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Follow-on APs, Suspensions, and Bars (Oct. 2019)

October 1, 2019 Posted in Enforcement Action, Miscellaneous

In re Moez Ben Mohamed Hedri (A.P. Oct. 1, 2019, Settled)
In re Portfolio Advisors Alliance, Inc. (A.P. Oct. 7, 2019, Contested)
In re Howard J. Allen III (A.P. Oct. 7, 2019, Contested)
In re Kerri L. Wasserman (A.P. Oct. 7, 2019, Contested)
In re Michael Silva (A.P. Oct. 8, 2019, Settled)
In re Harold Wasserman (A.P. Oct. 9, 2019, Settled)
In re Lek Securities Corporation and Samuel Lek (A.P. Oct. 10, 2019, Settled)
In re Harold Wasserman (A.P. Oct. 11, 2019, Settled)
In re Donald Toomer, Jr. (A.P. Oct. 17, 2019, Settled)
In re Richard Andrew Mallion (A.P. Oct. 17, 2019, Settled)
In re Thomas D. Conrad, Jr. (A.P. Oct. 22, 2019, Contested)
In re Cameron G. High (A.P. Oct. 31, 2019, Settled)
In re Lei (Lily) Lei (A.P. Oct. 31, 2019, Settled)

Linda is counsel in our litigation department and practices in our Washington, DC office. Her practice concentrates on matters related to the enforcement of the…

Linda is counsel in our litigation department and practices in our Washington, DC office. Her practice concentrates on matters related to the enforcement of the federal securities laws. She returned to the firm after serving for 14 years in various positions within the SEC. Linda joined the SEC staff in 1995 as Assistant Chief Litigation Counsel. In 1997, she was named Assistant Director of the Enforcement Division. She became an Associate Director in 2000, Deputy Director in 2002 and was named Director of the Enforcement Division in 2005, a position she held until 2009. [Full Bio]

Robert A. CohenPartner

Mr. Cohen brings 15 years of experience in the Securities and Exchange Commission’s Division of Enforcement to his work as a partner in Davis Polk’s…

Mr. Cohen brings 15 years of experience in the Securities and Exchange Commission’s Division of Enforcement to his work as a partner in Davis Polk’s Litigation Department in Washington DC. As a member of the firm’s White Collar Criminal Defense and Government Investigations Group, he focuses on representing companies, boards and individuals in regulatory matters and internal investigations. [Full Bio]