Defendant Name:
Charles P. Grom
Defendant Type:
Individual
Document Reference:
34-77150
Document Details
Legal Case Name
In the Matter of Charles P. Grom
Document Name
Order Instituting Administrative and Cease-And-Desist Proceedings, Pursuant to Sections 15(B) and 21C of the Securities Exchange Act of 1934, Section 203(F) of the Investment Advisers Act of 1940, and Section 9(B) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order
Document Date
17-Feb-2016
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured
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
Monetary Penalties:
Civil Penalty
Individual:
$100,000.00
Shared:
