Weekly Roundup of Securities Enforcement and Litigation

Click on the links below to view Securities Enforcement and Litigation for the week of May 11 to May 15, 2020.

• SEC Admin Proceeding 34-88855 - Diane Kaylor (May 11, 2020)
• SEC Admin Proceeding 34-88848 - Lawrence E. Hagedorn (May 11, 2020)
• SEC Opinion 34-88854 - CNS Pharmaceuticals, Inc. and John M. Climaco (Order Requesting Additional Written Submissions) (May 11, 2020)
• SEC Opinion 34-88851 - PLS, CPA, et al. (Order) (May 11, 2020)
• SEC Opinion 34-88853 - Moleculin Biotech, Inc. and Walter V. Klemp (Order Requesting Additional Written Submissions) (May 11, 2020)
• SEC Litigation Release LR-24814 - Clinton Maurice Tucker II (May 11, 2020)
• SEC Admin Proceeding 34-88847 - Mergenet Medical, Inc., et al. (May 11, 2020)
• SEC Admin Proceeding 34-88849 - Equinox Fund Management, LLC (May 11, 2020)
• SEC Admin Proceeding IA-5502 - Travis Laska (May 12, 2020)
• SEC Admin Proceeding IA-5500 - Justin N. Deckert (May 12, 2020)
• SEC Admin Proceeding IA-5501 - Stacy L. Beane (May 12, 2020)
• SEC Litigation Release LR-24815 - TCA Fund Management Group Corp. and TCA Global Credit Fund GP, Ltd. (May 12, 2020)
• SEC Admin Proceeding 34-88860 - Wallace Byers (May 12, 2020)
• SEC Litigation Release LR-24816 - Neil Burkholz, et al. (May 12, 2020)
• SEC Order AP-6760 - Mark Feathers (May 12, 2020)
• SEC Admin Proceeding 34-88856 - Morgan Stanley Smith Barney LLC (May 12, 2020)
• NASDAQ Stock Market Enforcement Release - 2017054051802 - Seaport Global Securities LLC. - 5/13/2020
• FINRA Enforcement Release - 2018058319801 - Merrill Lynch, Pierce Fenner & Smith Incorporated - 05/13/2020
• FINRA Enforcement Release - 2016051704303 - Steven Robert Luftschein - 05/13/2020
• SEC Admin Proceeding 34-88864 - 1Globe Capital, LLC and Jiaqiang "Chiang" Li (May 13, 2020)
• SEC Litigation Release LR-24817 - Ambassador Advisors, LLC, Bernard I. Bostwick, Robert E. Kauffman, and Adrian E. Young (May 13, 2020)
• FINRA Enforcement Release - 2020066342101 - Arthur Hoffman - 05/13/2020
• FINRA Enforcement Release - 2017055209801 - Daniel Conor McDermott and BHA Select Network, LLC - 05/13/2020
• SEC Opinion 34-88861 - Decision Diagnostics Corp. (Order Requesting Additional Written Submissions) (May 13, 2020)
• SEC Admin Proceeding 34-88862 - Sergey Pustelnik a/k/a Serge Pustelnik (May 13, 2020)
• FINRA Enforcement Release - 2018058611601 - Joseph John Weinrich - 05/14/2020
• FINRA Enforcement Release - 2019064765701 - Irene P. Engard - 05/14/2020
• SEC Admin Proceeding 34-88865 - Ronald D. Swanson aka Ronald D. Swanson-Cerna (May 14, 2020)
• SEC Litigation Release LR-24820 - Turbo Global Partners, Inc. and Robert W. Singerman (May 14, 2020)
• SEC Litigation Release LR-24819 - Applied BioSciences Corp. (May 14, 2020)
• SEC Litigation Release LR-24818 - Ronald D. Swanson (May 14, 2020)
• SEC Opinion 34-88879 - Securities Industry and Financial Markets Association (Order Granting Request to Withdraw Application for Review and Dismissing Review Proceeding) (May 14, 2020)
• SEC Opinion 33-10785 - Alexandre S. Clug, et al. (Order Extending Time to Issue Decision) (May 14, 2020)
• SEC Opinion 34-88871 - WPD Pharmaceuticals, Inc. and Mariusz Olejniczak (Order Requesting Additional Written Submissions) (May 14, 2020)
• SEC Admin Proceeding 34-88880 - Morningstar Credit Ratings, LLC (May 15, 2020)
• FINRA Enforcement Release - 2017055028101 - Jason N. Dukas - 05/15/2020
• FINRA Enforcement Release - 2015046182402 - VectorGlobal WMG - 05/15/2020
• FINRA Enforcement Release - 2015046847001 - Lime Brokerage LLC - 05/15/2020
• FINRA Enforcement Release - 2019063140001 - Brandon Rolle - 05/15/2020
• FINRA Enforcement Release - 2017054405401 - William Joseph Kielczewski - 05/15/2020
• FINRA Enforcement Release - 2019061903401 - Benjamin Leitman - 05/15/2020