2024-01-31 January 2024 31 34-99410 https://www.sec.gov/litigation/admin/2024/34-99410.pdf 2024-01-22 Graf Industrial Corp. Tian, Tian "Tony" Gensler Approved Peirce Approved with Exception Approved except as to the officer and director bar, disgorgement, and prejudgment interest Crenshaw Approved Uyeda Approved Lizárraga Approved 34-99422 https://www.sec.gov/litigation/opinions/2024/34-99422.pdf 2024-01-24 James K. Merrill Merrill, James K. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6533 https://www.sec.gov/litigation/admin/2024/ia-6533.pdf 2024-01-24 Marc J. Frankel Frankel, Marc J. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11266 https://www.sec.gov/litigation/admin/2024/33-11266.pdf 2024-01-25 Northern Star Acquisition Corp. Northern Star Investment Corp. II Gensler Approved Peirce Approved with Exception Approved except as to the penalty Crenshaw Approved Uyeda Not Approved Lizárraga Approved 34-99429 https://www.sec.gov/litigation/opinions/2024/34-99429.pdf 2024-01-25 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Metatron, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6535 https://www.sec.gov/litigation/admin/2024/ia-6535.pdf 2024-01-25 Pennsylvania Public School Employees’ Retirement System Shaughnessy, Claire P. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6536 https://www.sec.gov/litigation/admin/2024/ia-6536.pdf 2024-01-25 Pennsylvania Public School Employees’ Retirement System Aon Investments USA Inc. fka Aon Hewitt Investment Consulting, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved File No. 4-733 https://www.sec.gov/files/rules/petitions/2024/4-733-letter-013024.pdf 2024-01-30 Denial of Rulemaking Petition Denial of Rulemaking Petition Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved Lizarraga Approved 34-99344 https://www.sec.gov/litigation/admin/2024/34-99344.pdf 2024-01-16 J.P. Morgan Securities LLC J.P. Morgan Securities LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-99346 https://www.sec.gov/litigation/opinions/2024/34-99346.pdf 2024-01-16 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Lykos, Thomas John Jr. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-99347 https://www.sec.gov/litigation/opinions/2024/34-99347.pdf 2024-01-16 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Johnson, Thomas Lee Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-99352 https://www.sec.gov/litigation/opinions/2024/34-99352.pdf 2024-01-17 Anthony B. Brandel and M.Y. Consultants, Inc. M.Y. Consultants, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-99384 https://www.sec.gov/litigation/admin/2024/34-99384.pdf 2024-01-18 DPW Holdings, Inc. Hackert, Edward F. CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-99388 https://www.sec.gov/litigation/admin/2024/34-99388.pdf 2024-01-18 Accanito Capital Group, LLC Seaman, Brent Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-99403 https://www.sec.gov/rules/sro/nms/2024/34-99403.pdf 2024-01-19 Publication of Notice of Filing of a National Market System Plan Regarding Consolidated Equity Market Data Joint Industry Plan: Notice of Filing of a National Market System Plan Regarding Consolidated Equity Market Data Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11265 2024-01-24 J.P. Morgan Securities LLC Special Purpose Acquisition Companies, Shell Companies, and Projections Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 34-99284 https://www.sec.gov/litigation/admin/2024/34-99284.pdf 2024-01-08 Valeant Pharmaceuticals International, Inc.; et al. Valeant Pharmaceuticals International, Inc.n/k/a Bausch Health Companies Inc. Gensler Not Participating Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Pearson, J. Michael Gensler Not Participating Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Schiller, Howard B. Gensler Not Participating Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Carro, Tanya R., CPA Gensler Not Participating Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-99285 https://www.sec.gov/litigation/opinions/2024/34-99285.pdf 2024-01-08 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Smith, Eric S. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-99293 https://www.sec.gov/litigation/opinions/2024/34-99293.pdf 2024-01-08 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Jones, Robbi J. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Kipling Jones & Co., Ltd. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-99305 https://www.sec.gov/litigation/opinions/2024/34-99305.pdf 2024-01-09 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Eyecity.com, Inc. (n/k/a CareX Blockchain Platform, Inc.) Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-99308 https://www.sec.gov/litigation/admin/2024/34-99308.pdf 2024-01-10 SAP SE SAP SE Gensler Approved Peirce Approved with Exception Approved except as to the disgorgement and prejudgment interest Crenshaw Approved Uyeda Approved Lizárraga Approved 34-99309 https://www.sec.gov/litigation/opinions/2024/34-99309.pdf 2024-01-10 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Allen, Laurence G. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-99341 https://www.sec.gov/litigation/admin/2024/34-99341.pdf 2024-01-12 Mansfield-Martin Exploration Mining, Inc. & Certain Other Microcap Issuers Kingsfield, Brian Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-99306 https://www.sec.gov/files/rules/sro/nysearca/2024/34-99306.pdf 2024-01-10 NYSE Arca, Inc.; The Nasdaq Stock Market LLC; Cboe BZX Exchange, Inc.; Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendments Thereto, to List and Trade Bitcoin-Based Commodity-Based Trust Shares and Trust Units NYSE Arca, Inc.; The Nasdaq Stock Market LLC; Cboe BZX Exchange, Inc.; Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendments Thereto, to List and Trade Bitcoin-Based Commodity-Based Trust Shares and Trust Units Gensler Approved Peirce Approved Crenshaw Not Approved Uyeda Approved Lizárraga Not Approved 34-99258 https://www.sec.gov/litigation/opinions/2024/34-99258.pdf 2024-01-02 David W. Ingle Ingle, David W. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-99263 https://www.sec.gov/litigation/opinions/2024/34-99263.pdf 2024-01-02 David Michael Michael, David Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6520 https://www.sec.gov/litigation/admin/2024/ia-6520.pdf 2024-01-02 Precipio Capital, LLC Marchi, Mark Gensler Approved Peirce Approved Lee Approved Crenshaw Approved 34-99267 https://www.sec.gov/litigation/opinions/2024/34-99267.pdf 2024-01-03 Adam Strege Strege, Adam Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-99271 https://www.sec.gov/litigation/opinions/2024/34-99271.pdf 2024-01-04 The Edward Walker Benefield Trust The Edward Walker Benefield Trust Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-99272 https://www.sec.gov/litigation/opinions/2024/34-99272.pdf 2024-01-04 THE DOCS, INC THE DOCS, INC. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11263 https://www.sec.gov/rules/final/2024/33-11263.pdf 2024-01-05 Adjusting for inflation the civil monetary penalties authorized by statutes administered by the Commission, as required by the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015 Adjustments to Civil Monetary Penalty Amounts Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved