Weekly Roundup of Securities Enforcement and Litigation
Click on the links below to view Securities Enforcement and Litigation for the week of June 15 to June 19, 2020.
- SEC Opinion 33-10792 - Edward M. Daspin and a/k/a "Edward (Ed) Michael" (in the Matter Of Edward M. Daspin, a/k/a "Edward (Ed) Michael") (Jun. 19, 2020)
- SEC Opinion 34-89105 - Bruce Zipper and Dakota Securities International, Inc. (Order Extending Time to Issue Decision) (Jun. 19, 2020)
- FINRA Enforcement Release - 2017052466303 - Frank Venturelli - 06/19/2020
- SEC Opinion 34-89095 - Mark Feathers (Order Directing the Filing of Briefs) (Jun. 18, 2020)
- SEC Opinion 34-89097 - Susan E. Walker (Order to Show Cause) (Jun. 18, 2020)
- SEC Admin Proceeding 34-89094 - Diane J. Harrison, Esq. (Jun. 18, 2020)
- FINRA Enforcement Release - 2018057522002 - Christopher R. Wurtzinger - 06/18/2020
- FINRA Enforcement Release - 2018060409301 - Barry John Hartwyk - 06/18/2020
- SEC Litigation Release LR-24839 - Gomes et al.; (Jun. 18, 2020)
- SEC Opinion 34-89098 - Stephen Robert Williams (Order Extending Time to Issue Decision) (Jun. 18, 2020)
- SEC Opinion 34-89099 - PLS, CPA, et al. (Order) (Jun. 18, 2020)
- SEC Opinion 34-89089 - Donald J. Fowler (Order Extending Time to File Opposition to Motion for Summary Disposition) (Jun. 18, 2020)
- SEC Admin Proceeding 34-89096 - Harbour Investments, Inc. (Jun. 18, 2020)
- SEC Litigation Release LR-24840 - Vassilios Trikantzopoulos and Navis Ventures LLC (Jun. 18, 2020)
- SEC Order AP-6770 - Laurie Bebo and John Buono, CPA (Jun. 18, 2020)
- SEC Litigation Release LR-24838 - AmTrust Financial Services, Inc. and Ronald E. Pipoly, Jr. (Jun. 17, 2020)
- SEC Admin Proceeding IA-5524 - Sultan S. Issa (Jun. 17, 2020)
- FINRA Enforcement Release - 2016051048101 - Albert Dishner - 06/17/2020
- FINRA Enforcement Release - 2018059249501 - James Van Ham - 06/16/2020
- FINRA Enforcement Release - 2018058871601 - Fusion Analytics Securities, LLC - 06/16/2020
- SEC Order AP-6769 - Anton & Chia, LLP, et al. (Jun. 16, 2020)
- FINRA Enforcement Release - 2018058117101 - Julian Jay Piekarczyk - 06/16/2020
- SEC Admin Proceeding 34-89078 - Raymond J. Lucia Companies, Inc. and Raymond J. Lucia, Sr. (Jun. 16, 2020)
- SEC Litigation Release LR-24837 - Daniel Adams, Michael Flanders, Spiderworx Media LLC, and An L.A. Minute LLC (Jun. 16, 2020)
- SEC Admin Proceeding IA-5522 - Richard T. Diver (Jun. 16, 2020)
- SEC Litigation Release LR-24836 - Neil Burkholz, et al. (Jun. 15, 2020)
- FINRA Enforcement Release - 2014041868001 - Dennis A. Mehringer, Jr. - 06/15/2020
- SEC Opinion IA-5521 - Nicholas J. Genovese (Order Granting an Extension of Time) (Jun. 15, 2020)
- FINRA Enforcement Release - 2015047005801 - Brian Colin Doherty - 06/15/2020
- FINRA Enforcement Release - 2018060923801 - D.A. Davidson & Co. - 06/15/2020