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rders Accepting Offers of Settlement - Aegis Capital Corp. Charles Smulevitz Kevin McKenna (finra.org) EFTA00070268 Complainant, Hearing Officer Rochelle S. Hall Department ofEnforcement, Disciplinary Proceeding ORDER ACCEPTING OFFER OF OFFICE OF HEARING OFFICERS INDUSTRY REGULATORY AUTHORITY FINANCIAL Aegis Capital C
OMMISSION WASHINGTON, D.C. 20549 DIVISION OF CORPORATION FINANCE - SEC.gov United States securities and exchange commission logo December 11, 2020 Jeffrey McGonegal Chief Executive Officer Riot Blockchain, Inc. 202 6th Street, Suite 401 www. sec g ov and resulted in Susquehanna/CVI pump and dump EDGAR Filing
2 mentions1 same-page
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rders Accepting Offers of Settlement - Aegis Capital Corp. Charles Smulevitz Kevin McKenna (finra.org) EFTA00069775 Complainant, Hearing Officer Rochelle S. Hall Department ofEnforcement, Disciplinary Proceeding ORDER ACCEPTING OFFER OF OFFICE OF HEARING OFFICERS INDUSTRY REGULATORY AUTHORITY FINANCIAL Aegis Capital C
OMMISSION WASHINGTON, D.C. 20549 DIVISION OF CORPORATION FINANCE - SEC.gov United States securities and exchange commission logo December 11, 2020 Jeffrey McGonegal Chief Executive Officer Riot Blockchain, Inc. 202 6th Street, Suite 401 w.sec.gov and resulted in Susquehanna/CVI pump and dump EDGAR Filing Doc
2 mentions1 same-page
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rders Accepting Offers of Settlement - Aegis Capital Corp. Charles Smulevitz Kevin McKenna (finra.org) EFTA00072028 Complainant, Hearing Officer Rochelle S. Hall Department ofEnforcement, Disciplinary Proceeding ORDER ACCEPTING OFFER OF OFFICE OF HEARING OFFICERS INDUSTRY REGULATORY AUTHORITY FINANCIAL Aegis Capital C
OMMISSION WASHINGTON, D.C. 20549 DIVISION OF CORPORATION FINANCE - SEC.gov United States securities and exchange commission logo December 11, 2020 Jeffrey McGonegal Chief Executive Officer Riot Blockchain, Inc. 202 6th Street, Suite 401 veww. sec .g ov and resulted in Susquehanna/CVI pump and dump EDGAR Filin
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2 mentions1 same-page
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ers Accepting Offers of Settlement - Aegis Capital Corp. Charles Smulevitz, Kevin McKenna (finra.org) EFTA00091134 Complainant, Hearing Officer Rochelle S. Hall Department ofEnforcement, Disciplinary Proceeding ORDER ACCEPTING OFFER OF OFFICE OF HEARING OFFICERS INDUSTRY REGULATORY AUTHORITY FINANCIAL Aegis Capital C
ISSION WASHINGTON, D.C. 20549 DIVISION OF CORPORATION FINANCE - SEC.gov I United States securities and exchange commission logo December 11, 2020 Jeffrey McGonegal Chief Executive Officer Riot Blockchain, Inc. 202 6th Street, Suite 401 viww. sec .g ov and resulted in Susquehanna/CVI pump and dump EDGAR Filin
2 mentions1 same-page
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ders Accepting Offers of Settlement - Aegis Capital Corp. Charles Smulevitz, Kevin McKenna (fmra.org) EFTA00087451 Complainant, Hearing Officer Rochelle S. Hall Department ofEnforcement, Disciplinary Proceeding ORDER ACCEPTING OFFER OF OFFICE OF HEARING OFFICERS INDUSTRY REGULATORY AUTHORITY FINANCIAL Aegis Capital C
OMMISSION WASHINGTON, D.C. 20549 DIVISION OF CORPORATION FINANCE - SEC.gov United States securities and exchange commission logo December 11, 2020 Jeffrey McGonegal Chief Executive Officer Riot Blockchain, Inc. 202 6th Street, Suite 401 sec .g ov and resulted in Susguehanna/CVI pump and dump EDGAR Filing Doc
2 mentions1 same-page
Page ?Same page
ers Accepting Offers of Settlement - Aegis Capital Corp. Charles Smulevitz, Kevin McKenna (finra.org) EFTA00065147 Complainant, Hearing Officer Rochelle S. Hall Department ofEnforcement, Disciplinary Proceeding ORDER ACCEPTING OFFER OF OFFICE OF HEARING OFFICERS INDUSTRY REGULATORY AUTHORITY FINANCIAL Aegis Capital C
OMMISSION WASHINGTON, D.C. 20549 DIVISION OF CORPORATION FINANCE - SEC.gov United States securities and exchange commission logo December 11, 2020 Jeffrey McGonegal Chief Executive Officer Riot Blockchain, Inc. 202 6th Street, Suite 401 w.sec.gov and resulted in Susquehanna/CVI pump and dump EDGAR Filing Doc
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2 mentions1 same-page
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www.finra.org Orders Accepting Offers of Settlement - Aegis Capital Corp. Charles Smulevitz Kevin McKenna (fmra.org) Complainant, Hearing Officer Rochelle S. Hall Department ofEnforcement, Disciplinary Proceeding ORDER ACCEPTING OFFER OF OFFICE OF HEARING OFFICERS INDUSTRY REGULATORY AUTHORITY FINANCIAL Aegis Capital C
OMMISSION WASHINGTON, D.C. 20549 DIVISION OF CORPORATION FINANCE - SEC.gov United States securities and exchange commission logo December 11, 2020 Jeffrey McGonegal Chief Executive Officer Riot Blockchain, Inc. 202 6th Street, Suite 401 veww. sec ov and resulted in Susquehanna/CVI pump and dump EDGAR Filing
2 mentions1 same-page
Page ?Same page
ww.finra.org Orders Accepting Offers of Settlement - Aegis Capital Corp.. Charles Smulevitz Kevin McKenna (fmra.org) Complainant, Hearing Officer Rochelle S. Hall Department ofEnforcement, Disciplinary Proceeding ORDER ACCEPTING OFFER OF OFFICE OF HEARING OFFICERS INDUSTRY REGULATORY AUTHORITY FINANCIAL Aegis Capital C
OMMISSION WASHINGTON, D.C. 20549 DIVISION OF CORPORATION FINANCE - SEC.gov United States securities and exchange commission logo December 11, 2020 Jeffrey McGonegal Chief Executive Officer Riot Blockchain, Inc. 202 6th Street, Suite 401 vo.vw. sec .g ov and resulted in Susquehanna/CVI pump and dump EDGAR Fili
2 mentions1 same-page
Page ?Same page
ww.finra.org Orders Accepting Offers of Settlement - Aegis Capital Corp.. Charles Smulevitz Kevin McKenna (fmra.org) Complainant, Hearing Officer Rochelle S. Hall Department ofEnforcement, Disciplinary Proceeding ORDER ACCEPTING OFFER OF OFFICE OF HEARING OFFICERS INDUSTRY REGULATORY AUTHORITY FINANCIAL Aegis Capital C
OMMISSION WASHINGTON, D.C. 20549 DIVISION OF CORPORATION FINANCE - SEC.gov United States securities and exchange commission logo December 11, 2020 Jeffrey McGonegal Chief Executive Officer Riot Blockchain, Inc. 202 6th Street, Suite 401 vo.vw. sec .g ov and resulted in Susquehanna/CVI pump and dump EDGAR Fili
Sponsored
2 mentions1 same-page
Page ?Same page
www.finra.org Orders Accepting Offers of Settlement - Aegis Capital Corp. Charles Smulevitz Kevin McKenna (finra.org) Complainant, Hearing Officer Rochelle S. Hall Department ofEnforcement, Disciplinary Proceeding ORDER ACCEPTING OFFER OF OFFICE OF HEARING OFFICERS INDUSTRY REGULATORY AUTHORITY FINANCIAL Aegis Capital C
OMMISSION WASHINGTON, D.C. 20549 DIVISION OF CORPORATION FINANCE - SEC.gov United States securities and exchange commission logo December 11, 2020 Jeffrey McGonegal Chief Executive Officer Riot Blockchain, Inc. 202 6th Street, Suite 401 www.sec.gov and resulted in Susquehanna/CVI pump and dump EDGAR Filing D
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Mutual Connections (120)
Entities connected to both Rochelle S. Hall Department and Jeffrey McGonegal
Donald Trump
PERSON27 w/ Rochelle·29 w/ Jeffrey
CD
Chris Dilorio
PERSON27 w/ Rochelle·29 w/ Jeffrey
Supreme Court
ORGANIZATION20 w/ Rochelle·27 w/ Jeffrey
GO
Gottschall
PERSON15 w/ Rochelle·29 w/ Jeffrey
Riot Blockchain
ORGANIZATION15 w/ Rochelle·29 w/ Jeffrey
GR
Greensill
PERSON27 w/ Rochelle·14 w/ Jeffrey
Michael Milken
PERSON27 w/ Rochelle·14 w/ Jeffrey
Credit Suisse
ORGANIZATION27 w/ Rochelle·14 w/ Jeffrey
McKenna
PERSON27 w/ Rochelle·13 w/ Jeffrey
SA
Sater
PERSON27 w/ Rochelle·13 w/ Jeffrey
MW
Martin Weinberg
PERSON27 w/ Rochelle·13 w/ Jeffrey
EN
Engelmayer
PERSON11 w/ Rochelle·29 w/ Jeffrey
Wilbur Ross
PERSON13 w/ Rochelle·27 w/ Jeffrey
Hoboken
LOCATION27 w/ Rochelle·13 w/ Jeffrey
AR
Archegos
PERSON27 w/ Rochelle·13 w/ Jeffrey
MV
Minervini Vandermark
PERSON27 w/ Rochelle·13 w/ Jeffrey
Stetson
ORGANIZATION27 w/ Rochelle·13 w/ Jeffrey
Newark
LOCATION27 w/ Rochelle·13 w/ Jeffrey
Hwang
PERSON27 w/ Rochelle·13 w/ Jeffrey
SciSparc
ORGANIZATION27 w/ Rochelle·13 w/ Jeffrey