Final Commission Votes for Agency Proceedings
April 2019
Below are links to each decision, order, rule or similar action of the Commission and the final votes of the Commissioners in each instance. These records are maintained pursuant to the Freedom of Information Act (5 U.S.C. § 552(a)(5)) whereby "[e]ach agency having more than one member shall maintain and make available for public inspection a record of the final votes of each member in every agency proceeding."
Number of Releases: 53
| Release Date | Release No. | Matter | Commissioner | Vote | Comment |
|---|---|---|---|---|---|
| 01-Apr-19 | 33-10624 | Mutual Coin Fund LLC | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Majeed ,Usman | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 01-Apr-19 | 33-10625 | Zaki,Omar | Clayton | Approved | |
| Jackson | Not Participating | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 01-Apr-19 | 34-85478 | Wolf,Jennifer F. CPA | Clayton | Approved | |
| Stein | Approved | ||||
| Piwowar | Approved | ||||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| 02-Apr-19 | 33-10626 | Starkey,Chad Esq. | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 02-Apr-19 | 34-85483 | Brooks,Kevin E. CPA | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 02-Apr-19 | 34-85487 | Lightstone Technologies, Inc. | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Madison & 51st, Inc. | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Three Shades for Everybody, Inc. | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 02-Apr-19 | 34-85489 | Forum Acquisitions I, Inc. | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Forum Acquisitions II, Inc. | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| One XL Corp. | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Sea Valley Acquisition Corporation | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 03-Apr-19 | 34-85496 | Kita,Evan R. CPA | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 04-Apr-19 | 34-85508 | IDO Security, Inc. | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Redify Group, Inc. | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Spartan Gold Ltd. | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 04-Apr-19 | 34-85510 | Equilar Capital Corp. | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Neuro-Biotech Corporation | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 04-Apr-19 | 34-85514 | Genzone,Joseph Mario | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 04-Apr-19 | 34-85516 | Berry,Lisa C. Esq. | Clayton | Approved | |
| Jackson | Not Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 04-Apr-19 | 34-85520 | Amonra Omnia, Inc. f/k/a Acclerated Acquisitions XIX, Inc. | Clayton | Approved | |
| Clayton | Approved | ||||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Futon World, Inc. | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Innovative Card Technologies, Inc. | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Shire Warwick Lewis Holdings, Inc. f/k/a DE Acquisition 4, Inc. | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 05-Apr-19 | 34-85518 | KLJ & Associates, LLP | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Jensen,Kent L. CPA | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Burgmeier,Ronald A. CPA | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 05-Apr-19 | 34-85524 | Cahoon,Alonzo R. | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 05-Apr-19 | 34-85525 | Yang,Tai-cheng | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 05-Apr-19 | 34-85528 | Apex Fund Services (US), Inc. | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 05-Apr-19 | 34-85530 | Logitech International, S.A. | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Doktorczyk,Michael | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Bolles,Sherralyn CPA | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 05-Apr-19 | 34-85536 | Fretz,William B. Jr. | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Freeman,John P. | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Covenant Capital Management Partners, L.P. | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Covenant Partners, L.P. | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 08-Apr-19 | 34-85555 | Merrimac Corporation Securities, Inc. | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Nash, Robert G. | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 08-Apr-19 | IC-33440 | Precidian ETFs Trust | Clayton | Approved | |
| Jackson | Not Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Precidian ETF Trust II | Clayton | Approved | |||
| Jackson | Not Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Precidian Funds LLC | Clayton | Approved | |||
| Jackson | Not Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Foreside Fund Services, LLC | Clayton | Approved | |||
| Jackson | Not Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 09-Apr-19 | 34-85558 | McKillop, James K. | Clayton | Approved | |
| Jackson | Not Participating | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 09-Apr-19 | 34-85574 | Rasch, Albert J., Jr., Esq. | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 09-Apr-19 | 34-85575 | Lapine, Jay, Esq. | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 10-Apr-19 | 33-10627 | Derbyshire, Adam C. | Clayton | Approved | |
| Stein | Approved except as to the time-limited officer and director, and 102(e) bars. | Disapproved as to the time-limited officer and director, and 102(e) bars. | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 10-Apr-19 | 34-85581 | Stancik,Martin R. | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 10-Apr-19 | 34-85583 | Schneider, James M., Esq. | Clayton | Approved | |
| Stein | Approved | ||||
| Piwowar | Approved | ||||
| 11-Apr-19 | 34-85602 | Meyers Associates, L.P. | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 11-Apr-19 | 34-85607 | Wagers, Jeremy S., Esq. | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 11-Apr-19 | 34-85611 | NYSE Chicago, Inc. | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 11-Apr-19 | 34-85615 | USA Synthetic Fuel Corp. | Clayton | Approved | |
| Stein | Approved | ||||
| Piwowar | Approved | ||||
| 11-Apr-19 | 34-85618 | Clear Scope Advisors, Inc. | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 11-Apr-19 | 34-85630 | Bruton, Karen | Clayton | Approved | |
| Stein | Approved | ||||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Hope Advisors, LLC | Clayton | Approved | |||
| Stein | Approved | ||||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 12-Apr-19 | 34-85633 | Bae, Stanley S. | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved with Exception | Approved except as to the violations related to the Investment Advisers Act of 1940. | |||
| Roisman | Approved | ||||
| 12-Apr-19 | 34-85638 | Saad, John M. E. | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 12-Apr-19 | 34-85640 | Reinhart, Cynthia C., CPA | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 16-Apr-19 | IC-33448 | Wells Fargo Bank, N.A. | Clayton | Not Participating | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Galliard Capital Management, Inc. | Clayton | Not Participating | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Global Alternative Investment Services, Inc. | Clayton | Not Participating | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Wells Capital Management Incorporated | Clayton | Not Participating | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Wells Fargo Asset Management (International) Limited | Clayton | Not Participating | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Wells Fargo Asset Management (International), LLC | Clayton | Not Participating | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Wells Fargo Funds Distributor, LLC | Clayton | Not Participating | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Wells Fargo Funds Management, LLC | Clayton | Not Participating | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Wells Fargo Investment Institute, Inc. | Clayton | Not Participating | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Wells Fargo Securities, LLC | Clayton | Not Participating | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 17-Apr-19 | 33-10629 | Starkot Corp. | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 17-Apr-19 | 34-85670 | The Options Clearing Corporation | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 17-Apr-19 | 34-85682 | Cboe BZX Exchange, Inc. | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 19-Apr-19 | 33-10630 | Prosper Funding LLC | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 19-Apr-19 | 33-10631 | Yi Xi Xin Inc. | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 19-Apr-19 | 34-85694 | Tabb, Harvey Paul | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 22-Apr-19 | 33-10632 | Zaidman, Dov, CPA | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| ZBS Group LLP | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 22-Apr-19 | 34-85703 | Martin,David M. CPA | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 23-Apr-19 | 34-85709 | Cronin,Michael F. CPA | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 23-Apr-19 | IA-5226 | Charter Capital Management, LLC | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Bruce,Steven Morris | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 24-Apr-19 | 34-85714 | Disclosure of Order Handling Information; Final rule; extension of compliance date for certain requirements | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 25-Apr-19 | 33-10633 | Deutsche Bank Trust Company Americas | Clayton | Not Participating | |
| Jackson | Approved | ||||
| Peirce | Not Approved | ||||
| Roisman | Approved | ||||
| 25-Apr-19 | 34-85717 | Amundsen,Joseph S. CPA | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Remus, Michael T., CPA | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Michael Remus CPA | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 29-Apr-19 | 34-85739 | Bitcoin Generation, Inc. | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 29-Apr-19 | 34-85747 | Meyers Associates, L.P. n/k/a Windsor Street Capital, L.P. | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Meyers, Bruce | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| 30-Apr-19 | 34-85753 | Ominto, Inc. | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved |