Weekly Roundup of Securities Enforcement and Litigation
Click on the links below to view Securities Enforcement and Litigation for the week of May 25 to May 29, 2020.
- FINRA Enforcement Release - 2015045755510 - Douglas A. Sanzone - 05/29/2020
- FINRA Enforcement Release - 2015045755501 - John Grifonetti - 05/29/2020
- FINRA Enforcement Release - 2017053409201 - Mark Elenowitz and Tripoint Global Equities, LLC - 05/29/2020
- SEC Order AP-6762 - Mark Feathers (May 29, 2020)
- SEC Admin Proceeding IA-5512 - Oxbow Advisors, LLC (May 29, 2020)
- SEC Opinion 34-88966 - Scottsdale Capital Advisors Corporation, et al. (Order Extending Time to Issue Decision) (May 28, 2020)
- SEC Admin Proceeding 34-88964 - Fieldstone Financial Management Group, LLC and Kristofor R. Behn (May 28, 2020)
- SEC Admin Proceeding 34-88965 - Gibraltar Global Securities, Inc. (May 28, 2020)
- FINRA Enforcement Release - 2016050948201 - Stifel, Nicolaus & Company, Incorporated - 05/28/2020
- FINRA Enforcement Release - 2019064884501 - GUSTAVO TRUJILLO FRANCO - 05/28/2020
- FINRA Enforcement Release - 2018059527301 - Julie Reyes - 05/28/2020
- SEC Admin Proceeding 34-88969 - Morgan Stanley Smith Barney LLC (May 28, 2020)
- SEC Admin Proceeding 34-88963 - Focus Media Holding Limited and Jason Jiang (May 28, 2020)
- SEC Admin Proceeding 33-10788 - BitClave PTE Ltd. (May 28, 2020)
- SEC Opinion 34-88967 - Jonathan Edward Graham (Order Extending Time to Issue Decision) (May 28, 2020)
- SEC Order AP-6761 - William J. Sears (May 27, 2020)
- FINRA Enforcement Release - 2018057909501 - Courtney James Burn - 05/27/2020
- SEC Admin Proceeding IA-5511 - Syed Arham Arbab (May 27, 2020)
- FINRA Enforcement Release - 2017053843901 - Michael Patrick Murphy - 05/27/2020
- SEC Admin Proceeding 34-88962 - Warren A. Davis (May 27, 2020)
- SEC Opinion 33-10787 - Edward M. Daspin, a/k/a "Edward (Ed) Michael" (Extension Order) (May 26, 2020)
- FINRA Enforcement Release - 3-19216 - Dustin Tylor Aiguier - 05/26/2020
- FINRA Enforcement Release - 2017054462001 - Axiom Capital Management, Inc. - 05/26/2020
- SEC Litigation Release LR-24824 - William Sadleir (May 26, 2020)
- SEC Opinion 34-88953 - Dustin Tylor Aiguier (Opinion of the Commission) (May 26, 2020)
- SEC Admin Proceeding IA-5510 - Ares Management LLC (May 26, 2020)
- SEC Litigation Release LR-24823 - Cash Capital, LLC, America's Strategic Ore Properties, and Robert W. Wilson (May 26, 2020)
- FINRA Enforcement Release - 2019063606701 - Michelle L. Gill - 05/26/2020
- SEC Admin Proceeding 34-88941 - William Andrew Hightower (May 26, 2020)
- FINRA Enforcement Release - 2019061681801 - Paul Liebman - 05/26/2020
- FINRA Enforcement Release - 2017056036301 - Robert Nicholas Korzik - 05/26/2020
- SEC Admin Proceeding 34-88951 - Robert C. Weaver, Jr., Esq. (May 26, 2020)
- FINRA Enforcement Release - 2019063042701 - Sachin Kumar - 05/25/2020