Final Commission Votes for Agency Proceedings

April 2021

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: 54

Release Date Release No. Matter Commissioner Vote Comment
02-Apr-21 34-91462 Metatron, Inc. Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
02-Apr-21 34-91472 Saliba, Trevor Michael Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
    Mansourian, Arthur Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
02-Apr-21 IA-5711 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
05-Apr-21 34-91476 United Kingdom Financial Conduct Authority; Notice of Substituted Compliance Application Submitted by the United Kingdom Financial Conduct Authority in Connection with Certain Requirements Applicable to Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the United Kingdom; Proposed Order Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
05-Apr-21 34-91477 Autorité des Marchés Financiers; Reopening of Comment Period for Order Proposing Conditional Substituted Compliance in Connection with Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the French Republic Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
07-Apr-21 34-91491 The Options Clearing Corporation; Notice of No Objection to Advance Notice relating to OCC’s Establishment of Persistent Minimum Skin-In-The-Game Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
07-Apr-21 34-91501 Cboe BZX Exchange, Inc.; Order Scheduling Filing of Statements on Review Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
07-Apr-21 34-91502 Cboe BZX Exchange, Inc.; Order Scheduling Filing of Statements on Review Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
08-Apr-21 34-91511 van Arem, John Alexander Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
09-Apr-21 34-91522 Paragon Coin, Inc. Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
09-Apr-21 34-91527 Saliba, Trevor Michael Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
    Mansourian, Arthur Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
12-Apr-21 34-91531 Bryant, Marc Jay (a/k/a Marc Jay Welch) Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
12-Apr-21 34-91532 ABN AMRO Clearing Chicago LLC Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
12-Apr-21 34-91533 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
12-Apr-21 34-91534 Tweed, Robert R. Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
12-Apr-21 34-91536 Fronckiewicz, Craig R., CPA Clayton Approved
      Peirce Approved
      Roisman Approved
      Lee Approved
      Crenshaw Approved
13-Apr-21 34-91543 Franklin Scientific, Inc. Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
    Goodwell Inc. Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
13-Apr-21 34-91544 Danka Business Systems PLC Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
13-Apr-21 34-91545 Bluefire Renewables, Inc. Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
    Canadian Cannabis Corp. Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
14-Apr-21 34-91557 CannaSys, Inc. Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
    China Modern Agricultural Information, Inc. Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
    Cinderella Target Value Zones Inc. (f/k/a China Travel Resort Holdings, Inc.) Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
14-Apr-21 34-91562 GroGenesis, Inc. Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
    Golden Gate Partners, Inc. Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
14-Apr-21 34-91565 Medical Innovation Holdings, Inc. Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
14-Apr-21 34-91566 Equitec Proprietary Markets, LLC Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
14-Apr-21 IA-5718 Saving2Retire, LLC Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
    Young, Marian P. Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
15-Apr-21 34-91573 Mongolia Holdings, Inc. Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
    MyGo Games Holding Co. Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
15-Apr-21 34-91578 MediaWorx, Inc. Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
    Perrin Partners, Inc. Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
15-Apr-21 IA-5719 Mason Investment Advisory Services, Inc. Lee Approved
      Peirce Not Approved
      Roisman Approved
      Crenshaw Approved
16-Apr-21 34-91591 Hibbard, Christopher Lee Lee Approved
      Peirce Approved with Exception Approved except as to the penny stock bar
      Roisman Approved
      Crenshaw Approved
16-Apr-21 34-91603 Reopening of Comment Period for Universal Proxy Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
16-Apr-21 34-91604 Electric Car Company, Inc. Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
16-Apr-21 34-91607 Immune Pharmaceuticals Inc. Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
16-Apr-21 IA-5720 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
19-Apr-21 34-91608 Sharbat, Shlomo Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
19-Apr-21 34-91613 Westenbarger, Jaime M. Lee Approved
      Peirce Approved with Exception Approved except as to the penny stock bar
      Roisman Approved
      Crenshaw Approved
19-Apr-21 IA-5723 Silver, Martin, CPA Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
19-Apr-21 IA-5724 Mustaphalli, Dean Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
20-Apr-21 34-91616 Green Parts International, Inc. Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
    Integrated Environmental Technologies, Ltd. Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
    Urban Barns Foods, Inc. Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
21-Apr-21 33-10939 Winkelmann, James A., Sr. Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
    Blue Ocean Portfolios LLC Lee Approved
      Peirce Approved
      Roisman Approved
      Crenshaw Approved
22-Apr-21 34-91628 Tandon, Amit Lee Approved
      Peirce Not Approved
      Roisman Approved
      Crenshaw Approved
23-Apr-21 34-91648 The Pulse Network, Inc. Gensler Approved
      Peirce Approved
      Roisman Approved
      Lee Approved
      Crenshaw Approved
26-Apr-21 34-91678 Reifler, Bradley C. Gensler Approved
      Peirce Approved
      Roisman Approved
      Lee Approved
      Crenshaw Approved
26-Apr-21 34-91679 Beyn, Edward Gensler Approved
      Peirce Approved
      Roisman Approved
      Lee Approved
      Crenshaw Approved
    Taddonio, Craig S. Gensler Approved
      Peirce Approved
      Roisman Approved
      Lee Approved
      Crenshaw Approved
26-Apr-21 34-91680 ABN AMRO Clearing Chicago LLC Gensler Approved
      Peirce Approved
      Roisman Approved
      Lee Approved
      Crenshaw Approved
29-Apr-21 34-91715 Fortem Resources, Inc. Gensler Approved
      Peirce Approved with Exception Approved except as to the penalty
      Roisman Approved
      Lee Approved
      Crenshaw Approved
29-Apr-21 34-91716 TruTankless, Inc. Gensler Approved
      Peirce Approved with Exception Approved except as to the penalty
      Roisman Approved
      Lee Approved
      Crenshaw Approved
29-Apr-21 34-91717 ShiftPixy, Inc. Gensler Approved
      Peirce Approved with Exception Approved except as to the penalty
      Roisman Approved
      Lee Approved
      Crenshaw Approved
29-Apr-21 34-91718 Asta Funding, Inc. Gensler Approved
      Peirce Approved with Exception Approved except as to the penalty
      Roisman Approved
      Lee Approved
      Crenshaw Approved
29-Apr-21 34-91719 Igen Networks Corp. Gensler Approved
      Peirce Approved with Exception Approved except as to the penalty
      Roisman Approved
      Lee Approved
      Crenshaw Approved
29-Apr-21 34-91720 National Securities Clearing Corporation; Notice of Filing of and No Objection to Advance Notice Regarding the Renewal of a 364-day Committed Revolving Line-of-Credit and Future Annual Renewals Gensler Approved
      Peirce Approved
      Roisman Approved
      Lee Approved
      Crenshaw Approved
29-Apr-21 34-91721 Rokk3r, Inc. Gensler Approved
      Peirce Approved with Exception Approved except as to the penalty
      Roisman Approved
      Lee Approved
      Crenshaw Approved
29-Apr-21 34-91722 Daniels Corporate Advisory Company, Inc. Gensler Approved
      Peirce Approved with Exception Approved except as to the penalty
      Roisman Approved
      Lee Approved
      Crenshaw Approved
29-Apr-21 34-91723 HQDA Elderly Life Network, Inc. Gensler Approved
      Peirce Approved with Exception Approved except as to the penalty
      Roisman Approved
      Lee Approved
      Crenshaw Approved
29-Apr-21 34-91726 Photozou Holdings, Inc. Gensler Approved
      Peirce Approved
      Roisman Approved
      Lee Approved
      Crenshaw Approved
30-Apr-21 IA-5728 Moskowitz,Mark J. Gensler Approved
      Peirce Approved
      Roisman Approved
      Lee Approved
      Crenshaw Approved