Weekly Roundup of Securities Enforcement and Litigation

Click on the links below to view Securities Enforcement and Litigation for the week of June 1 to June 5, 2020.

• SEC Opinion 33-10790 - John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC; and George R. Jarkesy Jr. (Order Extending Time to Issue Decision) (Jun. 5, 2020)
• FINRA Enforcement Release - 2016052104101 - Devin Lamarr Wicker - 06/05/2020
• SEC Litigation Release LR-24828 - Stiefel Laboratories Inc. and Charles W. Stiefel (Jun. 5, 2020)
• SEC Litigation Release LR-24827 - Tamara Steele and Steele Financial, Inc. (Jun. 5, 2020)
• FINRA Enforcement Release - 2017054054101 - Electronic Transaction Clearing, Inc. - 06/05/2020
• SEC Admin Proceeding IA-5519 - Douglas Leighton (Jun. 5, 2020)
• SEC Admin Proceeding 34-89024 - Fifth Street Management, LLC (Jun. 5, 2020)
• SEC Litigation Release LR-24829 - Daniel F. Putnam, Jean Paul Ramirez Rico, Angel A. Rodriguez, MMT Distribution, LLC, R & D Global (Jun. 5, 2020)
• SEC Order AP-6764 - Scott M. Dittman, CPA (Jun. 5, 2020)
• SEC Admin Proceeding 34-89025 - Jeremy A. Licht d/b/a JL Capital Management (Jun. 5, 2020)
• SEC Admin Proceeding 34-89023 - Jana Faith Kiena, CPA (Jun. 5, 2020)
• SEC Litigation Release LR-24829 - Daniel F. Putnam, Jean Paul Ramirez Rico, Angel A. Rodriguez, MMT Distribution, LLC, R D Global (Jun. 5, 2020)
• SEC Opinion IA-5518 - The Robare Group, Ltd., Mark L. Robare and Jack L. Jones, Jr. (Order Extending Time to Issue Decision) (Jun. 5, 2020)
• SEC Admin Proceeding 34-89021 - Tamara Steele (Jun. 5, 2020)
• FINRA Enforcement Release - 2017053051001 - TPEG Securities, LLC - 06/04/2020
• SEC Admin Proceeding 34-89013 - Train, Babcock Advisors LLC (Jun. 4, 2020)
• SEC Opinion 34-89005 - Wilson-Davis Co., Inc.; James C. Snow; and Byron B. Barkley (Extension Order) (Jun. 4, 2020)
• FINRA Enforcement Release - 2017053494401 - Merrill Lynch, Pierce, Fenner & Smith Incorporated - 06/04/2020
• SEC Opinion 34-89006 - David B. Tysk (Order Extending Time to Issue Decision) (Jun. 4, 2020)
• SEC Litigation Release LR-24826 - Navellier & Associates, Inc., and Louis Navellier (Jun. 4, 2020)
• SEC Opinion 34-89005 - Wilson-Davis & Co., Inc.; James C. Snow; and Byron B. Barkley (Extension Order) (Jun. 4, 2020)
• SEC Admin Proceeding 34-89009 - Argo Group International Holdings, Ltd. (Jun. 4, 2020)
• SEC Admin Proceeding 34-88998 - Christopher D. Larson (CPA) (Jun. 3, 2020)
• SEC Litigation Release LR-24825 - E*Hedge Securities, Inc., et al. (Jun. 3, 2020)
• FINRA Enforcement Release - 2019063123501 - Robert Silverman - 06/03/2020
• NASDAQ ISE Enforcement Release - 2015048329303 - Morgan Stanley & Co. LLC - 6/3/2020
• NASDAQ PHLX Enforcement Release - 2015048329302 - Morgan Stanley & Co. LLC - 6/03/2020
• FINRA Enforcement Release - 2017052741001 - Cantor Fitzgerald & Co. - 06/02/2020
• FINRA Enforcement Release - 2015048141902 - Donald G. Padilla - 06/02/2020
• SEC Order AP-6763 - Mark Feathers (Jun. 2, 2020)
• SEC Admin Proceeding 33-10789 - William Vescio (Jun. 2, 2020)
• FINRA Enforcement Release - 2018059983001 - Hector Ramos - 06/02/2020
• FINRA Enforcement Release - 2018058852901 - Quinn Daniel Campbell - 06/02/2020
• SEC Admin Proceeding 34-88991 - Todd A. Esh (Jun. 2, 2020)
• SEC Opinion 34-88977 - Louis Ottimo (Order Scheduling Briefs) (Jun. 1, 2020)
• SEC Admin Proceeding 34-88976 - U.S. Bancorp Investments, Inc. (Jun. 1, 2020)
• FINRA Enforcement Release - 2016051884601 - Mizuho Securities USA LLC - 06/01/2020
• FINRA Enforcement Release - 2019064729701 - Marie Bernadette Kincheloe - 06/01/2020
• FINRA Enforcement Release - 2019063301201 - Mark William Menard - 06/01/2020
• NASDAQ PHLX Enforcement Release - 2015045755513 - Douglas A. Sanzone - 6/1/2020
• Fed. Trade Comm'n v. LendingClub Corp. (N.D. Cal. 2020)