The Securities Industry Commentator and the BrokeAndBroker.com Blog

November 16, 2023

 

SEC

SEC Charges Algorithmic Trader Matthew Melton with Defrauding Investors Out of More Than $1.5 Million (SEC Release)

Charter Communications to Pay $25 Million Penalty for Stock Buyback Controls Violations (SEC Release)

The SEC’s Swiss Army Statute: Statement on Charter Communications, Inc. by SEC Commissioner Hester M. Peirce and SEC Commissioner Mark T. Uyeda

CFTC

Federal Court Orders Illinois Man and His Entities to Pay Over $20 Million in Restitution and Penalties for Commodity Pool Ponzi Scheme (CFTC Release)

FINRA

FINRA Censures and Fines Wedbush Securities Inc. for Supervision
In the Matter of Wedbush Securities Inc., Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for Outside Brokerage Account
In the Matter of Robert Joseph DeHayes, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for Adding Information to Documents
In the Matter of John Ginsburg, Respondent (FINRA AWC)

FINRA Censures and Fines H.C. Wainwright & Co for Net Capital Calculations
In the Matter of H.C. Wainwright & Co., LLC, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for Unauthorized Transactions and Discretion
In the Matter of Jilena Yuen-Han Mok, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for Acting as Fiduciary
In the Matter of Royal Gregory Fisher, Respondent (FINRA AWC)

FINRA Censures and Fines Haywood Securities (USA) Inc. for Reg BI
In the Matter of Haywood Securities (USA) Inc., Respondent (FINRA AWC)

FINRA Censures and Fines Puma Capital LLC for Reg NMS Trade-Throughs
In the Matter of Puma Capital LLC, Respondent (FINRA AWC)

FINRA Suspends Rep for Willful Failure to Disclose Felony Charge
In the Matter of Fedelyne Cemoin, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for Mismarking Order Tickets as Unsolicited
In the Matter of Robert W. Clayton, Jr., Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for Outside Securities Account
In the Matter of John Roddy Hughes, Respondent (FINRA AWC)