2021-07-07 June 2021 69 34-92273 https://www.sec.gov/litigation/admin/2021/34-92273.pdf 2021-06-28 The Legacy Group, Inc. Trout, Andrea S. Gensler Approved Peirce Not Approved Roisman Approved Lee Approved Crenshaw Approved 34-92281 https://www.sec.gov/litigation/opinions/2021/34-92281.pdf 2021-06-28 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Sky Resort International Ltd. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Median Group, Inc. (f/k/a China Media Group Corporation) Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92282 https://www.sec.gov/litigation/opinions/2021/34-92282.pdf 2021-06-28 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Synthonics Technologies, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92283 https://www.sec.gov/litigation/opinions/2021/34-92283.pdf 2021-06-28 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Wonhe High-Tech International, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92284 https://www.sec.gov/litigation/opinions/2021/34-92284.pdf 2021-06-28 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing World Moto, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 33-10952 https://www.sec.gov/litigation/admin/2021/33-10952.pdf 2021-06-29 Princeton Alternative Funding Davner, Howard Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92285 https://www.sec.gov/litigation/admin/2021/34-92285.pdf 2021-06-29 Certain Order Management Systems Neovest, Inc. Gensler Approved Peirce Not Approved Roisman Approved Lee Approved Crenshaw Approved 34-92287 https://www.sec.gov/litigation/opinions/2021/34-92287.pdf 2021-06-29 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Trans-Pacific Aerospace Company, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92288 https://www.sec.gov/litigation/opinions/2021/34-92288.pdf 2021-06-29 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing All Marketing Solutions, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92289 https://www.sec.gov/litigation/opinions/2021/34-92289.pdf 2021-06-29 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Billion Holding Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92290 https://www.sec.gov/litigation/opinions/2021/34-92290.pdf 2021-06-29 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Celebiddy, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92292 https://www.sec.gov/litigation/admin/2021/34-92292.pdf 2021-06-29 Potential Misconduct Relating to Disbarred Attorney Gewerter, Harold P., Esq. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92293 https://www.sec.gov/litigation/admin/2021/34-92293.pdf 2021-06-29 Potential Misconduct Relating to Disbarred Attorney Dowling, Elaine A., Esq. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 33-10953 https://www.sec.gov/litigation/admin/2021/33-10953.pdf 2021-06-30 Goldman Small Cap Research Goldman, Reuben Robert Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Two Triangle Consulting Group, LLC d/b/a Goldman Small Cap Research Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92297 https://www.sec.gov/litigation/opinions/2021/34-92297.pdf 2021-06-30 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Seen On Screen TV, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92298 https://www.sec.gov/litigation/opinions/2021/34-92298.pdf 2021-06-30 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Conversion Services International, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Chester County Bancshares, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92299 https://www.sec.gov/litigation/opinions/2021/34-92299.pdf 2021-06-30 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Randolph Acquisitions, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92305 https://www.sec.gov/litigation/admin/2021/34-92305.pdf 2021-06-30 Everyday Health, Inc. Gad, Mounir N. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92306 https://www.sec.gov/litigation/admin/2021/34-92306.pdf 2021-06-30 Everyday Health, Inc. Guido, Nathan E. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved IA-5762 https://www.sec.gov/litigation/admin/2021/ia-5762.pdf 2021-06-30 Executive Compensation Planners, Inc. Securities America Advisors, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 33-10948 https://www.sec.gov/rules/final/2021/33-10948.pdf 2021-06-21 Revisions to the Electronic Data Gathering, Analysis, and Retrieval system Filer Manual Adoption of Updated EDGAR Filer Manual Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 33-10949 https://www.sec.gov/litigation/opinions/2021/33-10949.pdf 2021-06-21 James A. Winkelmann, Sr. and Blue Ocean Portfolios Winkelmann, James A. Sr. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Blue Ocean Portfolios LLC Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 33-10950 https://www.sec.gov/litigation/admin/2021/33-10950.pdf 2021-06-22 Loci, Inc. Loci, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Wise, John Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92228 https://www.sec.gov/litigation/opinions/2021/34-92228.pdf 2021-06-22 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing American Realty Funds Corporation Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92232 https://www.sec.gov/litigation/suspensions/2021/34-92232.pdf Order 2021-06-22 Mansfield-Martin Exploration & Mining, Inc. & Certain Other Microcap Issuers Enerkon Solar International, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92235 https://www.sec.gov/litigation/opinions/2021/34-92235.pdf 2021-06-22 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Cyclone Power Technologies, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92236 https://www.sec.gov/litigation/opinions/2021/34-92236.pdf 2021-06-22 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Cür Media, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92237 https://www.sec.gov/litigation/admin/2021/34-92237.pdf 2021-06-23 Guggenheim Securities, LLC Guggenheim Securities, LLC Gensler Approved Peirce Not Approved Roisman Approved Lee Approved Crenshaw Approved 34-92241 https://www.sec.gov/litigation/opinions/2021/34-92241.pdf 2021-06-23 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Eos Petro, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved eFleets Corporation Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92244 https://www.sec.gov/litigation/opinions/2021/34-92244.pdf 2021-06-23 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Gilla, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Evergreen-Agra Global Investments, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92245 https://www.sec.gov/litigation/opinions/2021/34-92245.pdf 2021-06-23 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Capital Access Point 1, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92246 https://www.sec.gov/litigation/opinions/2021/34-92246.pdf 2021-06-23 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Hidden Forest Acquisition Corp. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Global 2.0 Corporation Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 33-10951 https://www.sec.gov/litigation/admin/2021/33-10951.pdf 2021-06-24 TCF Financial Corp. Gateway One Lending & Finance, LLC Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92258 https://www.sec.gov/litigation/admin/2021/34-92258.pdf 2021-06-24 Crown Capital Securities, L.P. Crown Capital Securities, L.P. Gensler Approved Peirce Approved with Exception Approved except as to the penalty Roisman Approved Lee Approved Crenshaw Approved IA-5759 https://www.sec.gov/litigation/opinions/2021/ia-5759.pdf 2021-06-24 Oscar Ferrer Rivera Rivera, Oscar Ferrer Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92259 https://www.sec.gov/litigation/admin/2021/34-92259.pdf 2021-06-25 Amec Foster Wheeler plc Amec Foster Wheeler Limitedf/k/a Amec Foster Wheeler plc f/k/a Foster Wheeler AG Gensler Approved Peirce Approved with Exception Approved except as to disgorgement and prejudgment interest Roisman Approved with Exception Approved except as to disgorgement Lee Approved Crenshaw Approved 34-92263 https://www.sec.gov/litigation/opinions/2021/34-92263.pdf 2021-06-25 ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92264 https://www.sec.gov/litigation/opinions/2021/34-92264.pdf 2021-06-25 Blair Edwards Olsen Olsen,Blair Edwards Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92265 https://www.sec.gov/litigation/opinions/2021/34-92265.pdf 2021-06-25 Louis Ottimo Ottimo,Louis Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92267 https://www.sec.gov/litigation/opinions/2021/34-92267.pdf 2021-06-25 David Howard Welch (also known as David Howard Bryant) Welch,David Howard a/k/a David Howard Bryant Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92269 https://www.sec.gov/litigation/opinions/2021/34-92269.pdf 2021-06-25 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Hypgen, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92270 https://www.sec.gov/litigation/opinions/2021/34-92270.pdf 2021-06-25 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Sirrus Corp. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Sinorama Corporation Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92271 https://www.sec.gov/litigation/opinions/2021/34-92271.pdf 2021-06-25 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Protalex, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Provision Holding, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92272 https://www.sec.gov/litigation/opinions/2021/34-92272.pdf 2021-06-25 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Notis Global, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Nexus Biopharma, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 33-10946 https://www.sec.gov/litigation/opinions/2021/33-10946.pdf 2021-06-14 Larry Feinblum , Michael A. Kimelman,and Andrew W. Limpert Limpert, Andrew W. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92166 https://www.sec.gov/litigation/admin/2021/34-92166.pdf 2021-06-14 Intervest International, Inc. Intervest International, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Carson, Craig L. Gensler Approved Peirce Not Approved Roisman Not Approved Lee Approved Crenshaw Approved 34-92170 https://www.sec.gov/litigation/opinions/2021/34-92170.pdf 2021-06-14 Larry Feinblum , Michael A. Kimelman,and Andrew W. Limpert Kimelman, Michael A. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92176 https://www.sec.gov/litigation/admin/2021/34-92176.pdf 2021-06-14 First American Financial Corporation First American Financial Corporation Gensler Approved Peirce Approved with Exception Approved except as to the penalty Roisman Approved with Exception Approved except as to the penalty Lee Approved Crenshaw Approved 34-92178 https://www.sec.gov/litigation/opinions/2021/34-92178.pdf 2021-06-14 KJM Securities, Inc. KJM Securities, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92187 https://www.sec.gov/litigation/admin/2021/34-92187.pdf 2021-06-16 Property Income Investors LLC Nicolosi, Anthony (f/k/a Anthony Peluso) Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92189 https://www.sec.gov/rules/other/2021/34-92189.pdf 2021-06-16 Application filed by ICE Trade Vault, LLC on Form SDR to register as a security-based swap data repository pursuant to Section 13(n)(1) of the Securities Exchange Act of 1934 and Rule 13n-1 thereunder and as a securities information processor pursuant to Section 11A(b) of the Exchange Act. ICE Trade Vault, LLC; Order Approving Application for Registration as a Security-Based Swap Data Repository Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved IA-5755 https://www.sec.gov/litigation/opinions/2021/ia-5755.pdf 2021-06-16 The Robare Group, et al. The Robare Group, Ltd. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Robare, Mark L. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Jones, Jack L., Jr. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92202 https://www.sec.gov/litigation/admin/2021/34-92202.pdf 2021-06-17 WMA Enterprises, LLC Doak, Scott A. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved IA-5756 https://www.sec.gov/rules/other/2021/ia-5756.pdf 2021-06-17 Performance-Based Investment Advisory Fees Order Approving Adjustment for Inflation of the Dollar Amount Tests in Rule 205-3 under the Investment Advisers Act of 1940 Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved IA-5748 https://www.sec.gov/litigation/admin/2021/ia-5748.pdf 2021-06-07 Verus Capital Partners, LLC Verus Capital Partners, LLC Gensler Approved Peirce Approved with Exception Approved except as to the undertakings Roisman Approved Lee Approved Crenshaw Approved 34-92130 https://www.sec.gov/rules/sro/nms/2021/34-92130.pdf 2021-06-09 Proposed National Market System Plan Regarding Consolidated Equity Market Data Joint Industry Plan; Notice of Designation of a Longer Period for Commission Action on a Proposed National Market System Plan Regarding Consolidated Equity Market Data Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92140 https://www.sec.gov/litigation/admin/2021/34-92140.pdf 2021-06-10 WMA Enterprises, LLC Doak, Scott A. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92145 https://www.sec.gov/rules/sro/ficc-an/2021/34-92145.pdf 2021-06-10 Advance Notice filed with the Commission Pursuant to the Payment, Clearing, and Settlement Supervision Act of 2010 by the Fixed Income Clearing Corporation to Modify the Calculation of the MBSD VaR Floor To Incorporate a Minimum Margin Amount (File No. SR-FICC-2020-804) Fixed Income Clearing Corporation; Notice of No Objection to Advance Notice to Modify the Calculation of the MBSD VaR Floor to Incorporate a Minimum Margin Amount Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92156 https://www.sec.gov/litigation/admin/2021/34-92156.pdf 2021-06-11 The KeyW Holding Corporation Martin, David G. Gensler Not Participating Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Lee Approved Crenshaw Approved 34-92161 https://www.sec.gov/litigation/opinions/2021/34-92161.pdf 2021-06-11 Cantone Research, Inc. Cantone Research, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Cantone, Anthony Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Cantone, Christine Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92162 https://www.sec.gov/litigation/opinions/2021/34-92162.pdf 2021-06-11 Scottsdale Capital Advisors Corporation, et. al. Scottsdale Capital Advisors Corporation Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Hurry, John J. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved DiBlasi, Timothy B. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Cruz, D. Michael Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved IA-5749 https://www.sec.gov/litigation/admin/2021/ia-5749.pdf 2021-06-11 Luca International Group, LLC Yang, Bingqing Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved IA-5750 https://www.sec.gov/litigation/admin/2021/ia-5750.pdf 2021-06-11 Feltl Advisors, LLC Feltl Advisors, LLC Gensler Approved Peirce Approved with Exception Approved except as to the penalty Roisman Approved Lee Approved Crenshaw Approved 34-92085 https://www.sec.gov/litigation/opinions/2021/34-92085.pdf 2021-06-01 Alpine Securities Corporation Alpine Securities Corporation Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92095 https://www.sec.gov/litigation/admin/2021/34-92095.pdf 2021-06-02 Centaurus Financial, Inc. Centaurus Financial, Inc. Gensler Approved Peirce Approved with Exception Approved except as to the penalty Roisman Approved Lee Approved Crenshaw Approved 34-92106 https://www.sec.gov/litigation/admin/2021/34-92106.pdf 2021-06-03 Reinstatement Application of Mark Gasarch, Esq. Gasarch, Mark, Esq. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved IA-5745 https://www.sec.gov/litigation/admin/2021/ia-5745.pdf 2021-06-03 Emperor Investments, Inc. Emperor Investments, Inc. Gensler Approved Peirce Approved with Exception Approved except as to the penalty Roisman Approved Lee Approved Crenshaw Approved 34-92114 https://www.sec.gov/litigation/admin/2021/34-92114.pdf 2021-06-04 VII Peaks Capital, LLC VII Peaks Capital, LLC Gensler Approved Peirce Approved with Exception Approved except as to the penalty Roisman Approved Lee Approved Crenshaw Approved Chandhoke, Gurprit, a/k/a Gurpreet Chandhoke Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Lee Approved Crenshaw Approved IA-5747 https://www.sec.gov/litigation/admin/2021/ia-5747.pdf 2021-06-04 VII Peaks Capital, LLC MacDonald, Michelle Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved