• 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)