2021-04-07 March 2021 51 34-91434 https://www.sec.gov/litigation/opinions/2021/34-91434.pdf 2021-03-29 Blair Edwards Olsen Olsen, Blair Edwards Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 34-91444 https://www.sec.gov/litigation/opinions/2021/34-91444.pdf 2021-03-30 Louis Ottimo Ottimo, Louis Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 34-91380 https://www.sec.gov/litigation/opinions/2021/34-91380.pdf 2021-03-22 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Presidion Corporation Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 34-91382 https://www.sec.gov/litigation/opinions/2021/34-91382.pdf 2021-03-22 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Tandy Brands Accessories, Inc. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 34-91392 https://www.sec.gov/litigation/admin/2021/34-91392.pdf 2021-03-23 1 Global Capital, LLC White, Andrew L. Lee Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Crenshaw Approved 34-91393 https://www.sec.gov/litigation/opinions/2021/34-91393.pdf 2021-03-23 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Hawk Street Acquisition Corp. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 34-91395 https://www.sec.gov/litigation/opinions/2021/34-91395.pdf 2021-03-23 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing EMTA Corp. a/k/a Wiltex A Lee Approved Peirce Approved Roisman Approved Crenshaw Approved Fuzzy Logic Software Corp. a/k/a China Global Solar Corporation Limited Lee Approved Peirce Approved Roisman Approved Crenshaw Approved Granite Futures Fund Limited Partnership Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 34-91396 https://www.sec.gov/litigation/suspensions/2021/34-91396.pdf Order 2021-03-23 Kallo, Inc. Kallo, Inc. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 33-10937 https://www.sec.gov/litigation/admin/2021/33-10937.pdf 2021-03-24 Foundry Capital Group LLC Marchand, Troy E. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 34-91397 https://www.sec.gov/rules/other/2021/34-91397.pdf 2021-03-24 Motion for Stay of December 9, 2020 Market Data Infrastructure Rule, Release No. 34-90610, pending resolution of: petitions for review challenging the Order Directing the Exchanges and FINRA to Submit a New NMS Plan Regarding Consolidated Equity Market Data, Release No. 34-88827 (May 6, 2020) and Commission approval of the New Consolidated Data Plan filed in response to the NMS Governance Order Order Denying Motion to Stay the Effect of the Market Data Infrastructure Rule Lee Approved Peirce Not Approved Roisman Approved Crenshaw Approved 34-91401 https://www.sec.gov/litigation/admin/2021/34-91401.pdf 2021-03-24 Foundry Capital Group LLC Wolfrum, Scott T. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 34-91402 https://www.sec.gov/litigation/opinions/2021/34-91402.pdf 2021-03-24 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Ezagoo, Inc. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 34-91403 https://www.sec.gov/litigation/opinions/2021/34-91403.pdf 2021-03-24 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing R-Tec Holding, Inc. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved RTR, Inc. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved SCAPPLE, Inc. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 34-91404 https://www.sec.gov/litigation/admin/2021/34-91404.pdf 2021-03-24 1 Global Capital, LLC Dantin, Chris A. Lee Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Crenshaw Approved 34-91405 https://www.sec.gov/litigation/admin/2021/34-91405.pdf 2021-03-24 1 Global Capital, LLC Dantin, Christopher D. Lee Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Crenshaw Approved IA-5707 https://www.sec.gov/litigation/admin/2021/ia-5707.pdf 2021-03-24 Foundry Capital Group LLC Sadek, Tyler C. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 34-91410 https://www.sec.gov/litigation/opinions/2021/34-91410.pdf 2021-03-25 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Tryon Alpha, Inc. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved Tundra Resources, Inc. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 34-91411 https://www.sec.gov/litigation/opinions/2021/34-91411.pdf 2021-03-25 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing 1701 Productions, Inc. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved SIPA-184 https://www.sec.gov/rules/other/2021/sipa-184.pdf 2021-03-25 Securities Investor Protection Corporation standard maximum cash advance amount Securities Investor Protection Corporation; Order Approving the Determination of the Board of Directors of the Securities Investor Protection Corporation not to Adjust for Inflation the Standard Maximum Cash Advance Amount and Notice of the Standard Maximum Cash Advance Amount Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 34-91422 https://www.sec.gov/litigation/opinions/2021/34-91422.pdf 2021-03-26 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Changing Technologies, Inc. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 34-91424 https://www.sec.gov/litigation/opinions/2021/34-91424.pdf 2021-03-26 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing China Gerui Advanced Materials Group Limited Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 33-10932 https://www.sec.gov/litigation/admin/2021/33-10932.pdf 2021-03-15 Ettro Capital Management Ettro Capital Management Corp. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved Ettro, Peter Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 34-91320 https://www.sec.gov/litigation/opinions/2021/34-91320.pdf 2021-03-15 ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 34-91321 https://www.sec.gov/litigation/opinions/2021/34-91321.pdf 2021-03-15 Scottsdale Capital Advisors Corporation, et al. Scottsdale Capital Advisors Corporation Lee Approved Peirce Approved Roisman Approved Crenshaw Approved Hurry, John J. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved DiBlasi, Timothy B. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved Cruz, D. Michael Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 34-91327 https://www.sec.gov/litigation/opinions/2021/34-91327.pdf 2021-03-15 Dougherty’s Pharmacy, Inc. Dougherty's Pharmacy, Inc. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 34-91328 https://www.sec.gov/litigation/opinions/2021/34-91328.pdf 2021-03-15 KJM Securities Inc. KJM Securities, Inc. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 34-91331 https://www.sec.gov/rules/other/2021/34-91331.pdf 2021-03-16 Notice of application filed by ICE Trade Vault, LLC on Form SDR to register as a security-based swap data repository and as a securities information processor ICE Trade Vault, LLC; Notice of Filing of Application for Registration as a Security-Based Swap Data Repository Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 34-91337 https://www.sec.gov/litigation/admin/2021/34-91337.pdf 2021-03-16 Och-Ziff Capital Management, LLC Frank, Joel M. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 33-10934 https://www.sec.gov/rules/other/2021/33-10934.pdf 2021-03-17 Publication of the Commission’s Regulatory Flexibility Act Rule Review List List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act Roisman Approved Peirce Approved Lee Approved Crenshaw Approved 33-10935 https://www.sec.gov/rules/final/2021/33-10935.pdf 2021-03-18 Revisions to the Electronic Data Gathering, Analysis, and Retrieval system Filer Manual, the application for EDGAR access, and related rules Adoption of Updated EDGAR Filer Manual, Form ID Amendments Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 34-91346 https://www.sec.gov/litigation/admin/2021/34-91346.pdf 2021-03-18 Invexperts, LLC Ramos, Ivan Clayton Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Lee Approved Crenshaw Approved 34-91364 2021-03-18 Holding Foreign Companies Accountable Act Holding Foreign Companies Accountable Act Disclosure Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 34-91375 https://www.sec.gov/litigation/opinions/2021/34-91375.pdf 2021-03-19 Trevor Michael Saliba and Arthur Mansourian Saliba, Trevor Michael Lee Approved Peirce Approved Roisman Approved Crenshaw Approved Mansourian, Arthur Lee Approved Peirce Approved Roisman Approved Crenshaw Approved IA-5699 https://www.sec.gov/litigation/opinions/2021/ia-5699.pdf 2021-03-19 The Robare Group, et al. The Robare Group, Ltd. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved Robare, Mark L. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved Jones,Jack L., Jr. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 34-91296 https://www.sec.gov/litigation/suspensions/2021/34-91296.pdf Order 2021-03-10 Certain OTC Issuers Being Promoted on Twitter 1pm Industries, Inc. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved Arista Financial Corp. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved Biomagnetics Diagnostics Corp. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved Deep Blue Marine, Inc. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved Texhoma Energy, Inc. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 34-91301 https://www.sec.gov/litigation/opinions/2021/34-91301.pdf 2021-03-11 Salvadore D. Palermo Palermo, Salvadore D. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 34-91304 https://www.sec.gov/litigation/admin/2021/34-91304.pdf 2021-03-11 Wiser Investments, Inc. Stewart, Glen A. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 34-91306 https://www.sec.gov/litigation/suspensions/2021/34-91306.pdf Order 2021-03-11 Bayport International Holdings, Inc. Bayport International Holdings, Inc. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 34-91316 https://www.sec.gov/litigation/suspensions/2021/34-91316.pdf Order 2021-03-12 That Marketing Solution, Inc. That Marketing Solution, Inc. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 34-91317 https://www.sec.gov/litigation/opinions/2021/34-91317.pdf 2021-03-12 Cantone Research Inc., et al. Cantone Research Inc. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved Cantone, Anthony Lee Approved Peirce Approved Roisman Approved Crenshaw Approved Cantone, Christine Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 34-91229 https://www.sec.gov/litigation/opinions/2021/34-91229.pdf 2021-03-01 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Green Ballast, Inc. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 34-91230 https://www.sec.gov/litigation/opinions/2021/34-91230.pdf 2021-03-01 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing FlikMedia, Inc. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 34-91243 https://www.sec.gov/litigation/admin/2021/34-91243.pdf 2021-03-02 State Street Corporation McLellan, Ross Clayton Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Lee Approved Crenshaw Approved 34-91245 https://www.sec.gov/litigation/suspensions/2021/34-91245.pdf Order 2021-03-02 Arcis Resources Corp. Arcis Resources Corporation Lee Approved Peirce Approved Roisman Approved Crenshaw Approved IA-5694 https://www.sec.gov/litigation/admin/2021/ia-5694.pdf 2021-03-02 Gregory Moats Sampson Moats Sampson,Gregory Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 34-91251 https://www.sec.gov/litigation/opinions/2021/34-91251.pdf 2021-03-03 Alpine Securities Corporation Alpine Securities Corporation Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 34-91255 https://www.sec.gov/litigation/admin/2021/34-91255.pdf 2021-03-04 Gray Financial Group, Inc., et al. Gray Financial Group, Inc. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved Gray, Laurence O. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved Hubbard, Robert C., IV Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 34-91267 https://www.sec.gov/litigation/opinions/2021/34-91267.pdf 2021-03-05 Trevor Michael Saliba and Arthur Mansourian Saliba, Trevor Michael Lee Approved Peirce Approved Roisman Approved Crenshaw Approved Mansourian, Arthur Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 34-91268 https://www.sec.gov/litigation/opinions/2021/34-91268.pdf 2021-03-05 David B. Tysk Tysk, David B. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 34-91274 https://www.sec.gov/litigation/suspensions/2021/34-91274.pdf Order 2021-03-05 Certain Non-Current Microcap Securities II Terminus Energy, Inc. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved IA-5695 https://www.sec.gov/litigation/opinions/2021/ia-5695.pdf 2021-03-05 The Robare Group, et. al. The Robare Group, Ltd. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved Robare, Mark L. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved Jones, Jack L., Jr. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved