Research Analyst Conflicts of Interest; Firm to Settle with SEC, NASD, NYSE, NY Attorney General, and State Regulators; Grubman to Settle with SEC, NASD, NYSE, and NY Attorney General
comp18111b 28-Apr-2003 Complaint
Complaint

Related Actions:

SEC v. Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc.
Citigroup Global Markets Inc.