Weekly Roundup of Securities Enforcement and Litigation
Click on the links below to view Securities Enforcement and Litigation for the week of June 22 to June 26, 2020.
- SEC Litigation Release LR-24843 - Todd Lahr and Thomas Megas (Jun. 24, 2020)
- SEC Admin Proceeding 34-89144 - Michael Douglas Billings and MDB Group, LLC (Jun. 24, 2020)
- SEC Admin Proceeding 34-89139 - Todd H. Lahr, Esq. (Jun. 24, 2020)
- FINRA Enforcement Release - 2019061456701 - Ryan M. Davis - 06/24/2020
- FINRA Enforcement Release - 2015047855901 - SG Americas Securities, LLC, Newedge USA, LLC, (n/k/a SG Americas Securities, LLC) - 06/24/2020
- SEC Admin Proceeding 34-89143 - SG Americas Securities, LLC (Jun. 24, 2020)
- FINRA Enforcement Release - 2014041860801 - Trevor Lee Gordon, Jack Charles Bixler, and Sandlapper Securities, LLC - 06/23/2020
- FINRA Enforcement Release - 2016047624303 - Michael N. Catoggio - 06/23/2020
- SEC Admin Proceeding 33-10793 - Vereit, Inc. (Jun. 23, 2020)
- FINRA Enforcement Release - 2018059526701 - Benard Gann - 06/23/2020
- FINRA Enforcement Release - 2019062875201 - Micah W. Patterson - 06/23/2020
- FINRA Enforcement Release - 2015044347801 - Exane, Inc. - 06/23/2020
- SEC Litigation Release LR-24842 - Eran Eyal and UnitedData, Inc. d/b/a/ "Shopin, " (Jun. 23, 2020)
- SEC Admin Proceeding 34-89135 - Trinity Capital Corporation (Jun. 23, 2020)
- FINRA Enforcement Release - 2019061329701 - Eric Lowell Small - 06/23/2020
- SEC Admin Proceeding 34-89113 - BKS Advisors LLC (Jun. 22, 2020)
- SEC Litigation Release LR-24841 - Gregg D. Caplitz, et al. (Jun. 22, 2020)
- SEC Opinion 34-89121 - Gregory Acosta (Opinion of the Commission) (Jun. 22, 2020)
- SEC Opinion 34-89109 - Blair Edwards Olsen (Extension Order) (Jun. 22, 2020)
- SEC Admin Proceeding 34-89112 - Visium Asset Management, LP (Jun. 22, 2020)
- FINRA Enforcement Release - 2018057508101 - J.P. Morgan Securities LLC - 06/22/2020
- SEC Admin Proceeding 34-89111 - Matthew Ledvina, Esq. (Jun. 22, 2020)