Final Commission Votes for Agency Proceedings
February 2020
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: 45
| Release Date | Release No. | Matter | Commissioner | Vote | Comment |
|---|---|---|---|---|---|
| 04-Feb-20 | 34-88116 | Drake, Gregory Lamont | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| 04-Feb-20 | 34-88117 | St. Amour, Jason David | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| 04-Feb-20 | IA-5441 | Cannell Capital, LLC | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved with Exception | Approved except as to the penalty | |||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| 05-Feb-20 | 34-88119 | Caplan, Gordon, Esq. | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Not Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| 05-Feb-20 | 34-88120 | The Options Clearing Corporation; Notice of Filing of Advance Notice Concerning a Master Repurchase Agreement as Part of OCC's Overall Liquidity Plan | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| 05-Feb-20 | 34-88121 | Story, Glenn Joseph | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| 05-Feb-20 | 34-88122 | Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan to Address Extraordinary Market Volatility to Add the Long-Term Stock Exchange LLC as a Participant | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| 05-Feb-20 | 34-88123 | Wolfson, David Alan | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| 05-Feb-20 | 34-88124 | Vungarala, Gopi Krishna | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| 06-Feb-20 | 33-10753 | Order Regarding Review of FASB Accounting Support Fee for 2020 Under Section 109 of the Sarbanes-Oxley Act of 2002 | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| 06-Feb-20 | 34-88139 | ABN AMRO Clearing Chicago LLC | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| 06-Feb-20 | 34-88140 | LBB & Associates Ltd., LLP | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| Lopez, Carlos, CPA | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| 06-Feb-20 | IA-5442 | Kelter, Jay Costa | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| 07-Feb-20 | 34-88142 | Aethlon Medical, Inc. | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Not Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| 07-Feb-20 | 34-88144 | Cornide, Leonardo | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| Falcon, Jorge | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| 07-Feb-20 | 34-88146 | National Securities Clearing Corporation; Notice of No Objection to Advance Notice to Issue Term Debt as Part of its Liquidity Risk Management Framework | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| 07-Feb-20 | 34-88147 | Commonwealth Capital Securities Corp. | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| 07-Feb-20 | 34-88150 | Brooks, Thomas Troy | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| 07-Feb-20 | 34-88155 | Goulding, Randall, Esq. | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| 07-Feb-20 | 34-88156 | Springsteen-Abbott,Kimberly | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| 12-Feb-20 | 34-88183 | Equality Investments, Inc. | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| Freedom Financial Corporation | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| Mustang Resources Inc. | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| 12-Feb-20 | 34-88184 | NECO Energy Corporation | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| Neighborhood Investment, Ltd. | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| New Dawn Entertainment Inc. | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| 12-Feb-20 | 34-88185 | Enhanced Services Company, Inc. | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| Ingenex, Inc. | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| 12-Feb-20 | 34-88187 | Knowledgebroker, Inc. | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| Millers American Group, Inc. (A/K/A Millers Mutual Fire Insurance Co.) | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| Omega Orthodontics, Inc. | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| 12-Feb-20 | 34-88188 | Celexus, Inc. | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| 13-Feb-20 | 34-88192 | Kinchloe, Martin J. | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| 13-Feb-20 | 34-88193 | Armco Metals Holdings, Inc. | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| Global Future City Holding, Inc. | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| TraceGuard Technologies, Inc. | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| 13-Feb-20 | 34-88196 | Biolog, Inc. | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| China Gewang Biotechnology, Inc. | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| 13-Feb-20 | 34-88201 | Capital Trust Holdings, Inc. | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| Florida Gaming Corporation | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| Go Public, Inc. | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| 13-Feb-20 | 34-88202 | BPU Investment Management, Inc. | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Not Approved | ||||
| Roisman | Approved with Exception | Approved except as to the Advisers Act Section 206(2) charges | |||
| Lee | Approved | ||||
| 13-Feb-20 | 34-88203 | Biscayne Acquisition Group, Inc. | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| Teleplus World, Corp. | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| 13-Feb-20 | 34-88205 | Celello, Marc A., Esq. | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| 14-Feb-20 | 34-88214 | Financial Industry Regulatory Authority, Inc.; Order Granting Petition for Review and Scheduling Filing of Statements | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| 14-Feb-20 | 34-88216 | Market Data Infrastructure | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| 14-Feb-20 | 34-88223 | National Stock Exchange | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| 18-Feb-20 | 34-88226 | American Smooth Wave Ventures, Inc. | Clayton | Not Participating | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| 18-Feb-20 | 34-88228 | Diversified Corporate Resources, Inc. | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| NetWolves Corporation | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| Samdrew VIII, Inc. | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| 19-Feb-20 | 33-10756 | DIAGEO plc | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved with Exception | Approved except as to the penalty | |||
| Roisman | Approved with Exception | Approved except as to the penalty | |||
| Lee | Approved | ||||
| 19-Feb-20 | 33-10757 | Amendments to Delegations of Authority to the General Counsel | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| 19-Feb-20 | 34-88244 | Newport Coast Securities, Inc. | Clayton | Approved | |
| Jackson | Not Participating | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| 19-Feb-20 | IC-33801 | Blackstone Alternative Investment Funds | Clayton | Approved | |
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| Blackstone Alternative Investment Advisors LLC | Clayton | Approved | |||
| Jackson | Approved | ||||
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| 21-Feb-20 | 33-10758 | Wells Fargo & Company | Clayton | Approved | |
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| 21-Feb-20 | 34-88257 | Wells Fargo & Company | Clayton | Approved | |
| Peirce | Approved with Exception | Approved except as to the penalty | |||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| 21-Feb-20 | 34-88258 | Rubin,Richard Jeffrey | Clayton | Approved | |
| Peirce | Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved | ||||
| 26-Feb-20 | 34-88284 | NYSE Arca, Inc.; Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, to Amend NYSE Arca Rule 8.201-E | Clayton | Approved | |
| Peirce | Not Approved | ||||
| Roisman | Approved | ||||
| Lee | Approved |