Defendant Name:
Ross B. Shapiro
Defendant Type:
Individual
Document Reference:
34-84390
Document Details
Legal Case Name
In the Matter of Ross B. Shapiro
Document Name
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Makings Findings, and Imposing Remedial Sanctions
Document Date
10-Oct-2018
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Disgorgement & Penalty Information
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization (of unspecified duration)
- Bar from participating in any penny stock offering (of unspecified duration)
