2021-08-04 July 2021 92 34-92485 https://www.sec.gov/litigation/admin/2021/34-92485.pdf 2021-07-26 Investment Adviser Form CRS Non-Filers, et al. ST Invest LLC d/b/a Trade App Gensler Approved Peirce Approved with Exception Approved except as to the cease-and-desist proceeding Roisman Approved Lee Approved Crenshaw Approved 34-92486 https://www.sec.gov/litigation/admin/2021/34-92486.pdf 2021-07-26 Investment Adviser Form CRS Non-Filers, et al. Tradier Brokerage, Inc. Gensler Approved Peirce Approved with Exception Approved except as to the cease-and-desist proceeding Roisman Approved Lee Approved Crenshaw Approved 34-92487 https://www.sec.gov/litigation/admin/2021/34-92487.pdf 2021-07-26 Investment Adviser Form CRS Non-Filers, et al. Bill Parker Agency Gensler Approved Peirce Approved with Exception Approved except as to the cease-and-desist proceeding Roisman Approved Lee Approved Crenshaw Approved 34-92488 https://www.sec.gov/litigation/admin/2021/34-92488.pdf 2021-07-26 Investment Adviser Form CRS Non-Filers, et al. Greentree Investment Services, Inc. Gensler Approved Peirce Approved with Exception Approved except as to the cease-and-desist proceeding Roisman Approved Lee Approved Crenshaw Approved 34-92489 https://www.sec.gov/litigation/admin/2021/34-92489.pdf 2021-07-26 Investment Adviser Form CRS Non-Filers, et al. Birkelbach & Co. Gensler Approved Peirce Approved with Exception Approved except as to the cease-and-desist proceeding Roisman Approved Lee Approved Crenshaw Approved 34-92490 https://www.sec.gov/litigation/admin/2021/34-92490.pdf 2021-07-26 Investment Adviser Form CRS Non-Filers, et al. Capital Portfolio Management, Inc. Gensler Approved Peirce Approved with Exception Approved except as to the cease-and-desist proceeding Roisman Approved Lee Approved Crenshaw Approved 34-92497 https://www.sec.gov/litigation/admin/2021/34-92497.pdf 2021-07-26 WMA Enterprises, LLC Doak, Scott A. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92499 https://www.sec.gov/litigation/opinions/2021/34-92499.pdf 2021-07-26 ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC Gensler Approved Peirce Not Approved Roisman Approved Lee Approved Crenshaw Approved 34-92500 https://www.sec.gov/litigation/opinions/2021/34-92500.pdf 2021-07-26 Edward Beyn, Craig S. Taddonio; Southeast Investments, N.C., Inc., Frank Harmon Black, Bradley C. Reifler , J.W. Korth & Company, LP, Joseph S. Amundsen, Michael T. Remus, Michael Remus CPA, BlackBook Capital, Inc., Franklin Ogele, Wilson-Davis & Co., James C. Snow, and Byron B. Barkley 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 34-92502 https://www.sec.gov/litigation/opinions/2021/34-92502.pdf 2021-07-26 Edward Beyn, Craig S. Taddonio; Southeast Investments, N.C., Inc., Frank Harmon Black, Bradley C. Reifler , J.W. Korth & Company, LP, Joseph S. Amundsen, Michael T. Remus, Michael Remus CPA, BlackBook Capital, Inc., Franklin Ogele, Wilson-Davis & Co., James C. Snow, and Byron B. Barkley Reifler, Bradley C. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92503 https://www.sec.gov/litigation/admin/2021/34-92503.pdf 2021-07-26 Brixmor Property Group Splain, Steven, CPA Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92505 https://www.sec.gov/litigation/admin/2021/34-92505.pdf 2021-07-26 SAExploration Holdings, Inc. Whiteley, Brent N., Esq. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92507 https://www.sec.gov/litigation/admin/2021/34-92507.pdf 2021-07-26 Brixmor Property Group Mortimer, Michael Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved IA-5786 https://www.sec.gov/litigation/admin/2021/ia-5786.pdf 2021-07-26 Investment Adviser Form CRS Non-Filers, et al. Altschuler, James Stephen (d/b/a Altschuler Financial Services) Gensler Approved Peirce Approved with Exception Approved except as to the cease-and-desist proceeding Roisman Approved Lee Approved Crenshaw Approved IA-5787 https://www.sec.gov/litigation/admin/2021/ia-5787.pdf 2021-07-26 Investment Adviser Form CRS Non-Filers, et al. John A. Bysko Associates Gensler Approved Peirce Approved with Exception Approved except as to the cease-and-desist proceeding Roisman Approved Lee Approved Crenshaw Approved IA-5788 https://www.sec.gov/litigation/admin/2021/ia-5788.pdf 2021-07-26 Investment Adviser Form CRS Non-Filers, et al. Canton Hathaway LLC Gensler Approved Peirce Approved with Exception Approved except as to the cease-and-desist proceeding Roisman Approved Lee Approved Crenshaw Approved IA-5789 https://www.sec.gov/litigation/admin/2021/ia-5789.pdf 2021-07-26 Investment Adviser Form CRS Non-Filers, et al. Medallion Wealth Advisors, LLC Gensler Approved Peirce Approved with Exception Approved except as to the cease-and-desist proceeding Roisman Approved Lee Approved Crenshaw Approved IA-5790 https://www.sec.gov/litigation/admin/2021/ia-5790.pdf 2021-07-26 Investment Adviser Form CRS Non-Filers, et al. Minot DeBlois Advisors LLC Gensler Approved Peirce Approved with Exception Approved except as to the cease-and-desist proceeding Roisman Approved Lee Approved Crenshaw Approved IA-5791 https://www.sec.gov/litigation/admin/2021/ia-5791.pdf 2021-07-26 Investment Adviser Form CRS Non-Filers, et al. Embree Financial Group, Inc. Gensler Approved Peirce Approved with Exception Approved except as to the cease-and-desist proceeding Roisman Approved Lee Approved Crenshaw Approved IA-5792 https://www.sec.gov/litigation/admin/2021/ia-5792.pdf 2021-07-26 Investment Adviser Form CRS Non-Filers, et al. Madden Funds Management, Ltd. Gensler Approved Peirce Approved with Exception Approved except as to the cease-and-desist proceeding Roisman Approved Lee Approved Crenshaw Approved IA-5793 https://www.sec.gov/litigation/admin/2021/ia-5793.pdf 2021-07-26 Investment Adviser Form CRS Non-Filers, et al. Quantitative Asset Management, LLC Gensler Approved Peirce Approved with Exception Approved except as to the cease-and-desist proceeding Roisman Approved Lee Approved Crenshaw Approved IA-5794 https://www.sec.gov/litigation/admin/2021/ia-5794.pdf 2021-07-26 Investment Adviser Form CRS Non-Filers, et al. Summit Financial Advisors, Inc. Gensler Approved Peirce Approved with Exception Approved except as to the cease-and-desist proceeding Roisman Approved Lee Approved Crenshaw Approved IA-5795 https://www.sec.gov/litigation/admin/2021/ia-5795.pdf 2021-07-26 Investment Adviser Form CRS Non-Filers, et al. Paratus Financial, Inc. Gensler Approved Peirce Approved with Exception Approved except as to the cease-and-desist proceeding Roisman Approved Lee Approved Crenshaw Approved IA-5796 https://www.sec.gov/litigation/admin/2021/ia-5796.pdf 2021-07-26 Investment Adviser Form CRS Non-Filers, et al. Castle Wealth Planning LLC Gensler Approved Peirce Approved with Exception Approved except as to the cease-and-desist proceeding Roisman Approved Lee Approved Crenshaw Approved IA-5797 https://www.sec.gov/litigation/admin/2021/ia-5797.pdf 2021-07-26 Investment Adviser Form CRS Non-Filers, et al. Harold Davidson & Associates, Inc. Gensler Approved Peirce Approved with Exception Approved except as to the cease-and-desist proceeding Roisman Approved Lee Approved Crenshaw Approved IA-5798 https://www.sec.gov/litigation/admin/2021/ia-5798.pdf 2021-07-26 Investment Adviser Form CRS Non-Filers, et al. Cohen Klingenstein, LLC Gensler Approved Peirce Approved with Exception Approved except as to the cease-and-desist proceeding Roisman Approved Lee Approved Crenshaw Approved IA-5799 https://www.sec.gov/litigation/admin/2021/ia-5799.pdf 2021-07-26 Investment Adviser Form CRS Non-Filers, et al. Dynamic Trading Management, LLC Gensler Approved Peirce Approved with Exception Approved except as to the cease-and-desist proceeding Roisman Approved Lee Approved Crenshaw Approved IA-5800 https://www.sec.gov/litigation/admin/2021/ia-5800.pdf 2021-07-26 Investment Adviser Form CRS Non-Filers, et al. Eastside Financial Advisors, LLC Gensler Approved Peirce Approved with Exception Approved except as to the cease-and-desist proceeding Roisman Approved Lee Approved Crenshaw Approved IA-5801 https://www.sec.gov/litigation/admin/2021/ia-5801.pdf 2021-07-26 Investment Adviser Form CRS Non-Filers, et al. Sauberan & Company, LLC Gensler Approved Peirce Approved with Exception Approved except as to the cease-and-desist proceeding Roisman Approved Lee Approved Crenshaw Approved IA-5802 https://www.sec.gov/litigation/admin/2021/ia-5802.pdf 2021-07-26 Investment Adviser Form CRS Non-Filers, et al. Mighty Oak Strong America Investment Company Gensler Approved Peirce Approved with Exception Approved except as to the cease-and-desist proceeding Roisman Approved Lee Approved Crenshaw Approved IA-5803 https://www.sec.gov/litigation/admin/2021/ia-5803.pdf 2021-07-26 Investment Adviser Form CRS Non-Filers, et al. O’Brien Greene & Co., Inc. Gensler Approved Peirce Approved with Exception Approved except as to the cease-and-desist proceeding Roisman Approved Lee Approved Crenshaw Approved IA-5804 https://www.sec.gov/litigation/admin/2021/ia-5804.pdf 2021-07-26 Investment Adviser Form CRS Non-Filers, et al. The Cavanaugh Group, Inc. Gensler Approved Peirce Approved with Exception Approved except as to the cease-and-desist proceeding Roisman Approved Lee Approved Crenshaw Approved IA-5805 https://www.sec.gov/litigation/admin/2021/ia-5805.pdf 2021-07-26 Investment Adviser Form CRS Non-Filers, et al. Westbourne Investments, Inc. Gensler Approved Peirce Approved with Exception Approved except as to the cease-and-desist proceeding Roisman Approved Lee Approved Crenshaw Approved IA-5806 https://www.sec.gov/litigation/admin/2021/ia-5806.pdf 2021-07-26 Investment Adviser Form CRS Non-Filers, et al. Carmel Capital Management, LLC Gensler Approved Peirce Approved with Exception Approved except as to the cease-and-desist proceeding Roisman Approved Lee Approved Crenshaw Approved 34-92511 https://www.sec.gov/litigation/admin/2021/34-92511.pdf 2021-07-28 Fifth Third Bancorp, et al. Fifth Third Bancorp Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Poston, Daniel Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92513 https://www.sec.gov/litigation/admin/2021/34-92513.pdf 2021-07-28 Certain PCAOB Inspections Whittle, Thomas, CPA Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92514 https://www.sec.gov/litigation/admin/2021/34-92514.pdf 2021-07-28 Certain PCAOB Inspections Britt, David, CPA Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92527 https://www.sec.gov/litigation/admin/2021/34-92527.pdf 2021-07-30 Paycom Software, Inc. Paycom Software, Inc. Gensler Approved Peirce Not Approved Roisman Approved Lee Approved Crenshaw Approved 33-10958 https://www.sec.gov/litigation/admin/2021/33-10958.pdf 2021-07-30 Certain Sales of Curve Steepener Securities Integral Financial, LLC Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Ho, Weiming “Frank” Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 33-10959 https://www.sec.gov/litigation/admin/2021/33-10959.pdf 2021-07-30 Certain Sales of Curve Steepener Securities Herbert J. Sims & Co., Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92526 https://www.sec.gov/litigation/admin/2021/34-92526.pdf 2021-07-30 Coburn & Meredith, Inc. Coburn & Meredith, Inc. Gensler Approved Peirce Approved with Exception Approved except as to the censure Roisman Approved Lee Approved Crenshaw Approved 34-92529 https://www.sec.gov/rules/other/2021/34-92529.pdf 2021-07-30 Substituted Compliance Draft Order: United Kingdom United Kingdom Financial Conduct Authority; Order Granting 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 United Kingdom Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 33-10957 https://www.sec.gov/litigation/opinions/2021/33-10957.pdf 2021-07-19 James A. Winkelmann, Sr. and Blue Ocean Portfolios LLC 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 34-92444 https://www.sec.gov/litigation/opinions/2021/34-92444.pdf 2021-07-19 Shlomo Sharbat Sharbat, Shlomo Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved IA-5781 https://www.sec.gov/litigation/admin/2021/ia-5781.pdf 2021-07-19 UBS Financial Services Inc. UBS Financial Services Inc. Gensler Approved Peirce Approved with Exception Approved except as to the penalty Roisman Approved Lee Approved Crenshaw Approved 34-92447 https://www.sec.gov/litigation/admin/2021/34-92447.pdf 2021-07-20 Certain Trading Activity of EAC Capital LLC and Other Accounts Greenwald, Shaun, CPA Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92450 https://www.sec.gov/litigation/suspensions/2021/34-92450.pdf Order 2021-07-20 Certain Revoked Nevada Corporations XR Energy Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Geospatial Corporation Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92455 https://www.sec.gov/litigation/admin/2021/34-92455.pdf 2021-07-21 Tandy Leather Factory, Inc. Tandy Leather Factory, Inc. 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 Greene, Shannon, CPA Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92457 https://www.sec.gov/litigation/admin/2021/34-92457.pdf 2021-07-21 Creative Connections LLC Holguin, Miguel Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved IA-5783 https://www.sec.gov/litigation/admin/2021/ia-5783.pdf 2021-07-21 First Capital Real Estate Trust, Inc. Singal, Suneet Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92474 https://www.sec.gov/litigation/admin/2021/34-92474.pdf 2021-07-23 Radisys Corporation Alexander, Alan L. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92475 https://www.sec.gov/litigation/admin/2021/34-92475.pdf 2021-07-23 Radisys Corporation Kha, Tan V. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92481 https://www.sec.gov/litigation/opinions/2021/34-92481.pdf 2021-07-23 Curtis Richard Edmark Edmark, Curtis Richard Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92483 https://www.sec.gov/litigation/opinions/2021/34-92483.pdf 2021-07-23 Edward Beyn, Craig S. Taddonio; Southeast Investments, N.C., Inc., Frank Harmon Black, Bradley C. Reifler , J.W. Korth & Company, LP, Joseph S. Amundsen, Michael T. Remus, Michael Remus CPA, BlackBook Capital, Inc., Franklin Ogele, Wilson-Davis & Co., James C. Snow, and Byron B. Barkley Southeast Investments, N.C., Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Black, Frank Harmon Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92484 https://www.sec.gov/rules/other/2021/34-92484.pdf 2021-07-23 Substituted Compliance Order: France French Autorité des Marchés Financiers Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 33-10954 https://www.sec.gov/litigation/admin/2021/33-10954.pdf 2021-07-13 TIAA-CREF Individual & Institutional Services, LLC TIAA-CREF Individual & Institutional Services, LLC Gensler Approved Peirce Approved with Exception Approved except as to the disgorgement and prejudgment interest Roisman Not Participating Lee Approved Crenshaw Approved 33-10955 https://www.sec.gov/litigation/admin/2021/33-10955.pdf 2021-07-13 Stable Road Acquisition Corp. Stable Road Acquisition Corp. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Momentus, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Kabot, Brian Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved SRC-NI Holdings, LLC Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92378 https://www.sec.gov/litigation/admin/2021/34-92378.pdf 2021-07-13 MiMedx Group, Inc. Chancey, Paul L. Jr., CPA Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92382 https://www.sec.gov/litigation/admin/2021/34-92382.pdf 2021-07-13 Stockman Kast Ryan & Co, LLP Stockman Kast Ryan & Co. LLP Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Fisher, Ellen S., CPA Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Kast, David H., CPA Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92397 https://www.sec.gov/litigation/admin/2021/34-92397.pdf 2021-07-13 Raymond James & Associates, Inc. Stow, Frederick M. Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Lee Approved Crenshaw Approved 33-10956 https://www.sec.gov/litigation/admin/2021/33-10956.pdf 2021-07-14 Coinschedule Blotics Ltd. (f/d/b/a Coinschedule Ltd.) Gensler Approved Peirce Not Approved Roisman Approved Lee Approved Crenshaw Approved 34-92390 https://www.sec.gov/litigation/admin/2021/34-92390.pdf 2021-07-14 Cascade Investment Group, Inc. Cascade Investment Group, Inc. Gensler Approved Peirce Approved with Exception Approved except as to the penalty Roisman Approved Lee Approved Crenshaw Approved 34-92423 https://www.sec.gov/litigation/admin/2021/34-92423.pdf 2021-07-15 David Aaron Rockwell Rockwell, David Aaron Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved IA-5779 https://www.sec.gov/litigation/opinions/2021/ia-5779.pdf 2021-07-15 The Robare Group, et al. The Robare Group, Ltd. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Jones, 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 34-92427 https://www.sec.gov/litigation/admin/2021/34-92427.pdf 2021-07-16 Park, John Clifford Park, John Clifford Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Lee Approved Crenshaw Approved 34-92434 https://www.sec.gov/litigation/opinions/2021/34-92434.pdf 2021-07-16 Good Vibration Shoes, Inc. and Eyecity.com, Inc. Good Vibration Shoes, Inc. (n/k/a Allied Corp.) Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92435 https://www.sec.gov/litigation/opinions/2021/34-92435.pdf 2021-07-16 Good Vibration Shoes, Inc. and Eyecity.com, Inc. Eyecity.com, Inc. (n/k/a CareX Blockchain Platform, Inc.) Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92436 https://www.sec.gov/litigation/opinions/2021/34-92436.pdf 2021-07-16 Daniel Paul Motherway Motherway, Daniel Paul Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92326 https://www.sec.gov/rules/other/2021/34-92326.pdf 2021-07-06 Credit Risk Retention – Notification of Extension of Review Period Credit Risk Retention-Notification of Extension of Review Period Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92353 https://www.sec.gov/litigation/opinions/2021/34-92353.pdf 2021-07-08 Fred F. Liebau, Jr. Liebau, Fred F. Jr. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved IA-5767 https://www.sec.gov/litigation/admin/2021/ia-5767.pdf 2021-07-08 St. Germain Investment Management, Inc. St. Germain Investment Management, Inc. Gensler Approved Peirce Approved with Exception Approved except as to the penalty Roisman Approved Lee Approved Crenshaw Approved 34-92361 https://www.sec.gov/litigation/admin/2021/34-92361.pdf 2021-07-09 PLS, CPA, A Professional Corporation Park, Chang G., CPA, a/k/a Changgeun Park Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Lee, Joseph Yongyun, CPA, a/k/a Yong Yun Lee Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Lee, Juchi, CPA, a/k/a Juchi Lee Fernandez, Ju-chi Lee, Ju Chi Lee, Sue Lee Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved PLS, CPA, A Professional Corporation, a/k/a PLS CPAs Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92362 https://www.sec.gov/litigation/suspensions/2021/34-92362.pdf Order 2021-07-09 Certain Non-Current Microcap Securities II American Community Newspapers, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Be Active Holdings, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Biomimix, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved BroadWebAsia, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved CapitalSouth Bancorp Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Cell Tech International Incorporated Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Cloudward, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Conihasset Capital Partners, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved East Side Financial, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Eastern Light Capital, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Enable Holdings, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Encompass Energy Services, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Environmental Infrastructure Holdings Corp. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved EquiFin, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved FFP Partners, L.P. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved General DataComm Industries, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Glen Rose Petroleum Corp. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Global Agricultural Holdings, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Holographic Storage Ltd. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Hot Mama’s Foods, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved iMing Corp. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved KM Wedding Events Management, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Madison Ave Media, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Message Processing International, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Metro Global Media, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Mopals.com, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Multi-Media Tutorial Services, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved My Screen Mobile, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Nemo Motors Corp Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Nutroganics, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Oak Tree Educational Partners, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Odimo Incorporated Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Omnimmune Holdings, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved OptimumCare Corp. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Oracle Healthcare Acquisition Corp. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Orthometrix, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Oryx Technology Corp. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Osage Exploration and Development, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Panache Beverage Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Petrominerals Corp. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Pinnacle Bank of Oregon (Beaverton) Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved PostRock Energy Corp Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Princeton National Bancorp, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Reliant Financial Service Corp. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Seawright Holdings, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Seilon, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Solar Gold Ltd. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Strategic Internet Investments, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Sycamore Ventures, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Teletouch Communications, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved TransCoastal Corporation Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Trimol Group, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved VIA Pharmaceuticals, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Voiceserve, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Winston Pharmaceuticals, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92369 https://www.sec.gov/litigation/opinions/2021/34-92369.pdf 2021-07-09 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 34-92370 https://www.sec.gov/litigation/admin/2021/34-92370.pdf 2021-07-09 Hilltop Securities Inc. Hilltop Securities Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Tracy, Daniel C. Gensler Approved Peirce Not Approved Roisman Approved Lee Approved Crenshaw Approved 34-92371 https://www.sec.gov/litigation/opinions/2021/34-92371.pdf 2021-07-09 Equitec Proprietary Markets, LLC Equitec Proprietary Markets, LLC Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92372 https://www.sec.gov/litigation/opinions/2021/34-92372.pdf 2021-07-09 Robert R. Tweed Tweed, Robert R. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved IA-5769 https://www.sec.gov/litigation/opinions/2021/ia-5769.pdf 2021-07-09 Saving2Retire, LLC, and Marian P. Young Saving2Retire, LLC Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Young, Marian P. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved IA-5770 https://www.sec.gov/litigation/admin/2021/ia-5770.pdf 2021-07-09 Kestra Advisory Services, LLC Kestra Advisory Services, LLC Gensler Approved Peirce Approved with Exception Approved except as to the penalty Roisman Approved Lee Approved Crenshaw Approved IA-5771 https://www.sec.gov/litigation/admin/2021/ia-5771.pdf 2021-07-09 Kestra Advisory Services, LLC Kestra Private Wealth Services, LLC Gensler Approved Peirce Approved with Exception Approved except as to the penalty Roisman Approved Lee Approved Crenshaw Approved 34-92307 https://www.sec.gov/litigation/opinions/2021/34-92307.pdf 2021-07-01 Metatron, Inc. Metatron, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92309 https://www.sec.gov/litigation/admin/2021/34-92309.pdf 2021-07-01 Certain Unregistered Securities Transactions Sears, DeAndre P. Clayton Approved Peirce Approved with Exception Approved except as to the penny stock bar and penalty Roisman Approved Lee Approved Crenshaw Approved 34-92313 https://www.sec.gov/litigation/opinions/2021/34-92313.pdf 2021-07-01 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing MC Informatics, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92314 https://www.sec.gov/litigation/opinions/2021/34-92314.pdf 2021-07-01 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing InventaBioTech Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92315 https://www.sec.gov/litigation/opinions/2021/34-92315.pdf 2021-07-01 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing WeedClub, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92316 https://www.sec.gov/litigation/opinions/2021/34-92316.pdf 2021-07-01 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Terra Telecommunications Corp. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92318 https://www.sec.gov/litigation/opinions/2021/34-92318.pdf 2021-07-02 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing GrandBanc, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92319 https://www.sec.gov/litigation/opinions/2021/34-92319.pdf 2021-07-02 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Northsight Capital, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92322 https://www.sec.gov/litigation/opinions/2021/34-92322.pdf 2021-07-02 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Oncolix, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92323 https://www.sec.gov/litigation/opinions/2021/34-92323.pdf 2021-07-02 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Green Technology Solutions, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92324 https://www.sec.gov/litigation/admin/2021/34-92324.pdf 2021-07-02 Certain Morgan Stanley Unauthorized Transfers Carter, Michael B. Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Lee Approved Crenshaw Approved IA-5764 https://www.sec.gov/litigation/admin/2021/ia-5764.pdf 2021-07-02 Sedna Capital Management LLC Rajaratnam, Raj Gensler Approved Peirce Not Approved Roisman Approved Lee Approved Crenshaw Approved