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SECURITIES AND EXCHANGE COMMISSION v. SHAPIRO

No. 15 Cv. 7045 (RMB).

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. ROSS B. SHAPIRO, MICHAEL A. GRAMINS, and TYLER G. PETERS, Defendants.

United States District Court, S.D. New York.

June 4, 2018.

Editors Note
Applicable Law: 15 U.S.C. § 77
Cause: 15 U.S.C. § 77 Securities Fraud
Nature of Suit: 850 Securities / Commodities
Source: PACER

Attorney(s) appearing for the Case

Securities and Exchange Commission, Plaintiff, represented by Rua M. Kelly , U.S. Securities and Exchange Commission.

Ross B. Shapiro, Defendant, represented by Guy Petrillo , Petrillo Klein & Boxer LLP, Joshua Klein , Petrillo Klein & Boxer LLP, Leonid Sandlar , Petrillo Klein & Boxer LLP & Mirah Epstein Curzer , Jones Day.

Michael A. Gramins, Defendant, represented by Marc Lee Mukasey , Greenberg Traurig, LLP & Robert Frenchman , Greenberg Traurig, LLP.

Tyler G. Peters, Defendant, represented by Alexander Benjamin Spiro , Quinn Emanuel Urquhart & Sullivan, Brett D. Jaffe , Alston & Bird, LLP, David Carl Wohlstadter , Alston & Bird, LLP & Joseph Gerard Tully , Alston & Bird, LLP.

United States Attorney's Office, District of Connecticut, Intervenor, represented by Liam Brennan , U.S. Attorney's Office, D. Conn, pro hac vice & Heather Cherry , Usao, District of Ct.

DECISION & ORDER

I. Background

On September 8, 2015, the U.S. Securities and Exchange Commission ("SEC") filed a complaint in this Court pursuant to the federal securities laws against Ross B. Shapiro ("Shapiro"), former Managing Director, Fixed Income, at Nomura Securities...

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