Defendant Name:
Jack B. Grubman
Defendant Type:
Individual
Document Reference:
LR-18111_03-cv-02938
Document Details
Legal Case Name
SEC v. Jack Benjamin Grubman
Document Name
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
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
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Fair Funds
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization (of permanent duration)
Monetary Penalties:
Disgorgement
Individual:
$7,500,000.00
Shared:
Other Monetary Penalty
Individual:
$7,500,000.00
Shared:
