Weekly Roundup of Securities Enforcement and Litigation

Click on the links below to view Securities Enforcement and Litigation for the week of May 18 to May 22, 2020.

• SEC Admin Proceeding IA-5508 - TSP Capital Management Group, LLC (May 22, 2020)
• SEC Litigation Release LR-24822 - Paul Horton Smith, Sr.; Northstar Communications, LLC; Planning Services, Inc.; and eGate, LLC (May 22, 2020)
• SEC Admin Proceeding 34-88935 - American Realty Funds Corporation (May 22, 2020)
• SEC Admin Proceeding 34-88937 - Robert Gilbert (May 22, 2020)
• SEC Admin Proceeding 34-88936 - Paul Ewer (May 22, 2020)
• SEC Opinion IA-5507 - Barton W. Stuck (Order Granting an Extension of Time) (May 21, 2020)
• SEC Admin Proceeding 34-88921 - Wells Fargo & Company (May 21, 2020)
• SEC Admin Proceeding 34-88931 - Nicholas Fleming aka "Nick Franklin" (May 21, 2020)
• SEC Opinion 34-88926 - Gopi Krishna Vungarala (Order Extending Time to Issue Decision) (May 21, 2020)
• FINRA Enforcement Release - 2019061162901 - Martin Joseph Noonan - 05/21/2020
• FINRA Enforcement Release - 2016048393501 - Shopoff Securities, Inc., William A. Shopoff, and Stephen R. Shopoff - 05/21/2020
• SEC Opinion 34-88922 - Gregory Acosta (Order Extending Time to Issue Decision) (May 21, 2020)
• SEC Admin Proceeding 34-88920 - Visium Asset Management, LP (May 21, 2020)
• SEC Admin Proceeding 34-88919 - Devere USA, Inc. (May 21, 2020)
• FINRA Enforcement Release - 2014041254102 - Santander Investment Securities Inc. - 05/21/2020
• FINRA Enforcement Release - 2018058657802 - Adrienne Jaime Mak - 05/20/2020
• FINRA Enforcement Release - 2018060933401 - Leonard C. Kinsman - 05/20/2020
• SEC Opinion 34-88913 - Mark Morrow (Order to Show Cause) (May 20, 2020)
• FINRA Enforcement Release - 2019063147101 - Christopher M. Roumayeh - 05/20/2020
• SEC Opinion 34-88915 - William H. Murphy & Co. and William H. Murphy (Order Extending Time to Issue Decision) (May 20, 2020)
• SEC Opinion 34-88908 - Stephen Robert Williams (Order Extending Time to Issue Decision) (May 19, 2020)
• FINRA Enforcement Release - 2018059233001 - Ustocktrade Securities, Inc. - 05/18/2020
• FINRA Enforcement Release - 2016048498401 - CODA Markets, Inc. - 05/18/2020
• SEC Litigation Release LR-24821 - Paul Russell Montgomery, Jr., Michael David Fisher, James Hurst Willingham (May 18, 2020)
• SEC Admin Proceeding 34-88897 - John Donovan, CPA (May 18, 2020)
• SEC Admin Proceeding 34-88895 - Timothy Daly, CPA (May 18, 2020)
• SEC Admin Proceeding 34-88896 - Michael Bellach, CPA (May 18, 2020)
• FINRA Enforcement Release - 2019062980701 - Dennis J. Murphy - 05/18/2020