2021-09-08 August 2021 109 33-10969 https://www.sec.gov/litigation/admin/2021/33-10969.pdf 2021-08-30 StarGrower Asset Management LLC Arbuckle, Michael R. Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Lee Approved Crenshaw Approved 33-10970 https://www.sec.gov/litigation/admin/2021/33-10970.pdf 2021-08-30 StarGrower Asset Management LLC Dobrovodsky, Roger E. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 33-10971 https://www.sec.gov/litigation/admin/2021/33-10971.pdf 2021-08-30 StarGrower Asset Management LLC Egan, Michael P. Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Lee Approved Crenshaw Approved 34-92800 https://www.sec.gov/litigation/admin/2021/34-92800.pdf 2021-08-30 Cetera Financial Specialists LLC Cetera Advisor Networks LLC Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Cetera Investment Services LLC Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Cetera Financial Specialists LLC Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Cetera Advisors LLC Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Cetera Investment Advisers LLC Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92801 https://www.sec.gov/litigation/admin/2021/34-92801.pdf 2021-08-30 Peak Resorts, Inc. Mueller, Beth Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92806 https://www.sec.gov/litigation/admin/2021/34-92806.pdf 2021-08-30 Cambridge Investment Research, Inc. Cambridge Investment Research, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Cambridge Investment Research Advisors, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92807 https://www.sec.gov/litigation/admin/2021/34-92807.pdf 2021-08-30 KMS Financial Services, Inc. KMS Financial Services, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92809 https://www.sec.gov/litigation/admin/2021/34-92809.pdf 2021-08-30 Cantella & Co., Inc. Cantella & Co., Inc. Gensler Approved Peirce Approved with Exception Approved except as to the penalty Roisman Approved Lee Approved Crenshaw Approved 34-92810 https://www.sec.gov/litigation/admin/2021/34-92810.pdf 2021-08-30 Peak Resorts, Inc. Chasin, Scott Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Chasin, Lisa Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92817 https://www.sec.gov/litigation/admin/2021/34-92817.pdf 2021-08-30 Face Up Entertainment Group, Inc. Goldschmidt, Alexander Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92818 https://www.sec.gov/litigation/opinions/2021/34-92818.pdf 2021-08-30 Christopher M. Gibson, Edward M. Daspin, Thomas Christophe Prentice, Alpine Securities Corporation Alpine Securities Corporation Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92819 https://www.sec.gov/litigation/admin/2021/34-92819.pdf 2021-08-30 Face Up Entertainment Group, Inc. Vax, Michael Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 33-10972 https://www.sec.gov/litigation/admin/2021/33-10972.pdf 2021-08-31 Wells Fargo Clearing Services, LLC Falsetta, Anthony A. Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar and penalty Roisman Approved Lee Approved Crenshaw Approved 33-10973 https://www.sec.gov/litigation/admin/2021/33-10973.pdf 2021-08-31 McDonald Partners, LLC McDonald Partners, LLC Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92829 https://www.sec.gov/litigation/opinions/2021/34-92829.pdf 2021-08-31 John Christopher Polit Polit, John Christopher Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92834 https://www.sec.gov/litigation/opinions/2021/34-92834.pdf 2021-08-31 Quicksilver Stock Transfer, LLC, aka Quicksilver Stock Transfer Corporation Quicksilver Stock Transfer, LLC, aka Quicksilver Stock Transfer Corporation Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 33-10965 https://www.sec.gov/rules/other/2021/33-10965.pdf 2021-08-23 Order Making Fiscal Year 2022 Annual Adjustments to the Fee Rates Applicable Under Section 6(b) of the Securities Act of 1933 and Sections 13(e) and 14(g) of the Securities Exchange Act of 1934 Fiscal Year 2022 Annual Adjustments to the Fee Rates Applicable Under Section 6(b) Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 33-10966 https://www.sec.gov/litigation/opinions/2021/33-10966.pdf 2021-08-23 Christopher M. Gibson, Edward M. Daspin, Thomas Christophe Prentice, Alpine Securities Corporation Daspin, Edward M. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92727 https://www.sec.gov/rules/final/2021/34-92727.pdf 2021-08-23 Technical Amendments to Freedom of Information Act Regulations Revisions to Commission's Regulations under FOIA Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92730 https://www.sec.gov/litigation/opinions/2021/34-92730.pdf 2021-08-23 Christopher M. Gibson, Edward M. Daspin, Thomas Christophe Prentice, Alpine Securities Corporation Prentice, Thomas Christophe Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 33-10967 https://www.sec.gov/litigation/admin/2021/33-10967.pdf 2021-08-24 Healthcare Services Group, Inc. Healthcare Services Group, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Shea, John C., CPA Gensler Approved Peirce Approved with Exception Approved except as to the order to cease and desist from future violations of Securities Act Section 17(a)(2) Roisman Approved Lee Approved Crenshaw Approved Warner, Derya D. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92736 https://www.sec.gov/litigation/admin/2021/34-92736.pdf 2021-08-24 Texas Energy Management Gilliam, Robert Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Lee Approved Crenshaw Approved IA-5830 https://www.sec.gov/litigation/admin/2021/ia-5830.pdf 2021-08-24 Northwest Advisors, Inc. Northwest Advisors, Inc. Gensler Approved Peirce Approved with Exception Approved except as to the order to cease and desist from future violations of Sections 206(2), 206(4), and Rule 206(4)-7 Roisman Approved Lee Approved Crenshaw Approved IA-5831 https://www.sec.gov/litigation/admin/2021/ia-5831.pdf 2021-08-25 International Investment Group LLC Samel, Charles Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved IA-5832 https://www.sec.gov/litigation/admin/2021/ia-5832.pdf 2021-08-25 Jonathan Roberts Advisory Group, Inc. Jonathan Roberts Advisory Group, Inc. d/b/a J.W. Cole Advisors, Inc. Gensler Approved Peirce Not Approved Roisman Approved Lee Approved Crenshaw Approved 34-92768 https://www.sec.gov/litigation/admin/2021/34-92768.pdf 2021-08-26 Crews & Associates, Inc. Crews & Associates, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92769 https://www.sec.gov/litigation/admin/2021/34-92769.pdf 2021-08-26 Crews & Associates, Inc. Harding, Rush F., III Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92775 https://www.sec.gov/litigation/admin/2021/34-92775.pdf 2021-08-26 Alpine Securities Corporation Alpine Securities Corporation White Approved Stein Approved Piwowar Approved 34-92799 https://www.sec.gov/rules/sro/ficc-an/2021/34-92799.pdf 2021-08-27 Advance Notice, as Modified by Amendment No. 1, filed with the Commission Pursuant to the Payment, Clearing, and Settlement Supervision Act of 2010 by the Fixed Income Clearing Corporation to Add the Sponsored GC Service and Make Other Changes Fixed Income Clearing Corporation; Notice of Filing of Amendment No. 1 and Notice of No Objection to Advance Notice, as Modified by Amendment No. 1, to Add the Sponsored GC Service and Make Other Changes Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved IA-5836 https://www.sec.gov/litigation/admin/2021/ia-5836.pdf 2021-08-27 Educators Financial Services, Inc. Educators Financial Services, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92766 https://www.sec.gov/rules/other/2021/34-92766.pdf 2021-08-27 Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology to Develop and Provide Investment Advice Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology to Develop and Provide Investment Advice Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 33-10963 https://www.sec.gov/litigation/admin/2021/33-10963.pdf 2021-08-16 Pearson plc Pearson plc Gensler Approved Peirce Approved with Exception Approved except as to the penalty Roisman Approved Lee Approved Crenshaw Approved 34-92675 https://www.sec.gov/litigation/admin/2021/34-92675.pdf 2021-08-16 Evans & Knauth, PLLC Knauth, Christopher E., CPA Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92678 https://www.sec.gov/litigation/opinions/2021/34-92678.pdf 2021-08-16 Spindle, Inc. Spindle, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92679 https://www.sec.gov/litigation/opinions/2021/34-92679.pdf 2021-08-16 Christopher M. Gibson, Edward M. Daspin, Thomas Christophe Prentice, Alpine Securities Corporation Gibson, Christopher M. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92684 https://www.sec.gov/litigation/admin/2021/34-92684.pdf 2021-08-17 DryShips, Inc. Murchinson Ltd. Gensler Approved Peirce Not Approved Roisman Approved Lee Approved Crenshaw Approved Bistricer, Marc Gensler Approved Peirce Not Approved Roisman Approved Lee Approved Crenshaw Approved Zogala, Paul Gensler Approved Peirce Not Approved Roisman Approved Lee Approved Crenshaw Approved 34-92687 https://www.sec.gov/litigation/opinions/2021/34-92687.pdf 2021-08-17 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing HS3 Technologies, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92688 https://www.sec.gov/litigation/admin/2021/34-92688.pdf 2021-08-17 Integrated Wealth Concepts LLC Clason, Matthew O. Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Lee Approved Crenshaw Approved 34-92691 https://www.sec.gov/litigation/opinions/2021/34-92691.pdf 2021-08-17 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing I-Wellness Marketing Group Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92692 https://www.sec.gov/litigation/opinions/2021/34-92692.pdf 2021-08-17 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing DLD Group, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92693 https://www.sec.gov/litigation/opinions/2021/34-92693.pdf 2021-08-17 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing ID Perfumes, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92694 https://www.sec.gov/litigation/opinions/2021/34-92694.pdf 2021-08-17 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing HK Apollo Motors Corporation Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92695 https://www.sec.gov/litigation/opinions/2021/34-92695.pdf 2021-08-17 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing All Grade Mining, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved IA-5823 https://www.sec.gov/litigation/opinions/2021/ia-5823.pdf 2021-08-17 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 33-10964 https://www.sec.gov/litigation/opinions/2021/33-10964.pdf 2021-08-18 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 34-92704 https://www.sec.gov/litigation/admin/2021/34-92704.pdf 2021-08-18 DeYao Fund, L.P. Bao, Wendan Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Gu, Shuo Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved LendingCar Corporation Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved H7 Credit LLC Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92707 https://www.sec.gov/litigation/admin/2021/34-92707.pdf 2021-08-18 Broke Out, Inc. Lawler, William Scott, Esq. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved IA-5826 https://www.sec.gov/litigation/admin/2021/ia-5826.pdf 2021-08-19 SoFi Capital Advisors, LLC SoFi Wealth, LLC Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92711 https://www.sec.gov/rules/other/2021/34-92711.pdf 2021-08-20 Order Granting Exemption from Section 16 of the Securities Exchange Act of 1934 for PG&E Fire Victim Trust PG&E Fire Victim Trust Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92607 https://www.sec.gov/litigation/admin/2021/34-92607.pdf 2021-08-09 Initial Coin Offerings Poloniex, LLC Gensler Approved Peirce Not Approved Roisman Approved Lee Approved Crenshaw Approved 34-92608 https://www.sec.gov/litigation/opinions/2021/34-92608.pdf 2021-08-09 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 Wilson-Davis & Co. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Snow, James C. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Barkley, Byron B. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92609 https://www.sec.gov/litigation/opinions/2021/34-92609.pdf 2021-08-09 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 BlackBook Capital, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Ogele, Franklin Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92611 https://www.sec.gov/litigation/admin/2021/34-92611.pdf 2021-08-09 Sequential Brands Group, Inc. Klein, Gary S. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92612 https://www.sec.gov/litigation/opinions/2021/34-92612.pdf 2021-08-09 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing AFH Acquisition IX, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92613 https://www.sec.gov/litigation/opinions/2021/34-92613.pdf 2021-08-09 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing HD View 360, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92616 https://www.sec.gov/litigation/opinions/2021/34-92616.pdf 2021-08-09 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Hollywood Entertainment Edu Holdings, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92618 https://www.sec.gov/litigation/opinions/2021/34-92618.pdf 2021-08-09 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Krystal Industries, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92619 https://www.sec.gov/litigation/opinions/2021/34-92619.pdf 2021-08-09 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing American Gene Engineer Corp. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92620 https://www.sec.gov/litigation/opinions/2021/34-92620.pdf 2021-08-09 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Awareness for Teens, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92624 https://www.sec.gov/litigation/admin/2021/34-92624.pdf 2021-08-10 AveXis, Inc. Manukyan-Zakaryan, Zorayr Mikael Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92625 https://www.sec.gov/litigation/opinions/2021/34-92625.pdf 2021-08-10 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Benaiah Holdings Group, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92627 https://www.sec.gov/litigation/opinions/2021/34-92627.pdf 2021-08-10 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing G.I. Joe’s, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92628 https://www.sec.gov/litigation/opinions/2021/34-92628.pdf 2021-08-10 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing GRG, Inc. n/k/a EFT Holdings, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92629 https://www.sec.gov/litigation/opinions/2021/34-92629.pdf 2021-08-10 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Gulf Biomedical Corporation n/k/a Southern Star Energy Corporation Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92630 https://www.sec.gov/litigation/opinions/2021/34-92630.pdf 2021-08-10 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Armada Enterprises, LP n/k/a BIM Homes, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92631 https://www.sec.gov/litigation/opinions/2021/34-92631.pdf 2021-08-10 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing IHO-AGRO International, Inc. n/k/a Grandwon Corp. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92633 https://www.sec.gov/litigation/opinions/2021/34-92633.pdf 2021-08-11 Scottsdale Capital Advisors Corp., et al. Scottsdale Capital Advisors Corp. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Hurry, John J. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Diblasi, Timoth B. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Cruz, Michael Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92634 https://www.sec.gov/litigation/opinions/2021/34-92634.pdf 2021-08-11 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Franklin Hill Acquisition Corporation Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92636 https://www.sec.gov/litigation/opinions/2021/34-92636.pdf 2021-08-11 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Royale Globe Holding Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92638 https://www.sec.gov/litigation/opinions/2021/34-92638.pdf 2021-08-11 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Samdrew IX, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92639 https://www.sec.gov/litigation/opinions/2021/34-92639.pdf 2021-08-11 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Life Critical Care Corporation Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92641 https://www.sec.gov/litigation/opinions/2021/34-92641.pdf 2021-08-11 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Vape Holdings, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92642 https://www.sec.gov/litigation/admin/2021/34-92642.pdf 2021-08-11 Austin Marketing Group, LLC Jones, Erik Christian Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92646 https://www.sec.gov/litigation/opinions/2021/34-92646.pdf 2021-08-11 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Epoxy, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92653 https://www.sec.gov/litigation/opinions/2021/34-92653.pdf 2021-08-12 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Ezy Cloud Holding, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92654 https://www.sec.gov/litigation/opinions/2021/34-92654.pdf 2021-08-12 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing The General Chemical Group Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92656 https://www.sec.gov/litigation/opinions/2021/34-92656.pdf 2021-08-12 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing V3 Semiconductor, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92658 https://www.sec.gov/litigation/opinions/2021/34-92658.pdf 2021-08-12 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Energy Conversion Services, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92659 https://www.sec.gov/litigation/opinions/2021/34-92659.pdf 2021-08-12 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Perkins Oil & Gas, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92660 https://www.sec.gov/litigation/opinions/2021/34-92660.pdf 2021-08-12 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing The MIIX Group, Incorporated Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved IA-5819 https://www.sec.gov/litigation/admin/2021/ia-5819.pdf 2021-08-12 Veritone, Inc. Radjabli, Edgar M. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92665 https://www.sec.gov/litigation/opinions/2021/34-92665.pdf 2021-08-13 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing HK eBus Corporation Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92669 https://www.sec.gov/litigation/opinions/2021/34-92669.pdf 2021-08-13 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing iHealthcare, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92670 https://www.sec.gov/litigation/opinions/2021/34-92670.pdf 2021-08-13 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Travco, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92671 https://www.sec.gov/litigation/opinions/2021/34-92671.pdf 2021-08-13 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing International Leaders Capital Corporation Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92672 https://www.sec.gov/litigation/opinions/2021/34-92672.pdf 2021-08-13 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Core Lithium Corp. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92673 https://www.sec.gov/litigation/opinions/2021/34-92673.pdf 2021-08-13 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing TSLC I, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved IA-5820 https://www.sec.gov/litigation/admin/2021/ia-5820.pdf 2021-08-13 ISC Advisors, Inc. ISC Advisors, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92539 https://www.sec.gov/litigation/admin/2021/34-92539.pdf 2021-08-02 Sealed Air Corporation Stiehl, William G., CPA Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92540 https://www.sec.gov/litigation/admin/2021/34-92540.pdf 2021-08-02 Sealed Air Corporation Ernst & Young LLP Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Herring, James G., Jr., CPA Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Young, James A., CPA Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Fochtmann, Curt W., CPA Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92544 https://www.sec.gov/litigation/opinions/2021/34-92544.pdf 2021-08-02 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 Amundsen, Joseph S. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Remus, Michael T. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Michael Remus CPA Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92547 https://www.sec.gov/litigation/opinions/2021/34-92547.pdf 2021-08-02 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 J.W. Korth & Company, LP Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved IA-5812 https://www.sec.gov/litigation/admin/2021/ia-5812.pdf 2021-08-02 First Heartland Consultants, Inc. First Heartland Consultants, Inc. Gensler Approved Peirce Not Approved Roisman Approved Lee Approved Crenshaw Approved 34-92553 https://www.sec.gov/litigation/admin/2021/34-92553.pdf 2021-08-03 USA Financial Securities Corporation USA Financial Securities Corporation Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92554 https://www.sec.gov/litigation/admin/2021/34-92554.pdf 2021-08-03 Douglas Hodge Hodge, Douglas Michael Gensler Approved Peirce Not Approved Roisman Approved Lee Approved Crenshaw Approved 33-10960 https://www.sec.gov/litigation/admin/2021/33-10960.pdf 2021-08-04 DeYao Fund, L.P. Bao, Wendan Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Gu, Shuo Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved LendingCar Corp. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved H7 Credit, LLC Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92560 https://www.sec.gov/litigation/admin/2021/34-92560.pdf 2021-08-04 National Beverage Corp. National Beverage Corp. Gensler Approved Peirce Approved with Exception Approved except as to the penalty Roisman Approved Lee Approved Crenshaw Approved 34-92571 https://www.sec.gov/litigation/opinions/2021/34-92571.pdf 2021-08-05 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing RARAN Corporation Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Refco Public Commodity Pool, L.P. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Rent USA, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92578 https://www.sec.gov/litigation/opinions/2021/34-92578.pdf 2021-08-05 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing United City Corp. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Worldwide Internet Marketing, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92580 https://www.sec.gov/litigation/opinions/2021/34-92580.pdf 2021-08-05 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Eternity Healthcare, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92582 https://www.sec.gov/litigation/opinions/2021/34-92582.pdf 2021-08-05 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Aspen Marine Group Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Biocircuits Corporation Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 33-10961 https://www.sec.gov/litigation/admin/2021/33-10961.pdf 2021-08-06 DeFi Money Market Foundation Blockchain Credit Partners d/b/a DeFi Money Market Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Keough, Gregory Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Acree, Derek Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92586 https://www.sec.gov/rules/sro/nms/2021/34-92586.pdf 2021-08-06 Proposed National Market System Plan Regarding Consolidated Equity Market Data Joint Industry Plan; Order Approving, as Modified, a National Market System Plan Regarding Consolidated Equity Market Data Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92602 https://www.sec.gov/litigation/opinions/2021/34-92602.pdf 2021-08-06 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Affiliated Food Stores, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92604 https://www.sec.gov/litigation/opinions/2021/34-92604.pdf 2021-08-06 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing US VR Global.com Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92605 https://www.sec.gov/litigation/opinions/2021/34-92605.pdf 2021-08-06 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Unifunds Limited Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92606 https://www.sec.gov/litigation/opinions/2021/34-92606.pdf 2021-08-06 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Rorine International Holding Corporation Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92590 https://www.sec.gov/rules/sro/nasdaq/2021/34-92590.pdf 2021-08-06 SR-NASDAQ-2020-081 and SR-NASDAQ-2020-082 The Nasdaq Stock Market LLC; Order Approving Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt Listing Rules Related to Board Diversity and to Offer Certain Listed Companies Access to a Complimentary Board Recruiting Service Gensler Approved Peirce Not Approved Roisman Approved with Exception Approved except as to the Board Diversity Proposal Lee Approved Crenshaw Approved 34-92565 https://www.sec.gov/rules/policy/2021/34-92565.pdf 2021-08-05 Procedures for the Commission’s Use of Certain Authorities Under Rule 21F-3(B)(3) and Rule 21F-6 of the Securities Exchange Act of 1934 Procedures for the Commission’s Use of Certain Authorities Under Rule 21F-3(B)(3) and Rule 21F-6 of the Securities Exchange Act of 1934 Gensler Approved Peirce Not Approved Roisman Not Approved Lee Approved Crenshaw Approved