2021-12-01 November 2021 43 33-11008 https://www.sec.gov/litigation/admin/2021/33-11008.pdf 2021-11-22 ProPetro Holding Corp. ProPetro Holding Corp. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Redman, Dale Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93647 https://www.sec.gov/litigation/admin/2021/34-93647.pdf 2021-11-22 Digi Outdoor Media, Inc. Doyle ,Shannon D., CPA Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved IA-5913 https://www.sec.gov/litigation/admin/2021/ia-5913.pdf 2021-11-22 AMV Investments LLC Vick, Ann M. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 33-11009 https://www.sec.gov/litigation/opinions/2021/33-11009.pdf 2021-11-23 Edward M. Daspin, et al. Daspin, Edward M., A/K/A "Edward (Ee) Michael" Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93656 https://www.sec.gov/litigation/opinions/2021/34-93656.pdf 2021-11-23 Edward M. Daspin, et al. 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 34-93660 https://www.sec.gov/litigation/opinions/2021/34-93660.pdf 2021-11-23 Edward M. Daspin, et al. Couyoumjian, Cynthia Mary Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93665 https://www.sec.gov/litigation/suspensions/2021/34-93665.pdf Order 2021-11-23 Instadose Pharma Corp. Instadose Pharma Corp. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 33-11010 https://www.sec.gov/litigation/admin/2021/33-11010.pdf 2021-11-24 Upright Financial Corp. Upright Financial Corp. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Yow Shang Chiueh, David Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93667 https://www.sec.gov/litigation/admin/2021/34-93667.pdf 2021-11-24 Garcia and Associates LLC LPL Financial LLC Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93572 https://www.sec.gov/litigation/opinions/2021/34-93572.pdf 2021-11-15 James A. Winkelmann, Sr. and Blue Ocean Portfolios LLC; Joseph S. Amundsen, Michael T. Remus, and Michael Remus CPA ; J.W. Korth & Company, LP ; BlackBook Capital, Inc., and Franklin Ogele ; Wilson-Davis & Co., James C. Snow, and Byron B. Barkley ; Christopher M. Gibson ; The Robare Group, et al. Gibson, Christopher M. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved IA-5908 https://www.sec.gov/litigation/opinions/2021/ia-5908.pdf 2021-11-15 James A. Winkelmann, Sr. and Blue Ocean Portfolios LLC; Joseph S. Amundsen, Michael T. Remus, and Michael Remus CPA ; J.W. Korth & Company, LP ; BlackBook Capital, Inc., and Franklin Ogele ; Wilson-Davis & Co., James C. Snow, and Byron B. Barkley ; Christopher M. Gibson ; 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., Sr. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93657 https://www.sec.gov/litigation/opinions/2021/34-93657.pdf 2021-11-16 Edward M. Daspin, et al. Prentice, Thomas Christophe Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved IA-5909 https://www.sec.gov/litigation/admin/2021/ia-5909.pdf 2021-11-16 HCR Wealth Advisors, Inc. Drake, Jeremy J. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93605 https://www.sec.gov/litigation/admin/2021/34-93605.pdf 2021-11-18 Pacific Gas & Electric, Inc. Melnick, Mark Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Lee Approved Crenshaw Approved IA-5911 https://www.sec.gov/litigation/admin/2021/ia-5911.pdf 2021-11-18 Elevate Investments LLC King, Justin Robert Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93617 https://www.sec.gov/litigation/admin/2021/34-93617.pdf 2021-11-19 Liberty Property Trust Gericke, William E., Esq. Gensler Approved Peirce Approved with Exception Approved except as to the 102(e) bar Roisman Approved with Exception Approved except as to the 102(e) bar Lee Approved Crenshaw Approved IA-5912 https://www.sec.gov/litigation/admin/2021/ia-5912.pdf 2021-11-19 McKinsey & Company MIO Partners, Inc. Gensler Approved Peirce Not Approved Roisman Not Approved Lee Approved Crenshaw Approved 34-93613 https://www.sec.gov/rules/proposed/2021/34-93613.pdf 2021-11-18 Reporting of Securities Loans Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93614 https://www.sec.gov/rules/proposed/2021/34-93614.pdf 2021-11-18 Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93595 https://www.sec.gov/rules/proposed/2021/34-93595.pdf 2021-11-17 Proxy Voting Advice Gensler Approved Peirce Not Approved Roisman Not Approved Lee Approved Crenshaw Approved 34-93596 https://www.sec.gov/rules/final/2021/34-93596.pdf 2021-11-17 Universal Proxy Gensler Approved Peirce Not Approved Roisman Approved Lee Approved Crenshaw Approved 33-11006 https://www.sec.gov/litigation/admin/2021/33-11006.pdf 2021-11-08 USO Exchange-Traded Product United States Commodity Funds LLC Gensler Approved Peirce Not Approved Roisman Not Approved Lee Approved Crenshaw Approved United States Oil Fund, LP Gensler Approved Peirce Not Approved Roisman Not Approved Lee Approved Crenshaw Approved 34-93539 https://www.sec.gov/litigation/opinions/2021/34-93539.pdf 2021-11-08 James A. Winkelmann, Sr. and Blue Ocean Portfolios LLC; Joseph S. Amundsen, Michael T. Remus, and Michael Remus CPA ; J.W. Korth & Company, LP ; BlackBook Capital, Inc., and Franklin Ogele ; Wilson-Davis & Co., James C. Snow, and Byron B. Barkley ; Christopher M. Gibson ; The Robare Group, et al. 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 34-93543 https://www.sec.gov/litigation/opinions/2021/34-93543.pdf 2021-11-08 James A. Winkelmann, Sr. and Blue Ocean Portfolios LLC; Joseph S. Amundsen, Michael T. Remus, and Michael Remus CPA ; J.W. Korth & Company, LP ; BlackBook Capital, Inc., and Franklin Ogele ; Wilson-Davis & Co., James C. Snow, and Byron B. Barkley ; Christopher M. Gibson ; The Robare Group, et al. 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 34-93544 https://www.sec.gov/litigation/admin/2021/34-93544.pdf 2021-11-09 Petition of Tommy Shek, CPA for reinstatement Shek,Tommy, CPA Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93548 https://www.sec.gov/litigation/admin/2021/34-93548.pdf 2021-11-10 Aceto Corporation Roth, Douglas A. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93551 https://www.sec.gov/litigation/admin/2021/34-93551.pdf 2021-11-10 American CryptoFed American CryptoFed DAO LLC Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93568 https://www.sec.gov/litigation/admin/2021/34-93568.pdf 2021-11-12 CEB, Inc. Wright, William, CPA Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93569 https://www.sec.gov/rules/other/2021/34-93569.pdf 2021-11-12 Claimant Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 33-11003 https://www.sec.gov/litigation/opinions/2021/33-11003.pdf 2021-11-01 James A. Winkelmann, Sr. and Blue Ocean Portfolios LLC; Joseph S. Amundsen, Michael T. Remus, and Michael Remus CPA; J.W. Korth & Company, LP; BlackBook Capital, Inc., and Franklin Ogele; Wilson-Davis Co., James C. Snow, and Byron B. Barkley; Christopher M. Gibson; The Robare Group, et al. 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 34-93494 https://www.sec.gov/litigation/admin/2021/34-93494.pdf 2021-11-01 Cash4Cases, Inc. Birnbaum, Jaeson, Esq. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93498 https://www.sec.gov/litigation/opinions/2021/34-93498.pdf 2021-11-01 James A. Winkelmann, Sr. and Blue Ocean Portfolios LLC; Joseph S. Amundsen, Michael T. Remus, and Michael Remus CPA; J.W. Korth & Company, LP; BlackBook Capital, Inc., and Franklin Ogele; Wilson-Davis Co., James C. Snow, and Byron B. Barkley; Christopher M. Gibson; The Robare Group, et al. Remus, Michael T. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Remus , Michael, CPA Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93499 https://www.sec.gov/litigation/opinions/2021/34-93499.pdf 2021-11-01 James A. Winkelmann, Sr. and Blue Ocean Portfolios LLC; Joseph S. Amundsen, Michael T. Remus, and Michael Remus CPA; J.W. Korth & Company, LP; BlackBook Capital, Inc., and Franklin Ogele; Wilson-Davis & Co., James C. Snow, and Byron B. Barkley; Christopher M. Gibson; The Robare Group, et al. J.W. Korth & Company, LP Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93501 https://www.sec.gov/rules/exorders/2021/34-93501.pdf 2021-11-01 Order Granting Conditional Exemptions under the Securities Exchange Act of 1934 in Connection with the Portfolio Margining of Cleared Swaps and Security-based Swaps that are Credit Default Swaps Order Granting Conditional Exemptions under the Securities Exchange Act of 1934 in Connection with the Portfolio Margining of Cleared Swaps and Security-based Swaps that are Credit Default Swaps Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93502 https://www.sec.gov/litigation/admin/2021/34-93502.pdf 2021-11-01 IFS Securities, Inc. Wakefield, Keith A. Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Lee Approved Crenshaw Approved IA-5900 https://www.sec.gov/litigation/admin/2021/ia-5900.pdf 2021-11-01 Regalia Financial Advisors, LLC Jones, John Robert, Jr. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 33-11004 https://www.sec.gov/litigation/admin/2021/33-11004.pdf 2021-11-02 Chartfill, Inc. Margiotta, Michael Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93507 https://www.sec.gov/litigation/admin/2021/34-93507.pdf 2021-11-02 Potential Misconduct Relating to Disbarred Attorney Dowling, Elaine A., Esq. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93527 https://www.sec.gov/rules/pcaob/2021/34-93527.pdf 2021-11-04 Public Company Accounting Oversight Board Rulemaking - Rule Governing Board Determinations Under the Holding Foreign Companies Accountable Act – PCAOB Rule 6100 Public Company Accounting Oversight Board; Order Granting Approval of Proposed Rule Governing Board Determinations Under the Holding Foreign Companies Accountable Act Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93529 https://www.sec.gov/litigation/admin/2021/34-93529.pdf 2021-11-05 BitConnect Maasen, Ryan Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Lee Approved Crenshaw Approved 34-93518 https://www.sec.gov/rules/proposed/2021/34-93518.pdf 2021-11-04 Electronic Submission of Applications for Orders under the Advisers Act and the Investment Company Act, Confidential Treatment Requests for Filings on Form 13F, and Form ADV-NR; Amendments to Form 13F Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 33-11005 https://www.sec.gov/rules/proposed/2021/33-11005.pdf 2021-11-04 Updating EDGAR Filing Requirements Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved IA-5904 https://www.sec.gov/rules/final/2021/ia-5904.pdf 2021-11-04 Performance-Based Investment Advisory Fees Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved