Weekly Roundup of Securities Enforcement and Litigation
Click on the links below to view Securities Enforcement and Litigation for the week of June 8 to June 12, 2020.
- SEC Admin Proceeding IA-5520 - Louis Navellier and Navellier & Associates, Inc. (Jun. 12, 2020)
- SEC Order AP-6768 - Mark Feathers (Jun. 12, 2020)
- SEC Opinion 33-10791 - Alexandre S. Clug, et al. (Order Extending Time to Issue Decision) (Jun. 12, 2020)
- FINRA Enforcement Release - 206050929001 - Two Sigma Securities, LLC - 06/12/2020
- FINRA Enforcement Release - 2018058924502 - Adam James Makkai - 06/12/2020
- SEC Order AP-6767 - Mark Feathers (Jun. 12, 2020)
- SEC Opinion 34-89054 - Cantone Research Inc., Anthony Cantone and Christine Cantone (Order Extending Time to Issue Decision) (Jun. 12, 2020)
- SEC Litigation Release LR-24835 - Giga Entertainment Media, Inc. et al. (Jun. 11, 2020)
- FINRA Enforcement Release - 2019061086303 - John W. Loofbourrow - 06/11/2020
- SEC Litigation Release LR-24834 - PowerTradersPress.com, Inc., et al. (Jun. 11, 2020)
- SEC Admin Proceeding 34-89044 - ChatAND, Inc., DTS8 Coffee Company, Ltd. and Greenfield Farms Food, Inc. (Jun. 11, 2020)
- FINRA Enforcement Release - 2020066576401 - David Austin - 06/11/2020
- FINRA Enforcement Release - 2018056858101 - SagePoint Financial, Inc. - 06/10/2020
- SEC Litigation Release LR-24833 - Dubovoy, et al. (Jun. 10, 2020)
- SEC Litigation Release LR-24832 - Jason C. Nielsen (Jun. 10, 2020)
- FINRA Enforcement Release - 2019062428401 - Bradley Scott Kyburz - 06/10/2020
- SEC Order AP-6766 - Anton & Chia, LLP, et al. (Jun. 10, 2020)
- MIAX Options Enforcement Release 2015048329301- for Morgan Stanley & Co. LLC - 06/10/2020 (Notice of Letter of Consent)
- MIAX Options Enforcement Release 2018057173402 - for Susquehanna Investment Group - 06/10/2020 (Notice of Letter of Consent)
- FINRA Enforcement Release - 2018058983601 - Dee Dee Brooks - 06/09/2020
- SEC Opinion 34-89034 - Sergey Pustelnik a/k/a Serge Pustelnik (Order Granting an Extension of Time) (Jun. 9, 2020)
- SEC Litigation Release LR-24831 - Paul Horton Smith, Sr.; Northstar Communications, LLC; Planning Services, Inc.; and eGate, LLC (Jun. 9, 2020)
- SEC Order AP-6765 - Mark Feathers (Jun. 9, 2020)
- SEC Opinion 34-89033 - Brendan D. Feitelberg (Order Extending Time to Issue Decision) (Jun. 9, 2020)
- SEC Opinion 34-89029 - Commonwealth Capital Securities Corp. (Order Extending Time to Issue Decision) (Jun. 8, 2020)
- FINRA Enforcement Release - 2019063560201 - Hector Luis Luna - 06/08/2020
- FINRA Enforcement Release - 2019063976701 - Matthew Vincent Muratori - 06/08/2020
- SEC Litigation Release LR-24830 - Brandon E. Copeland and E.B. & Copeland Capital, Inc. (Jun. 8, 2020)
- FINRA Enforcement Release - 2018059630801 - Joe M. Allbright - 06/08/2020