2022-09-22 Calendar Year 2019 1,078 34-87043 https://www.sec.gov/litigation/admin/2019/34-87043.pdf 2019-08-22 Heritage US Transfer Corp. Haller,Ronald P. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86010 https://www.sec.gov/rules/other/2019/34-86010.pdf 2019-06-03 Whistleblower Claimant 1 Clayton Approved Jackson Approved Peirce Approved Roisman Approved Claimant 2 Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5230 https://www.sec.gov/litigation/opinions/2019/ia-5230.pdf 2019-05-07 Ascension Asset Management, LLC Ascension Asset Management, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Gooder, Grenville M., Jr. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5121 https://www.sec.gov/litigation/admin/2019/ia-5121.pdf 2019-03-07 Ascension Asset Management, LLC Ascension Asset Management, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Gooder, Grenville M., Jr. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86304 https://www.sec.gov/rules/proposed/2019/34-86304.pdf 2019-07-03 Customer Margin Rules Relating to Security Futures Customer Margin Rules Relating to Security Futures Clayton Approved Jackson Not Approved Peirce Approved Roisman Approved 34-87157 https://www.sec.gov/litigation/admin/2019/34-87157.pdf 2019-09-30 Quadrant 4 System Corp. Schulman Lobel Zand Katzen Williams & Blackman, LLP a/k/a Schulman Lobel LLP Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved IC-33721 https://www.sec.gov/rules/ic/2019/ic-33721.pdf 2019-12-20 Applications under Section 26(c) of the Investment Company Act of 1940 ("Act") for Commission orders ("Substitution Orders") to permit insurance companies to replace mutual funds that they offer as investment options to their variable insurance contract holders with other mutual funds ("Substitution Applications"); Substitution Applications, in the case of in-kind substitutions, also include requests for relief under Section 17(b) of the Act from Section 17(a) of the Act, and the related Substitution Orders grant such relief (such relief from Section 17(a) included in the term "Substitution Orders") Allianz Life Insurance Company of North America Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Allianz Life Insurance Company of New York Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Allianz Life Variable Account A Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Allianz Life Variable Account B Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Allianz Life of NY Variable Account C Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Allianz Variable Insurance Products Trust Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Allianz Variable Insurance Products Fund of Funds Trust Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved PIMCO Variable Insurance Trust Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87869 https://www.sec.gov/litigation/opinions/2019/34-87869.pdf 2019-12-30 Dutch Gold Resources, Inc., et al. Dutch Gold Resources, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Paracap Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87872 https://www.sec.gov/litigation/admin/2019/34-87872.pdf 2019-12-30 LPL Financial, LLC Laws, Christopher S. Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Lee Approved 34-87857 https://www.sec.gov/litigation/opinions/2019/34-87857.pdf 2019-12-26 Oriental Magic Soup, Inc., et al. Pan Ocean Container Supplies, Ltd. (n/k/a Red Wolf Enterprises Intl. or Red Wolf Enterprises, Inc.) Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10738 https://www.sec.gov/rules/proposed/2019/33-10738.pdf 2019-12-30 Amendments to Rule 2-01, Qualifications of Accountants Amendments to Rule 2-01, Qualifications of Accountants Clayton Approved Jackson Not Approved Peirce Approved Roisman Approved Lee Not Approved 33-10732 https://www.sec.gov/litigation/opinions/2019/33-10732.pdf 2019-12-16 Alexandre S. Clug, et.al Clug, Alexandre S. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Aurum Mining, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved PanAm Terra, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved The Corsair Group, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87750 https://www.sec.gov/litigation/admin/2019/34-87750.pdf 2019-12-16 1MDB Leissner, Tim Clayton Not Participating Jackson Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Lee Approved 34-87764 https://www.sec.gov/litigation/admin/2019/34-87764.pdf 2019-12-16 Strategic Asset Leasing, Inc. and Other Issuers Woodford, Michael J., Esq. Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the disgorgement and prejudgment interest Roisman Approved Lee Approved 33-10733 https://www.sec.gov/litigation/admin/2019/33-10733.pdf 2019-12-17 RVPlus, Inc. Day, Christopher Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10735 https://www.sec.gov/rules/other/2019/33-10735.pdf 2019-12-18 Public Company Accounting Oversight Board 2020 Budget and Accounting Support Fee Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2020 Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Not Participating 33-10736 https://www.sec.gov/litigation/admin/2019/33-10736.pdf 2019-12-18 Blockchain of Things, Inc. Blockchain of Things, Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved 33-10737 https://www.sec.gov/rules/other/2019/33-10737.pdf 2019-12-18 Blockchain of Things, Inc. Blockchain of Things, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87781 https://www.sec.gov/rules/other/2019/34-87781.pdf 2019-12-18 Order Designating Certain Jurisdictions as “Listed Jurisdictions” for Purposes of Rule Amendments Addressing Cross-Border Application of Certain Security-Based Swap Requirements Order Designating Certain Jurisdictions as “Listed Jurisdictions” for Purposes of Applying the Security-Based Swap Dealer De Minimis Exception of Rule 3a71-3(d) Under the Exchange Act to Certain Cross-Border Security-Based Swap Transactions Clayton Approved Jackson Not Approved Peirce Approved Roisman Approved Lee Not Approved 34-87786 https://www.sec.gov/litigation/admin/2019/34-87786.pdf 2019-12-18 Lockheed Martin Corp. Tender Offer Critical Trading, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87787 https://www.sec.gov/litigation/admin/2019/34-87787.pdf 2019-12-18 Lockheed Martin Corp. Tender Offer Bluefin Trading, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87793 https://www.sec.gov/litigation/admin/2019/34-87793.pdf 2019-12-18 MetLife, Inc. MetLife, Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved with Exception Approved except as to the penalty Lee Approved 34-87800 https://www.sec.gov/litigation/opinions/2019/34-87800.pdf 2019-12-18 TMR Bayhead Securities LLC TMR Bayhead Securities LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87802 https://www.sec.gov/litigation/admin/2019/34-87802.pdf 2019-12-19 Jersey Consulting LLC Gross, Kenneth S. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87805 https://www.sec.gov/litigation/admin/2019/34-87805.pdf 2019-12-19 Magna Group, LLC Ludovico, Joseph (a/k/a Jay) Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Lee Approved 34-87812 https://www.sec.gov/litigation/admin/2019/34-87812.pdf 2019-12-20 Quantum Corporation Quantum Corporation Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty Roisman Approved Lee Approved 34-87816 https://www.sec.gov/litigation/admin/2019/34-87816.pdf 2019-12-20 Cadaret, Grant & Co., Inc., Arthur Grant, Beda Lee Johnson, and Eugene Long Fair Fund Cadaret, Grant & Co., Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Grant, Arthur Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Johnson, Beda Lee Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Long, Eugene Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87825 https://www.sec.gov/litigation/admin/2019/34-87825.pdf 2019-12-20 Clarity Communications Group Neumann, Christopher Michael Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87827 https://www.sec.gov/litigation/admin/2019/34-87827.pdf 2019-12-20 Clarity Communications Group Eden, Richard Johnathan Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87833 https://www.sec.gov/litigation/opinions/2019/34-87833.pdf 2019-12-20 Newport Coast Securities, Inc. Newport Coast Securities, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87780 https://www.sec.gov/rules/final/2019/34-87780.pdf 2019-12-18 Rule Amendments and Guidance Addressing Cross-Border Application of Certain Security-Based Swap Requirements Rule Amendments and Guidance Addressing Cross-Border Application of Certain Security-Based Swap Requirements Clayton Approved Jackson Not Approved Peirce Approved Roisman Approved Lee Not Approved 34-87782 https://www.sec.gov/rules/final/2019//34-87782.pdf 2019-12-18 Risk Mitigation Techniques for Uncleared Security-Based Swaps Risk Mitigation Techniques for Uncleared Security-Based Swaps Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87783 https://www.sec.gov/rules/proposed/2019/34-87783.pdf 2019-12-18 Disclosure of Payments by Resource Extraction Issuers Disclosure of Payments by Resource Extraction Issuers Clayton Approved Jackson Not Approved Peirce Approved Roisman Approved Lee Not Approved 33-10734 https://www.sec.gov/rules/proposed/2019/33-10734.pdf 2019-12-18 Amending the “Accredited Investor” Definition Amending the “Accredited Investor” Definition Clayton Approved Jackson Not Approved Peirce Approved Roisman Approved Lee Not Approved 34-87680 https://www.sec.gov/litigation/admin/2019/34-87680.pdf 2019-12-09 Certain ADR Issuers Jefferies LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87681 https://www.sec.gov/rules/sro/nms/2019/34-87681.pdf 2019-12-09 Publication of Notice of Filing of an Amendment to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options to Adopt a Penny Interval Program (File No. 4-443) Joint Industry Plan; Notice of Filing of Amendment No. 5 to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options to Adopt a Penny Interval Program Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87702 https://www.sec.gov/litigation/opinions/2019/34-87702.pdf 2019-12-09 Kimberly Springsteen-Abbott Springsteen-Abbott, Kimberly Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87703 https://www.sec.gov/litigation/opinions/2019/34-87703.pdf 2019-12-09 Commonwealth Capital Securities Corp. Commonwealth Capital Securities Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87714 https://www.sec.gov/rules/other/2019/34-87714.pdf 2019-12-10 Notice of the Commencement of a Review Required by Section 22 of the Credit Risk Retention Rule Credit Risk Retention-Notice of Commencement of Review Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved IA-5416 https://www.sec.gov/litigation/admin/2019/ia-5416.pdf 2019-12-10 Kornitzer Capital Management, Inc. Kornitzer Capital Management, Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved Kornitzer, John C. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved IC-33710 https://www.sec.gov/rules/ic/2019/ic-33710.pdf 2019-12-10 Applications of Blue Tractor ETF Trust and Blue Tractor Group, LLC, File No. 812-14625 (“Blue Tractor”), Fidelity Beach Street Trust, et al., File No. 812-14364 (“Fidelity”), Natixis Advisors, L.P., et al., File No. 812-14870 (“Natixis”), and T. Rowe Price Associates, Inc. and T. Rowe Price Equity Series, Inc., File No. 812-14214 (“T. Rowe”) (the “Applicants”) Blue Tractor ETF Trust Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Blue Tractor Group, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved IC-33711 https://www.sec.gov/rules/ic/2019/ic-33711.pdf 2019-12-10 Applications of Blue Tractor ETF Trust and Blue Tractor Group, LLC, File No. 812-14625 (“Blue Tractor”), Fidelity Beach Street Trust, et al., File No. 812-14364 (“Fidelity”), Natixis Advisors, L.P., et al., File No. 812-14870 (“Natixis”), and T. Rowe Price Associates, Inc. and T. Rowe Price Equity Series, Inc., File No. 812-14214 (“T. Rowe”) (the “Applicants”) Natixis Advisors, L.P. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved NYSE Group, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Natixis ETF Trust II Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved IC-33712 https://www.sec.gov/rules/ic/2019/ic-33712.pdf 2019-12-10 Applications of Blue Tractor ETF Trust and Blue Tractor Group, LLC, File No. 812-14625 (“Blue Tractor”), Fidelity Beach Street Trust, et al., File No. 812-14364 (“Fidelity”), Natixis Advisors, L.P., et al., File No. 812-14870 (“Natixis”), and T. Rowe Price Associates, Inc. and T. Rowe Price Equity Series, Inc., File No. 812-14214 (“T. Rowe”) (the “Applicants”) Fidelity Beach Street Trust Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Fidelity Management & Research Company Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved FMR Co., Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Fidelity Distributors Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved IC-33713 https://www.sec.gov/rules/ic/2019/ic-33713.pdf 2019-12-10 Applications of Blue Tractor ETF Trust and Blue Tractor Group, LLC, File No. 812-14625 (“Blue Tractor”), Fidelity Beach Street Trust, et al., File No. 812-14364 (“Fidelity”), Natixis Advisors, L.P., et al., File No. 812-14870 (“Natixis”), and T. Rowe Price Associates, Inc. and T. Rowe Price Equity Series, Inc., File No. 812-14214 (“T. Rowe”) (the “Applicants”) T. Rowe Price Associates, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved T. Rowe Price Equity Series, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87732 https://www.sec.gov/litigation/admin/2019/34-87732.pdf 2019-12-12 StoneMor Partners L.P. StoneMor Partners L.P. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved StoneMor GP LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87652 https://www.sec.gov/litigation/opinions/2019/34-87652.pdf 2019-12-03 NXChain, Inc. f/k/a AgriVest Americas, Inc.; BTHC X, Inc.; Innocom Technology Holdings, Inc. SoOum Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87653 https://www.sec.gov/litigation/opinions/2019/34-87653.pdf 2019-12-03 NXChain, Inc. f/k/a AgriVest Americas, Inc.; BTHC X, Inc.; Innocom Technology Holdings, Inc. Kama Resources Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87654 https://www.sec.gov/litigation/opinions/2019/34-87654.pdf 2019-12-03 NXChain, Inc. f/k/a AgriVest Americas, Inc.; BTHC X, Inc.; Innocom Technology Holdings, Inc. Ystrategies Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87657 https://www.sec.gov/litigation/admin/2019/34-87657.pdf 2019-12-04 Petition of Raymon Holmdahl, CPA for reinstatement Holmdahl, Raymon, CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87660 https://www.sec.gov/litigation/opinions/2019/34-87660.pdf 2019-12-04 TMR Bayhead Securities LLC TMR Bayhead Securities LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10730 https://www.sec.gov/litigation/admin/2019/33-10730.pdf 2019-12-05 Iconix Brand Group, Inc. Clamen, Warren, CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10731 https://www.sec.gov/litigation/admin/2019/33-10731.pdf 2019-12-05 Hertz Global Holdings, Inc. Kapur, Jatindar, CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87672 https://www.sec.gov/rules/sro/occ-an/2019/34-87672.pdf 2019-12-06 Two separate but related Advance Notices filed with the Commission pursuant to the Payment, Clearing, and Settlement Supervision Act of 2010 by The Options Clearing Corporation concerning 1) changes to OCC's Clearing Fund and stress testing methodology (SR-OCC-2019-806); and 2) specific wrong-way risk (SR-OCC-2019-807) The Options Clearing Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87673 https://www.sec.gov/rules/sro/occ-an/2019/34-87673.pdf 2019-12-06 Two separate but related Advance Notices filed with the Commission pursuant to the Payment, Clearing, and Settlement Supervision Act of 2010 by The Options Clearing Corporation concerning 1) changes to OCC's Clearing Fund and stress testing methodology (SR-OCC-2019-806); and 2) specific wrong-way risk (SR-OCC-2019-807) The Options Clearing Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86266 https://www.sec.gov/litigation/admin/2019/34-86266.pdf 2019-07-01 Jersey Consulting LLC Gross, Kenneth S. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-87611 https://www.sec.gov/litigation/admin/2019/34-87611.pdf 2019-11-25 Calumet Specialty Products Partners, L.P. Calumet Specialty Products Partners, L.P. Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty Roisman Approved with Exception Approved except as to the penalty Lee Approved 34-87614 https://www.sec.gov/litigation/opinions/2019/34-87614.pdf 2019-11-25 Talon Real Estate Holding Corp. Talon Real Estate Holding Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved IA-5414 https://www.sec.gov/litigation/admin/2019/ia-5414.pdf 2019-11-26 International Investment Group LLC International Investment Group, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87638 https://www.sec.gov/litigation/opinions/2019/34-87638.pdf 2019-11-27 Thaddeus J. North North, Thaddeus J. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87640 https://www.sec.gov/litigation/admin/2019/34-87640.pdf 2019-11-27 DC Solar Solutions, Inc. Roach, Ronald J. Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Lee Approved 34-87642 https://www.sec.gov/litigation/admin/2019/34-87642.pdf 2019-11-29 Certain PCAOB Inspections Holder, Cynthia, CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Not Participating 34-87567 https://www.sec.gov/litigation/admin/2019/34-87567.pdf 2019-11-18 Clarity Communications Group Pearlman, Dale Scott Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87574 https://www.sec.gov/litigation/suspensions/2019/34-87574.pdf Order 2019-11-19 Easton Pharmaceuticals, Inc. Easton Pharmaceuticals, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87579 https://www.sec.gov/litigation/opinions/2019/34-87579.pdf 2019-11-20 TMR Bayhead Securities LLC TMR Bayhead Securities LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87584 https://www.sec.gov/litigation/admin/2019/34-87584.pdf 2019-11-21 Jersey Consulting LLC Goss, Edward Dean Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87586 https://www.sec.gov/litigation/admin/2019/34-87586.pdf 2019-11-21 UBS Fair Fund UBS Financial Services Inc. of Puerto Rico Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved IA-5411 https://www.sec.gov/litigation/opinions/2019/ia-5411.pdf 2019-11-21 Lawrence Allen DeShetler DeShetler, Lawrence Allen Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10728 https://www.sec.gov/litigation/admin/2019/33-10728.pdf 2019-11-22 David F. Bandimere and John O. Young Bandimere, David F. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87594 https://www.sec.gov/rules/sro/nms/2019/34-87594.pdf 2019-11-22 Publication of Notice of Filing and Immediate Effectiveness of Amendments to the: 1) Nasdaq/UTP Plan (S7-24-89); 2) CTA/CQ Plans (SR-CTA/CQ-2019-03); 3) Rule 605 Plan (4-518); 4) CAT Plan (4-698); and 5) Symbology Plan (4-533) Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Forty-Sixth Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87595 https://www.sec.gov/rules/sro/nms/2019/34-87595.pdf 2019-11-22 Publication of Notice of Filing and Immediate Effectiveness of Amendments to the: 1) Nasdaq/UTP Plan (S7-24-89); 2) CTA/CQ Plans (SR-CTA/CQ-2019-03); 3) Rule 605 Plan (4-518); 4) CAT Plan (4-698); and 5) Symbology Plan (4-533) Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan Governing the Consolidated Audit Trail to Add Long-Term Stock Exchange LLC as a Participant Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87596 https://www.sec.gov/rules/sro/nms/2019/34-87596.pdf 2019-11-22 Publication of Notice of Filing and Immediate Effectiveness of Amendments to the: 1) Nasdaq/UTP Plan (S7-24-89); 2) CTA/CQ Plans (SR-CTA/CQ-2019-03); 3) Rule 605 Plan (4-518); 4) CAT Plan (4-698); and 5) Symbology Plan (4-533) Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Thirty-Second Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Third Substantive Amendment to the Restated CQ Plan Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87597 https://www.sec.gov/rules/sro/nms/2019/34-87597.pdf 2019-11-22 Publication of Notice of Filing and Immediate Effectiveness of Amendments to the: 1) Nasdaq/UTP Plan (S7-24-89); 2) CTA/CQ Plans (SR-CTA/CQ-2019-03); 3) Rule 605 Plan (4-518); 4) CAT Plan (4-698); and 5) Symbology Plan (4-533) Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols to Add Long-Term Stock Exchange, Inc. as a Party Thereto Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87598 https://www.sec.gov/rules/sro/nms/2019/34-87598.pdf 2019-11-22 Publication of Notice of Filing and Immediate Effectiveness of Amendments to the: 1) Nasdaq/UTP Plan (S7-24-89); 2) CTA/CQ Plans (SR-CTA/CQ-2019-03); 3) Rule 605 Plan (4-518); 4) CAT Plan (4-698); and 5) Symbology Plan (4-533) Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan Establishing Procedures Under Rule 605 of Regulation NMS to Add the Long Term Stock Exchange, Inc. as a Participant Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87599 https://www.sec.gov/litigation/opinions/2019/34-87599.pdf 2019-11-22 Alpine Securities Corporation Alpine Securities Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87601 https://www.sec.gov/litigation/opinions/2019/34-87601.pdf 2019-11-22 Newport Coast Securities, Inc. Newport Coast Securities, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved IA-5412 https://www.sec.gov/litigation/admin/2019/ia-5412.pdf 2019-11-22 Fortaleza Asset Management, Inc. Channing Capital Management, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87503 https://www.sec.gov/rules/other/2019/34-87503.pdf 2019-11-12 Commission review of the Division's action by delegated authority in disapproving a proposal by NYSE Arca, Inc. to list and trade shares of the Bitwise Bitcoin ETF Trust (SR-NYSEArca-2019-01) NYSE Arca, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87504 https://www.sec.gov/litigation/admin/2019/34-87504.pdf 2019-11-12 The Valspar Corporation and Other Issuers Pinto-Thomaz ,Sebastian Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved IC-33682 https://www.sec.gov/rules/ic/2019/ic-33682.pdf 2019-11-14 Applications of Blue Tractor ETF Trust and Blue Tractor Group, LLC, File No. 812-14625 (“Blue Tractor”), Fidelity Beach Street Trust, et al., File No. 812-14364 (“Fidelity”), Natixis Advisors, L.P., et al., File No. 812-14870 (“Natixis”), and T. Rowe Price Associates, Inc. and T. Rowe Price Equity Series, Inc., File No. 812-14214 (“T. Rowe”) (the “Applicants”) Blue Tractor ETF Trust Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Blue Tractor Group, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved IC-33683 https://www.sec.gov/rules/ic/2019/ic-33683.pdf 2019-11-14 Applications of Blue Tractor ETF Trust and Blue Tractor Group, LLC, File No. 812-14625 (“Blue Tractor”), Fidelity Beach Street Trust, et al., File No. 812-14364 (“Fidelity”), Natixis Advisors, L.P., et al., File No. 812-14870 (“Natixis”), and T. Rowe Price Associates, Inc. and T. Rowe Price Equity Series, Inc., File No. 812-14214 (“T. Rowe”) (the “Applicants”) Fidelity Beach Street Trust, et al. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved IC-33684 https://www.sec.gov/rules/ic/2019/ic-33684.pdf 2019-11-14 Applications of Blue Tractor ETF Trust and Blue Tractor Group, LLC, File No. 812-14625 (“Blue Tractor”), Fidelity Beach Street Trust, et al., File No. 812-14364 (“Fidelity”), Natixis Advisors, L.P., et al., File No. 812-14870 (“Natixis”), and T. Rowe Price Associates, Inc. and T. Rowe Price Equity Series, Inc., File No. 812-14214 (“T. Rowe”) (the “Applicants”) Natixis Advisors, L.P., et al. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved IC-33685 https://www.sec.gov/rules/ic/2019/ic-33685.pdf 2019-11-14 Applications of Blue Tractor ETF Trust and Blue Tractor Group, LLC, File No. 812-14625 (“Blue Tractor”), Fidelity Beach Street Trust, et al., File No. 812-14364 (“Fidelity”), Natixis Advisors, L.P., et al., File No. 812-14870 (“Natixis”), and T. Rowe Price Associates, Inc. and T. Rowe Price Equity Series, Inc., File No. 812-14214 (“T. Rowe”) (the “Applicants”) T. Rowe Price Associates, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved T. Rowe Price Equity Series, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87607 https://www.sec.gov/rules/proposed/2019/34-87607.pdf 2019-11-25 Use of Derivatives by Registered Investment Companies and Business Development Companies; Required Due Diligence by Broker-Dealers and Registered Investment Advisers Regarding Retail Customers’ Transactions in Certain Leveraged/Inverse Investment Vehicles Use of Derivatives by Registered Investment Companies and Business Development Companies; Required Due Diligence by Broker-Dealers and Registered Investment Advisers Regarding Retail Customers’ Transactions in Certain Leveraged/Inverse Investment Vehicles Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87448 https://www.sec.gov/litigation/suspensions/2019/34-87448.pdf Order 2019-11-01 Discovery Gold Corp. Canal Capital Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10725 https://www.sec.gov/litigation/admin/2019/33-10725.pdf 2019-11-04 Certain EB-5 Regional Centers Liou, Bethany Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Golden California Regional Center, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87456 https://www.sec.gov/litigation/opinions/2019/34-87456.pdf 2019-11-04 Kimberly Springsteen-Abbott Springsteen-Abbott, Kimberly Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87459 https://www.sec.gov/litigation/admin/2019/34-87459.pdf 2019-11-05 Toon Goggles, Inc. Warkol, Ira Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87475 https://www.sec.gov/rules/sro/occ-an/2019/34-87475.pdf 2019-11-06 Advance Notices filed with the Commission pursuant to the Payment, Clearing, and Settlement Supervision Act of 2010 by The Options Clearing Corporation concerning changes to OCC's margin, clearing, fund, and stress testing methodologies (File Nos. SR-OCC-2019-806 and SR-OCC-2019-807) The Options Clearing Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87476 https://www.sec.gov/rules/sro/occ-an/2019/34-87476.pdf 2019-11-06 Advance Notices filed with the Commission pursuant to the Payment, Clearing, and Settlement Supervision Act of 2010 by The Options Clearing Corporation concerning changes to OCC's margin, clearing, fund, and stress testing methodologies (File Nos. SR-OCC-2019-806 and SR-OCC-2019-807) The Options Clearing Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10726 https://www.sec.gov/litigation/admin/2019/33-10726.pdf 2019-11-07 Morgan Stanley Smith Barney LLC Mutual Funds Morgan Stanley Smith Barney LLC Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved 33-10727 https://www.sec.gov/rules/other/2019/33-10727.pdf 2019-11-07 Morgan Stanley Smith Barney LLC Mutual Funds Morgan Stanley Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Morgan Stanley Finance LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87482 https://www.sec.gov/rules/other/2019/34-87482.pdf 2019-11-07 Renewal of the SEC Fixed Income Market Structure Advisory Committee Fixed Income Market Structure Advisory Committee Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87484 https://www.sec.gov/litigation/admin/2019/34-87484.pdf 2019-11-07 L-3 Communications, Inc. Pruitt, David, CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87446 https://www.sec.gov/litigation/admin/2019/34-87446.pdf 2019-11-01 1 Global Capital, LLC Atlas, Jan D., Esq. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87458 https://www.sec.gov/rules/proposed/2019/34-87458.pdf 2019-11-05 Procedural Requirements and Resubmission Thresholds under Exchange Act Rule 14a-8 Procedural Requirements and Resubmission Thresholds under Exchange Act Rule 14a-8 Clayton Approved Jackson Not Approved Peirce Approved Roisman Approved Lee Not Approved 34-87457 https://www.sec.gov/rules/proposed/2019/34-87457.pdf 2019-11-05 Amendments to Exemptions from the Proxy Rules for Proxy Voting Advice Amendments to Exemptions from the Proxy Rules for Proxy Voting Advice Clayton Approved Jackson Not Approved Peirce Approved Roisman Approved Lee Not Approved IA-5407 https://www.sec.gov/rules/proposed/2019/ia-5407.pdf 2019-11-04 Investment Adviser Advertisements; Compensation for Solicitations Investment Adviser Advertisements; Compensation for Solicitations Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86265 https://www.sec.gov/litigation/admin/2019/34-86265.pdf 2019-07-01 Jersey Consulting LLC Goss, Edward D. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 33-10722 https://www.sec.gov/litigation/opinions/2019/33-10722.pdf 2019-10-28 Clayton T. Marshall Marshall, Clayton T. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87411 https://www.sec.gov/litigation/opinions/2019/34-87411.pdf 2019-10-28 Thaddeus J. North North, Thaddeus J. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87418 https://www.sec.gov/litigation/admin/2019/34-87418.pdf 2019-10-30 Fantastic Financial Corporation and Other Delinquent Issuers Mansfield-Martin Exploration Mining, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87420 https://www.sec.gov/litigation/suspensions/2019/34-87420.pdf Order 2019-10-30 Changing Technologies, Inc. and Other Deliquent Issuers FormCap Corp. a/k/a Matrix Ventures Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87424 https://www.sec.gov/litigation/opinions/2019/34-87424.pdf 2019-10-30 TMR Bayhead Securities, LLC TMR Bayhead Securities LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87425 https://www.sec.gov/litigation/opinions/2019/34-87425.pdf 2019-10-30 Talman Harris Harris, Talman Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10723 https://www.sec.gov/litigation/admin/2019/33-10723.pdf 2019-10-31 FirstGlobalCredit.com XBT Corp. Sarl d/b/a First Global Credit Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved 34-87429 https://www.sec.gov/litigation/admin/2019/34-87429.pdf 2019-10-31 Luca International Group, LLC Lei, Lei (Lily) Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Lee Approved 34-87383 https://www.sec.gov/litigation/opinions/2019/34-87383.pdf 2019-10-22 Zoom Companies, Inc. Zoom Companies, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87384 https://www.sec.gov/litigation/opinions/2019/34-87384.pdf 2019-10-22 John Boone Kincaid III Kincaid,John Boone III Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved IA-5404 https://www.sec.gov/litigation/admin/2019/ia-5404.pdf 2019-10-22 World Opportunity Funds Conrad,Thomas D. Jr. White Approved Stein Approved Piwowar Not Approved 33-10720 https://www.sec.gov/rules/proposed/2019/33-10720.pdf 2019-10-24 Filing Fee Disclosure and Payment Methods Modernization 33 Act; 34 Act; IC Act; Amend Forms S-1, et al.; Amend Schedules 13E-3, et al. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87396 https://www.sec.gov/litigation/admin/2019/34-87396.pdf 2019-10-24 MVP Manager LLC MVP Manager LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87397 https://www.sec.gov/litigation/admin/2019/34-87397.pdf 2019-10-24 Activecare, Inc. n/k/a ACAR Wind Down, Inc., et al. Cannabis Science, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10720 https://www.sec.gov/rules/proposed/2019/33-10720.pdf 2019-10-24 Filing Fee Disclosure and Payment Methods Modernization Filing Fee Disclosure and Payment Methods Modernization Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87302 https://www.sec.gov/litigation/admin/2019/34-87302.pdf 2019-10-15 Certain ADR Issuers Migliorato ,Domenick Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87307 https://www.sec.gov/litigation/admin/2019/34-87307.pdf 2019-10-15 Advanced Voice Technologies, Inc., et al. Ranger Gold Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87323 https://www.sec.gov/litigation/admin/2019/34-87323.pdf 2019-10-16 Apollo Solar Energy, Inc. Apollo Solar Energy, Inc. Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87324 https://www.sec.gov/litigation/admin/2019/34-87324.pdf 2019-10-16 Changing Technologies, Inc. and Other Deliquent Issuers Lithium Exploration Group, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87325 https://www.sec.gov/litigation/opinions/2019/34-87325.pdf 2019-10-16 Quadrant 4 System Corp. Schulman Lobel Zand Katzen Williams & Blackman, LLP a/k/a Schulman Lobel LLP Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87326 https://www.sec.gov/litigation/admin/2019/34-87326.pdf 2019-10-17 BioNeutral Group, Inc. Toomer,Donald Jr. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87327 https://www.sec.gov/rules/policy/2019/34-87327.pdf 2019-10-17 Commission Statement on Market Structure Innovation for Thinly Traded Securities 34 Act; Commission Statement on Market Structure Innovation for Thinly Traded Securities Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87332 https://www.sec.gov/litigation/admin/2019/34-87332.pdf 2019-10-17 American Retirement Villas Properties, et al. Universal Resources (f/k/a Global Immune Technologies Inc.) Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87333 https://www.sec.gov/litigation/admin/2019/34-87333.pdf 2019-10-17 American Retirement Villas Properties, et al. Gyrotron Technology, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87334 https://www.sec.gov/litigation/admin/2019/34-87334.pdf 2019-10-17 Clarity Communications Group Mallion,Richard Andrew Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved IC-33658 https://www.sec.gov/rules/proposed/2019/ic-33658.pdf 2019-10-18 Amendments to Procedures with Respect to Applications Under the Investment Company Act of 1940 IC Act; Rule 0-5 and New Rule 17 CFR 202.13 Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved IC-33658 https://www.sec.gov/rules/proposed/2019/ic-33658.pdf 2019-10-18 Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940 Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940 Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87327 https://www.sec.gov/rules/policy/2019/34-87327.pdf 2019-10-17 Commission Statement on Market Structure Innovation for Thinly Traded Securities Commission Statement on Market Structure Innovation for Thinly Traded Securities Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87245 https://www.sec.gov/litigation/admin/2019/34-87245.pdf 2019-10-08 Certain Merger Announcements Siva, Michael Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Lee Approved 34-87251 https://www.sec.gov/litigation/opinions/2019/34-87251.pdf 2019-10-08 Commonwealth Capital Securities Corp. Commonwealth Capital Securities Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87256 https://www.sec.gov/rules/other/2019/34-87256.pdf 2019-10-08 SEC Asset Management Advisory Committee SEC Asset Management Advisory Committee Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87257 https://www.sec.gov/rules/sro/occ-an/2019/34-87257.pdf 2019-10-08 Advance Notice filed with the Commission pursuant to the Payment, Clearing, and Settlement Supervision Act of 2010 by The Options Clearing Corporation related to the adopted of Capital Management Policy (SR-OCC-2019-805) The Options Clearing Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87259 https://www.sec.gov/litigation/admin/2019/34-87259.pdf 2019-10-09 Intertech Solutions, Inc. Wasserman, Harold Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87268 https://www.sec.gov/litigation/admin/2019/34-87268.pdf 2019-10-10 Lek Securities Corporation Lek Securities Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Lek, Samuel Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87281 https://www.sec.gov/litigation/admin/2019/34-87281.pdf 2019-10-10 ICFR Initiative Northwest Biotherapeutics, Inc. Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty Roisman Approved with Exception Approved except as to the penalty Lee Approved 33-10718 https://www.sec.gov/litigation/admin/2019/33-10718.pdf 2019-10-11 FAB Universal Corp. Busshaus, John, CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10719 https://www.sec.gov/litigation/admin/2019/33-10719.pdf 2019-10-11 UQM Technologies, Inc. UQM Technologies, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87195 https://www.sec.gov/litigation/admin/2019/34-87195.pdf 2019-10-01 Clarity Communications Group Hedri, Moez Ben Mohamed Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87203 https://www.sec.gov/litigation/suspensions/2019/34-87203.pdf Order 2019-10-02 GP Solutions, Inc. GP Solutions, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87204 https://www.sec.gov/rules/exorders/2019/34-87204.pdf 2019-10-02 Notice of Proposed Exemptive Order Granting a Conditional Exemption from the Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 for Certain Activities of Registered Municipal Advisors Proposed Exemptive Order Granting a Conditional Exemption from the Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 for Certain Activities of Registered Municipal Advisor Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87226 https://www.sec.gov/litigation/opinions/2019/34-87226.pdf 2019-10-04 Mark Feathers Feathers, Mark Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87234 https://www.sec.gov/rules/sro/ficc-an/2019/34-87234.pdf 2019-10-04 Advance Notice filed with the Commission pursuant to the Payment, Clearing, and Settlement Supervision Act of 2010 by the Fixed Income Clearing Corporation to Amend FICC's Rulebook to Establish a Process to Address Liquidity Needs in Certain Situations in the GCF Repo and CCIT Services and Make Other Changes (File No. SR-FICC-2019-801) Fixed Income Clearing Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87236 https://www.sec.gov/litigation/opinions/2019/34-87236.pdf 2019-10-04 Colorado Goldfieds, Inc. Colorado Goldfieds, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87193 https://www.sec.gov/rules/proposed/2019/34-87193.pdf 2019-10-01 Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10712 https://www.sec.gov/rules/other/2019/33-10712.pdf 2019-09-30 Share Class Selection Disclosure Initiative Comprehensive Capital Management, Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved Henley & Company Wealth Management, LLC Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved IC Advisory Services, Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved Independent Financial Group, LLC Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved IPG Investment Advisors, LLC Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved Saxony Capital Management, LLC Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved Wedbush Securities, Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved 33-10713 https://www.sec.gov/rules/other/2019/33-10713.pdf 2019-09-30 Share Class Selection Disclosure Initiative Bill Few Associates, Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved Cargile Investment Management, Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved Equity Services, Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved Essex Financial Services, Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved Folger Nolan Fleming Douglas Capital Management, Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved Hilltop Securities, Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved Hilltop Securities Independent Network, Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved Investment Partners, LTD Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved Michigan Advisors, Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved Hilltop Holdings, Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved Koshinski Asset Management, Inc. d/b/a IPI Wealth Management, Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved 33-10714 https://www.sec.gov/litigation/admin/2019/33-10714.pdf 2019-09-30 Block.one Initial Coin Offering Block.one Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved 33-10715 https://www.sec.gov/litigation/admin/2019/33-10715.pdf 2019-09-30 Sia Nebulous, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10716 https://www.sec.gov/rules/other/2019/33-10716.pdf 2019-09-30 Nebulous, Inc. Nebulous, Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Not Approved Lee Approved 33-10717 https://www.sec.gov/rules/other/2019/33-10717.pdf 2019-09-30 Block.one Block.one Clayton Approved Jackson Approved Peirce Not Approved Roisman Not Approved Lee Approved 34-87155 https://www.sec.gov/litigation/admin/2019/34-87155.pdf 2019-09-30 KCG MatchIt Virtu Americas LLC (f/k/a KCG Americas LLC) Clayton Approved Jackson Approved Peirce Approved Roisman Not Approved Lee Approved 34-87156 https://www.sec.gov/litigation/opinions/2019/34-87156.pdf 2019-09-30 Scottsdale Capital Advisors Corp., et al. Scottsdale Capital Advisors Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Hurry, John J. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Diblasi, Timothy B. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Cruz, D. Michael Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87158 https://www.sec.gov/litigation/admin/2019/34-87158.pdf 2019-09-30 Outset Global LLP Outset Global LLP Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87159 https://www.sec.gov/litigation/admin/2019/34-87159.pdf 2019-09-30 Quadrant 4 System Corp. Manowitz, Marla P., CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Vreeland, Thomas R., CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Gralak, Kenneth J., CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87161 https://www.sec.gov/litigation/opinions/2019/34-87161.pdf 2019-09-30 TMR Bayhead Securities, LLC TMR Bayhead Securities, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87173 https://www.sec.gov/litigation/admin/2019/34-87173.pdf 2019-09-30 Sarkauskas Fair Fund Sarkauskas and Associates, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Sarkauskas, James M. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87175 https://www.sec.gov/litigation/admin/2019/34-87175.pdf 2019-09-30 Harvey Public Library District Bonds IFS Securities Clayton Approved Jackson Not Participating Peirce Not Approved Roisman Approved 34-87177 https://www.sec.gov/litigation/admin/2019/34-87177.pdf 2019-09-30 Founders Financial Securities, LLC Founders Financial Securities, LLC Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty Roisman Approved Lee Approved 34-87178 https://www.sec.gov/litigation/admin/2019/34-87178.pdf 2019-09-30 WebMD Health Corp. Jung, Woojae "Steve" Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Lee Approved IA-5380 https://www.sec.gov/litigation/admin/2019/ia-5380.pdf 2019-09-30 Share Class Selection Disclosure Initiative Comprehensive Capital Management, Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved IA-5381 https://www.sec.gov/litigation/admin/2019/ia-5381.pdf 2019-09-30 Share Class Selection Disclosure Initiative Henley & Company Wealth Management, LLC Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved IA-5382 https://www.sec.gov/litigation/admin/2019/ia-5382.pdf 2019-09-30 Share Class Selection Disclosure Initiative IC Advisory Services, Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved IA-5383 https://www.sec.gov/litigation/admin/2019/ia-5383.pdf 2019-09-30 Share Class Selection Disclosure Initiative Independent Financial Group, LLC Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved IA-5384 https://www.sec.gov/litigation/admin/2019/ia-5384.pdf 2019-09-30 Share Class Selection Disclosure Initiative IPG Investment Advisors, LLC Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved IA-5385 https://www.sec.gov/litigation/admin/2019/ia-5385.pdf 2019-09-30 Share Class Selection Disclosure Initiative Saxony Capital Management, LLC Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved IA-5386 https://www.sec.gov/litigation/admin/2019/ia-5386.pdf 2019-09-30 Share Class Selection Disclosure Initiative Wedbush Securities, Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved IA-5387 https://www.sec.gov/litigation/admin/2019/ia-5387.pdf 2019-09-30 Mid Atlantic Financial Management, Inc. Mid Atlantic Financial Management, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved IA-5388 https://www.sec.gov/litigation/admin/2019/ia-5388.pdf 2019-09-30 Share Class Selection Disclosure Initiative Bill Few Associates, Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved IA-5389 https://www.sec.gov/litigation/admin/2019/ia-5389.pdf 2019-09-30 Share Class Selection Disclosure Initiative Cargile Investment Management, Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved IA-5390 https://www.sec.gov/litigation/admin/2019/ia-5390.pdf 2019-09-30 Share Class Selection Disclosure Initiative Equity Services, Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved IA-5391 https://www.sec.gov/litigation/admin/2019/ia-5391.pdf 2019-09-30 Share Class Selection Disclosure Initiative Folger Nolan Fleming Douglas Capital Management, Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved IA-5392 https://www.sec.gov/litigation/admin/2019/ia-5392.pdf 2019-09-30 Share Class Selection Disclosure Initiative Essex Financial Services, Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved IA-5393 https://www.sec.gov/litigation/admin/2019/ia-5393.pdf 2019-09-30 Share Class Selection Disclosure Initiative Hilltop Securities, Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved Hilltop Securities Independent Network, Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved IA-5394 https://www.sec.gov/litigation/admin/2019/ia-5394.pdf 2019-09-30 Share Class Selection Disclosure Initiative Investment Partners, LTD Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved IA-5395 https://www.sec.gov/litigation/admin/2019/ia-5395.pdf 2019-09-30 Share Class Selection Disclosure Initiative Michigan Advisors, Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved 34-87045 https://www.sec.gov/litigation/admin/2019/34-87045.pdf 2019-09-23 Ezagoo Inc. Ezagoo Inc. Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87046 https://www.sec.gov/litigation/admin/2019/34-87046.pdf 2019-09-23 Changing Technologies, Inc. and Other Deliquent Issuers Presidion Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87047 https://www.sec.gov/litigation/admin/2019/34-87047.pdf 2019-09-23 Changing Technologies, Inc. and Other Deliquent Issuers EMTA Corp. a/k/a Wiltex A Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Fuzzy Logic Software Corp. a/k/a China Global Solar Corporation Limited Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Granite Futures Fund Limited Partnership Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87048 https://www.sec.gov/litigation/admin/2019/34-87048.pdf 2019-09-23 Changing Technologies, Inc. and Other Deliquent Issuers Hawk Street Acquisition Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Mobad Service Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87049 https://www.sec.gov/litigation/admin/2019/34-87049.pdf 2019-09-23 Changing Technologies, Inc. and Other Deliquent Issuers R-Tec Holding, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved RTR, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved SCAPPLE Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87050 https://www.sec.gov/litigation/admin/2019/34-87050.pdf 2019-09-23 Changing Technologies, Inc. and Other Deliquent Issuers Sea Breeze Power Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 1701 Productions, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87051 https://www.sec.gov/litigation/admin/2019/34-87051.pdf 2019-09-23 Changing Technologies, Inc. and Other Deliquent Issuers Tryon Alpha, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Tundra Resources, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87052 https://www.sec.gov/litigation/admin/2019/34-87052.pdf 2019-09-23 PwC Auditor Independence PricewaterhouseCoopers, LLP Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87053 https://www.sec.gov/litigation/admin/2019/34-87053.pdf 2019-09-23 PwC Auditor Independence Sprankle, Brandon, CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87054 https://www.sec.gov/litigation/admin/2019/34-87054.pdf 2019-09-23 Nissan Motor Co., Ltd. Nissan Motor Co., Ltd. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved 34-87055 https://www.sec.gov/litigation/admin/2019/34-87055.pdf 2019-09-23 Unaoil S.A.M. TechnipFMC plc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87057 https://www.sec.gov/litigation/opinions/2019/34-87057.pdf 2019-09-23 Sean P. Finn and M. Dwyer LLC Finn, Sean P. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved M. Dwyer LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87063 https://www.sec.gov/litigation/admin/2019/34-87063.pdf 2019-09-23 Petition of Jason Griffith, CPA for reinstatement Griffith, Jason, CPA Clayton Approved Jackson Not Approved Peirce Approved Roisman Approved Lee Not Approved 34-87064 https://www.sec.gov/litigation/admin/2019/34-87064.pdf 2019-09-23 Changing Technologies, Inc. and Other Deliquent Issuers Changing Technologies, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87065 https://www.sec.gov/litigation/suspensions/2019/34-87065.pdf Order 2019-09-23 Changing Technologies, Inc. and Other Deliquent Issuers Changing Technologies, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87066 https://www.sec.gov/litigation/admin/2019/34-87066.pdf 2019-09-23 Changing Technologies, Inc. and Other Deliquent Issuers China Gerui Advanced Materials Group Limited Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87067 https://www.sec.gov/litigation/suspensions/2019/34-87067.pdf Order 2019-09-23 Changing Technologies, Inc. and Other Deliquent Issuers China Gerui Advanced Materials Group Limited Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87068 https://www.sec.gov/litigation/admin/2019/34-87068.pdf 2019-09-23 Petition of Subramanian Krishnan, CPA for reinstatement Krishnan, Subramanian, CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved IA-5361 https://www.sec.gov/litigation/admin/2019/ia-5361.pdf 2019-09-23 HCR Wealth Advisors, Inc. HCR Wealth Advisors Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10692 https://www.sec.gov/litigation/admin/2019/33-10692.pdf 2019-09-24 comScore, Inc. Comscore, Inc. Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty Roisman Approved with Exception Approved except as to the penalty Lee Approved 33-10693 https://www.sec.gov/litigation/admin/2019/33-10693.pdf 2019-09-24 comScore, Inc. Matta, Serge Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10694 https://www.sec.gov/litigation/admin/2019/33-10694.pdf 2019-09-24 HighStreet Founders, LLC Huish, Scott G. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87074 https://www.sec.gov/litigation/admin/2019/34-87074.pdf 2019-09-24 Certain Fixed Income Trading Platforms TMC Bonds LLC Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty Roisman Approved Lee Approved 34-87080 https://www.sec.gov/litigation/admin/2019/34-87080.pdf 2019-09-24 Changing Technologies, Inc. and Other Deliquent Issuers Nexus Resources Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Private Access, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87081 https://www.sec.gov/litigation/admin/2019/34-87081.pdf 2019-09-24 Changing Technologies, Inc. and Other Deliquent Issuers Pro Squared, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Protech Global Holdings Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87082 https://www.sec.gov/litigation/admin/2019/34-87082.pdf 2019-09-24 Changing Technologies, Inc. and Other Deliquent Issuers RARAN Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Refco Public Commodity Pool, L.P. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Rent USA, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87083 https://www.sec.gov/litigation/admin/2019/34-87083.pdf 2019-09-24 Changing Technologies, Inc. and Other Deliquent Issuers Green Ballast, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Lithium Exploration Group, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87084 https://www.sec.gov/litigation/suspensions/2019/34-87084.pdf Order 2019-09-24 Changing Technologies, Inc. and Other Deliquent Issuers Green Ballast, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Lithium Exploration Group, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87085 https://www.sec.gov/litigation/admin/2019/34-87085.pdf 2019-09-24 Changing Technologies, Inc. and Other Deliquent Issuers Seen on Screen TV, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved The Pulse Network, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87086 https://www.sec.gov/litigation/suspensions/2019/34-87086.pdf Order 2019-09-24 Changing Technologies, Inc. and Other Deliquent Issuers Seen on Screen TV, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved The Pulse Network, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87087 https://www.sec.gov/litigation/admin/2019/34-87087.pdf 2019-09-24 Changing Technologies, Inc. and Other Deliquent Issuers FlikMedia, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87088 https://www.sec.gov/litigation/suspensions/2019/34-87088.pdf Order 2019-09-24 Changing Technologies, Inc. and Other Deliquent Issuers FlikMedia, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87097 https://www.sec.gov/litigation/suspensions/2019/34-87097.pdf Order 2019-09-24 Certain Non-Current Microcap Securities II Stadium Entertainment Holdings, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved IA-5363 https://www.sec.gov/litigation/admin/2019/ia-5363.pdf 2019-09-24 Strategic Planning Group, Inc. Strategic Planning Group, Inc. Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty Roisman Approved Lee Approved Rourke, David A. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Sherman, Jarrod A. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10696 https://www.sec.gov/litigation/admin/2019/33-10696.pdf 2019-09-25 WGE Holdings Corp. Minsky, Harold Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10697 https://www.sec.gov/litigation/admin/2019/33-10697.pdf 2019-09-25 WGE Holdings Corp. Matin, George Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10698 https://www.sec.gov/litigation/admin/2019/33-10698.pdf 2019-09-25 WGE Holdings Corp. Hackley, Chip Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87100 https://www.sec.gov/litigation/admin/2019/34-87100.pdf 2019-09-25 Hefren-Tillotson, Inc. Hefren-Tillotson, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87102 https://www.sec.gov/litigation/admin/2019/34-87102.pdf 2019-09-25 Longwei Petroleum Investment Holding Limited Toups, Michael P. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87110 https://www.sec.gov/rules/exorders/2019/34-87110.pdf 2019-09-25 Exchange-Traded Funds Order Granting a Conditional Exemption from Exchange Act Section 11(D)(1) and Exchange Act Rules 10b-10, 15c1-5, 15c1-6, and 14e-5 for Certain Exchange Traded Funds Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved IA-5366 https://www.sec.gov/litigation/admin/2019/ia-5366.pdf 2019-09-25 Premier Assurance Group LLC Cornide, Leonardo Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Falcon, Jorge Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved IA-5368 https://www.sec.gov/litigation/admin/2019/ia-5368.pdf 2019-09-25 Strong Investment Management Bronson, Joseph B. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 33-10701 https://www.sec.gov/litigation/admin/2019/33-10701.pdf 2019-09-26 PPG Industries, Inc. PPG Industries, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10702 https://www.sec.gov/litigation/admin/2019/33-10702.pdf 2019-09-26 Rich Uncles NNN REIT, Inc. BrixInvest, LLC (formerly known as Rich Uncles, LLC and Nexregen, LLC) Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87123 https://www.sec.gov/litigation/admin/2019/34-87123.pdf 2019-09-26 BNY ConvergEx Group, LLC G-Trade Services LLC White Approved Stein Approved Piwowar Approved Convergex Global Markets Limited White Approved Stein Approved Piwowar Approved Convergex Execution Solutions LLC White Approved Stein Approved Piwowar Approved 34-87127 https://www.sec.gov/litigation/admin/2019/34-87127.pdf 2019-09-26 Citigroup Global Markets Inc. Proprietary Trading Losses Agarwal, Mahesh Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Lee Approved 34-87128 https://www.sec.gov/litigation/admin/2019/34-87128.pdf 2019-09-26 Quad/Graphics, Inc. Quad/Graphics, Inc. Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the disgorgement Roisman Approved Lee Approved 34-87137 https://www.sec.gov/litigation/admin/2019/34-87137.pdf 2019-09-26 Jersey Consulting LLC Shoucair, Jonathan E. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved IA-5371 https://www.sec.gov/litigation/admin/2019/ia-5371.pdf 2019-09-26 Cetera Investment Advisers LLC Cetera Investment Advisers LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10710 https://www.sec.gov/litigation/admin/2019/33-10710.pdf 2019-09-27 Certain Inter-dealer Broker Activities GFI Securities LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10711 https://www.sec.gov/rules/other/2019/33-10711.pdf 2019-09-27 Certain Inter-dealer Broker Activities BGC Partners, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10703 https://www.sec.gov/litigation/admin/2019/33-10703.pdf 2019-09-27 Herbalife Herbalife Nutrition Ltd. Clayton Approved Jackson Not Participating Peirce Not Approved Roisman Approved Lee Approved 33-10704 https://www.sec.gov/litigation/admin/2019/33-10704.pdf 2019-09-27 American Bondholders Foundation, LLC Pryor, Gary F. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved The Pinnacle Companies, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10705 https://www.sec.gov/litigation/admin/2019/33-10705.pdf 2019-09-27 Harding Advisory LLC Harding Advisory LLC Clayton Approved Jackson Approved Peirce Not Participating Roisman Approved Lee Approved Chau, Wing F. Clayton Approved Jackson Approved Peirce Not Participating Roisman Approved Lee Approved 33-10706 https://www.sec.gov/litigation/admin/2019/33-10706.pdf 2019-09-27 Fiat Chrysler Automobiles N.V. FCA US LLC Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved Lee Approved Fiat Chrysler Automobiles N.V. Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10707 https://www.sec.gov/litigation/admin/2019/33-10707.pdf 2019-09-27 iQuantifi, Inc. iQuantifi, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved White, Thomas F. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10708 https://www.sec.gov/rules/other/2019/33-10708.pdf 2019-09-27 BMO Harris Financial Advisors, Inc. Bank of Montreal Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87132 https://www.sec.gov/litigation/admin/2019/34-87132.pdf 2019-09-27 Barclays PLC Barclays PLC Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty Roisman Approved with Exception Approved except as to the penalty Lee Approved 34-87135 https://www.sec.gov/litigation/opinions/2019/34-87135.pdf 2019-09-27 Thaddeus J. North North,Thaddeus J. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87136 https://www.sec.gov/litigation/admin/2019/34-87136.pdf 2019-09-27 Omgeo Matching Services US, LLC Omgeo Matching Services US, LLC n/k/a DTCC ITP Matching (US) LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87138 https://www.sec.gov/litigation/admin/2019/34-87138.pdf 2019-09-27 Westport Fuel Systems, Inc. Westport Fuel Systems, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Gougarty, Nancy Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87139 https://www.sec.gov/litigation/opinions/2019/34-87139.pdf 2019-09-27 Michael T. Rand, CPA Rand, Michael T., CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87145 https://www.sec.gov/litigation/admin/2019/34-87145.pdf 2019-09-27 BMO Harris Financial Advisors, Inc. BMO Harris Financial Advisors, Inc. Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty Roisman Approved Lee Approved BMO Asset Management Corp. Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty Roisman Approved Lee Approved 34-87149 https://www.sec.gov/rules/sro/nms/2019/34-87149.pdf 2019-09-27 Amendment to the National Market System Plan Governing the Consolidated Audit Trail Cboe BYX Exchange, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Cboe BZX Exchange, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Cboe EDGA Exchange, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Cboe EDGX Exchange, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved BOX Options Exchange LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Cboe C2 Options Exchange, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Cboe Exchange, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Financial Industry Regulatory Authority, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Investors’ Exchange LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Miami International Securities Exchange, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved MIAX EMERALD, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved MIAX PEARL, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Nasdaq BX, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Nasdaq GEMX, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Nasdaq ISE, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Nasdaq MRX, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Nasdaq PHLX LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved The Nasdaq Stock Market LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved New York Stock Exchange LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved NYSE Arca, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved NYSE American, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved NYSE Chicago, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved NYSE National, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved IA-5373 https://www.sec.gov/litigation/admin/2019/ia-5373.pdf 2019-09-27 ECP Manager LP ECP Manager LP Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved IA-5374 https://www.sec.gov/litigation/admin/2019/ia-5374.pdf 2019-09-27 Certain Investment Adviser Proxy Voting Amadeus Wealth Advisors, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved IA-5375 https://www.sec.gov/litigation/admin/2019/ia-5375.pdf 2019-09-27 Certain Investment Adviser Proxy Voting Three Bridge Wealth Advisors, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10714 https://www.sec.gov/litigation/admin/2019/33-10714.pdf 2019-09-30 Block.one Initial Coin Offering Block.one Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved 33-10717 https://www.sec.gov/rules/other/2019/33-10717.pdf 2019-09-30 Block.one Block.one Clayton Approved Jackson Approved Peirce Not Approved Roisman Not Approved Lee Approved 34-86267 https://www.sec.gov/litigation/admin/2019/34-86267.pdf 2019-07-01 Jersey Consulting LLC Shoucair, Jonathan E. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 33-10684 https://www.sec.gov/litigation/admin/2019/33-10684.pdf 2019-09-16 Marvell Technology Group, Ltd. Marvell Technology Group, Ltd. Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty Roisman Approved Lee Approved 33-10685 https://www.sec.gov/rules/other/2019/33-10685.pdf 2019-09-16 Prudential Fixed Income Prudential Financial, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86970 https://www.sec.gov/litigation/admin/2019/34-86970.pdf 2019-09-16 Vandham Securities Corp. Vandham Securities Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86972 https://www.sec.gov/litigation/admin/2019/34-86972.pdf 2019-09-16 American Retirement Villas Properties, et al. Shenzhen-ZhongRong Morgan Investment Holding Group Co., Ltd. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Solar Wind Energy Tower, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86973 https://www.sec.gov/litigation/suspensions/2019/34-86973.pdf Order 2019-09-16 American Retirement Villas Properties, et al. Shenzhen-ZhongRong Morgan Investment Holding Group Co., Ltd. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Solar Wind Energy Tower, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86975 https://www.sec.gov/litigation/admin/2019/34-86975.pdf 2019-09-16 Apollo Solar Energy, Inc. Apollo Solar Energy, Inc. Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86976 https://www.sec.gov/litigation/admin/2019/34-86976.pdf 2019-09-16 Blue Sheet Data Misreporting BMO Capital Markets Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86977 https://www.sec.gov/litigation/admin/2019/34-86977.pdf 2019-09-16 American Retirement Villas Properties, et al. Cirque Energy, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Millennium Healthcare Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86978 https://www.sec.gov/litigation/admin/2019/34-86978.pdf 2019-09-16 Blue Sheet Data Misreporting Stifel, Nicolaus & Company, Incorporated Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86979 https://www.sec.gov/litigation/suspensions/2019/34-86979.pdf Order 2019-09-16 American Retirement Villas Properties, et al. Cirque Energy, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Millennium Healthcare Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86980 https://www.sec.gov/litigation/suspensions/2019/34-86980.pdf Order 2019-09-16 Apollo Solar Energy, Inc. Apollo Solar Energy, Inc. Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved Lee Approved IA-5346 https://www.sec.gov/litigation/admin/2019/ia-5346.pdf 2019-09-16 Prudential Fixed Income AST Investment Services, Inc. Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty Roisman Approved Lee Approved PGIM Investments, LLC Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty Roisman Approved Lee Approved 33-10686 https://www.sec.gov/litigation/admin/2019/33-10686.pdf 2019-09-17 Impact Opportunities Fund Management, LLC Haugland, Britt J. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10687 https://www.sec.gov/litigation/admin/2019/33-10687.pdf 2019-09-17 Impact Opportunities Fund Management, LLC Tysdal, Tyler T. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Carter, Grant M. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Impact Opportunities Fund Management, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved TitleCard Capital Group, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved TitleCard Capital Management, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10689 https://www.sec.gov/litigation/admin/2019/33-10689.pdf 2019-09-17 Raymond James Unit Investment Trusts/Raymond James Wrap Fee Programs Raymond James & Associates, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Raymond James Financial Services, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Raymond James Financial Services Advisors, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10690 https://www.sec.gov/rules/other/2019/33-10690.pdf 2019-09-17 Raymond James Unit Investment Trusts/Raymond James Wrap Fee Programs Raymond James Financial, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86988 https://www.sec.gov/litigation/admin/2019/34-86988.pdf 2019-09-17 MSSB Secondary Trading Morgan Stanley Smith Barney, LLC Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the MSRB Rule G-27 charge Roisman Approved Lee Approved 34-86990 https://www.sec.gov/litigation/admin/2019/34-86990.pdf 2019-09-17 American Retirement Villas Properties, et al. China Longyi Group International Holdings Ltd. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Leo Motors, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved LNPR Group, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86991 https://www.sec.gov/litigation/suspensions/2019/34-86991.pdf Order 2019-09-17 American Retirement Villas Properties, et al. China Longyi Group International Holdings Ltd. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Leo Motors, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved LNPR Group, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86992 https://www.sec.gov/litigation/admin/2019/34-86992.pdf 2019-09-17 American Retirement Villas Properties, et al. Fact Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Tandy Brands Accessories, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86993 https://www.sec.gov/litigation/suspensions/2019/34-86993.pdf Order 2019-09-17 American Retirement Villas Properties, et al. Fact Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Tandy Brands Accessories, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved IA-5350 https://www.sec.gov/litigation/admin/2019/ia-5350.pdf 2019-09-17 Impact Opportunities Fund Management, LLC DeJager, Michael A. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87000 https://www.sec.gov/litigation/admin/2019/34-87000.pdf 2019-09-18 Falcon Distribution Fund Citigroup Alternative Investments LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Citigroup Global Markets Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10691 https://www.sec.gov/litigation/admin/2019/33-10691.pdf 2019-09-19 Montebello Unified School District Montebello Unified School District Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Martinez, Anthony James Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved 34-87004 https://www.sec.gov/litigation/admin/2019/34-87004.pdf 2019-09-19 Prestige Global Trading, Ltd. Kanetkar, Jayat P. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87007 https://www.sec.gov/litigation/admin/2019/34-87007.pdf 2019-09-19 Wilmington Trust Loan Losses Rakowski, Kevyn N., CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87008 https://www.sec.gov/litigation/opinions/2019/34-87008.pdf 2019-09-19 Certain 12(j) proceedings assigned to the Commission for a hearing Oakridge Global Energy Solutions, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87009 https://www.sec.gov/litigation/opinions/2019/34-87009.pdf 2019-09-19 Certain 12(j) proceedings assigned to the Commission for a hearing Hua Yang Investment Group, Inc. (a/k/a Tarheel Billboard, Inc.) Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Titan Oil & Gas, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87010 https://www.sec.gov/litigation/opinions/2019/34-87010.pdf 2019-09-19 Certain 12(j) proceedings assigned to the Commission for a hearing Royal B.Y. Investment Management LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87011 https://www.sec.gov/litigation/admin/2019/34-87011.pdf 2019-09-19 Certain Transferred Variable Annuities Seinfeld, Jay Daniel Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87026 https://www.sec.gov/litigation/opinions/2019/34-87026.pdf 2019-09-19 Certain 12(j) proceedings assigned to the Commission for a hearing Tuttle Industries Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87029 https://www.sec.gov/litigation/admin/2019/34-87029.pdf 2019-09-19 Sigma Planning Corp. Sigma Planning Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87032 https://www.sec.gov/litigation/admin/2019/34-87032.pdf 2019-09-19 Wilmington Trust Loan Losses Gibson, David R. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87033 https://www.sec.gov/litigation/admin/2019/34-87033.pdf 2019-09-20 Accelera Innovations, Inc.; Premier Holding Corporation; CannaVEST Corp. Anton & Chia, LLP Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87034 https://www.sec.gov/litigation/admin/2019/34-87034.pdf 2019-09-20 Darcy L. Rose Rose, Darcy L. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87036 https://www.sec.gov/litigation/admin/2019/34-87036.pdf 2019-09-20 The Bancorp, Inc. The Bancorp, Inc. Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty Roisman Approved Lee Approved 34-87037 https://www.sec.gov/litigation/admin/2019/34-87037.pdf 2019-09-20 The Bancorp, Inc. Hilty, James David Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87038 https://www.sec.gov/litigation/admin/2019/34-87038.pdf 2019-09-20 The Bancorp, Inc. McGraw, Donald F., Jr. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87042 https://www.sec.gov/litigation/opinions/2019/34-87042.pdf 2019-09-20 Certain 12(j) proceedings assigned to the Commission for a hearing MedPro Safety Products, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved IA-5358 https://www.sec.gov/litigation/admin/2019/ia-5358.pdf 2019-09-20 Bored at Work Tamayo, Marcos Clayton Approved Jackson Not Approved Peirce Approved Roisman Approved Lee Not Approved Bored at Work Retirement Services, LLC Clayton Approved Jackson Not Approved Peirce Approved Roisman Approved Lee Not Approved 34-86901 https://www.sec.gov/rules/proposed/2019/34-86901.pdf 2019-09-09 National Market System Plan Governing the Consolidated Audit Trail Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved 34-86848 https://www.sec.gov/litigation/admin/2019/34-86848.pdf 2019-09-03 Wells Fargo Clearing Services, LLC Muldoon, Thomas C. Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Lee Approved 34-86849 https://www.sec.gov/litigation/opinions/2019/34-86849.pdf 2019-09-03 Kimberly Springsteen-Abbott Springsteen-Abbott, Kimberly Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86850 https://www.sec.gov/litigation/admin/2019/34-86850.pdf 2019-09-03 Advanced Voice Technologies, Inc., et al. Hengyi International Industries Group, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Jacobs Financial Group, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Ranger Gold Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86851 https://www.sec.gov/litigation/suspensions/2019/34-86851.pdf Order 2019-09-03 Advanced Voice Technologies, Inc., et al. Hengyi International Industries Group, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Jacobs Financial Group, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Ranger Gold Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86852 https://www.sec.gov/litigation/admin/2019/34-86852.pdf 2019-09-03 Advanced Voice Technologies, Inc., et al. Tongli Pharmaceuticals (USA), Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Vansen Pharma, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86853 https://www.sec.gov/litigation/suspensions/2019/34-86853.pdf Order 2019-09-03 Advanced Voice Technologies, Inc., et al. Tongli Pharmaceuticals (USA), Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Vansen Pharma, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved IA-5336 https://www.sec.gov/litigation/admin/2019/ia-5336.pdf 2019-09-03 Lefavi Wealth Management, Inc. Lefavi Wealth Management, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86860 https://www.sec.gov/litigation/admin/2019/34-86860.pdf 2019-09-04 My Investment Advisor, Inc. Sampson, Eric Larson Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86862 https://www.sec.gov/litigation/admin/2019/34-86862.pdf 2019-09-04 Activecare, Inc. n/k/a ACAR Wind Down, Inc., et al. Black Stallion Oil & Gas, Inc. n/k/a Arize Therapeutics, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Cannabis Science, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86863 https://www.sec.gov/litigation/suspensions/2019/34-86863.pdf Order 2019-09-04 Activecare, Inc. n/k/a ACAR Wind Down, Inc., et al. Black Stallion Oil & Gas, Inc. n/k/a Arize Therapeutics, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Cannabis Science, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86871 https://www.sec.gov/litigation/admin/2019/34-86871.pdf 2019-09-04 The Options Clearing Corporation The Options Clearing Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86872 https://www.sec.gov/litigation/admin/2019/34-86872.pdf 2019-09-04 Activecare, Inc. n/k/a ACAR Wind Down, Inc., et al. Comarco, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Eco-Shift Power Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86873 https://www.sec.gov/litigation/suspensions/2019/34-86873.pdf Order 2019-09-04 Activecare, Inc. n/k/a ACAR Wind Down, Inc., et al. Eco-Shift Power Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved IA-5338 https://www.sec.gov/litigation/admin/2019/ia-5338.pdf 2019-09-04 Sharpe 4 Capital, LLC Friedman, Mitchel J. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10680 https://www.sec.gov/litigation/admin/2019/33-10680.pdf 2019-09-05 DS Healthcare Group, Inc. Khesin, Daniel Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86876 https://www.sec.gov/rules/sro/ficc-an/2019/34-86876.pdf 2019-09-05 Advance Notice filed with the Commission Pursuant to the Payment, Clearing, and Settlement Supervision Act of 2010 by the Fixed Income Clearing Corporation to Amend FICC's Rulebook to Establish a Process to Address Liquidity Needs in Certain Situations in the GCF Repo and CCIT Services and Make Other Changes (SR-FICC-2019-801) Fixed Income Clearing Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86877 https://www.sec.gov/litigation/admin/2019/34-86877.pdf 2019-09-05 Madison Timber Properties, LLC Kelly, Terry Wayne Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Kelly Management, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86880 https://www.sec.gov/litigation/admin/2019/34-86880.pdf 2019-09-05 Activecare, Inc. n/k/a ACAR Wind Down, Inc., et al. ERHC Energy, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved IDdriven, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86881 https://www.sec.gov/litigation/suspensions/2019/34-86881.pdf Order 2019-09-05 Activecare, Inc. n/k/a ACAR Wind Down, Inc., et al. ERHC Energy, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved IDdriven, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86882 https://www.sec.gov/litigation/admin/2019/34-86882.pdf 2019-09-05 Activecare, Inc. n/k/a ACAR Wind Down, Inc., et al. Lans Holdings, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Momentous Entertainment Group, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86883 https://www.sec.gov/litigation/suspensions/2019/34-86883.pdf Order 2019-09-05 Activecare, Inc. n/k/a ACAR Wind Down, Inc., et al. Lans Holdings, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Momentous Entertainment Group, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86886 https://www.sec.gov/litigation/admin/2019/34-86886.pdf 2019-09-05 Breitling Oil & Gas Corporation/Alfred C. Teran Teran, Alfred C. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86887 https://www.sec.gov/litigation/admin/2019/34-86887.pdf 2019-09-05 Toon Goggles, Inc. Pollitz, Brendan Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86888 https://www.sec.gov/rules/sro/occ-an/2019/34-86888.pdf 2019-09-05 Advance Notice filed with the Commission pursuant to the Payment, Clearing, and Settlement Supervision Act of 2010 by The Options Clearing Corporation concerning a proposed Capital Management Policy (SR-OCC-2019-805) The Options Clearing Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10681 https://www.sec.gov/litigation/admin/2019/33-10681.pdf 2019-09-06 DS Healthcare Group, Inc. Silva, Abner Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86893 https://www.sec.gov/litigation/admin/2019/34-86893.pdf 2019-09-06 Activecare, Inc. n/k/a ACAR Wind Down, Inc., et al. Atlas Technology International, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Centenary International Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Dynacq Healthcare, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86894 https://www.sec.gov/litigation/admin/2019/34-86894.pdf 2019-09-06 Activecare, Inc. n/k/a ACAR Wind Down, Inc., et al. Activecare, Inc. n/k/a ACAR Wind Down, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Ramtal, Inc. a/k/a Ramtal Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86895 https://www.sec.gov/litigation/admin/2019/34-86895.pdf 2019-09-06 Activecare, Inc. n/k/a ACAR Wind Down, Inc., et al. ATNA Resources, Ltd. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Orckit Communications Ltd. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10682 https://www.sec.gov/litigation/admin/2019/33-10682.pdf 2019-09-09 Kenneth Wruk Wruk, Kenneth Clayton Not Participating Jackson Approved Peirce Not Participating Roisman Not Participating Lee Approved 34-86903 https://www.sec.gov/litigation/admin/2019/34-86903.pdf 2019-09-09 Petition of Adrian D. Beamish, CPA for reinstatement Beamish, Adrian D., CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86906 https://www.sec.gov/litigation/admin/2019/34-86906.pdf 2019-09-09 Activecare, Inc. n/k/a ACAR Wind Down, Inc., et al. Nexus Enterprise Solutions, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved N-Viro International Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86907 https://www.sec.gov/litigation/suspensions/2019/34-86907.pdf Order 2019-09-09 Activecare, Inc. n/k/a ACAR Wind Down, Inc., et al. Nexus Enterprise Solutions, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved N-Viro International Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86908 https://www.sec.gov/litigation/admin/2019/34-86908.pdf 2019-09-09 Activecare, Inc. n/k/a ACAR Wind Down, Inc., et al. NXChain, Inc. f/k/a AgriVest Americas, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Rock Energy Resources, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved SoOum Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86909 https://www.sec.gov/litigation/suspensions/2019/34-86909.pdf Order 2019-09-09 Activecare, Inc. n/k/a ACAR Wind Down, Inc., et al. NXChain, Inc. f/k/a AgriVest Americas, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Rock Energy Resources, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved SoOum Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86911 https://www.sec.gov/litigation/admin/2019/34-86911.pdf 2019-09-10 Activecare, Inc. n/k/a ACAR Wind Down, Inc., et al. TN-K Energy Group Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Total Sports Media, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86912 https://www.sec.gov/litigation/suspensions/2019/34-86912.pdf Order 2019-09-10 Activecare, Inc. n/k/a ACAR Wind Down, Inc., et al. TN-K Energy Group Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Total Sports Media, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86913 https://www.sec.gov/litigation/admin/2019/34-86913.pdf 2019-09-10 Activecare, Inc. n/k/a ACAR Wind Down, Inc., et al. Universal Detection Technology Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved VinCompass Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86914 https://www.sec.gov/litigation/suspensions/2019/34-86914.pdf Order 2019-09-10 Activecare, Inc. n/k/a ACAR Wind Down, Inc., et al. Universal Detection Technology Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved VinCompass Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86918 https://www.sec.gov/litigation/admin/2019/34-86918.pdf 2019-09-10 Activecare, Inc. n/k/a ACAR Wind Down, Inc., et al. American Patriot Brands, Inc. a/k/a The Grilled Cheese Truck, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Big Tree Group, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86919 https://www.sec.gov/litigation/suspensions/2019/34-86919.pdf Order 2019-09-10 Activecare, Inc. n/k/a ACAR Wind Down, Inc., et al. American Patriot Brands, Inc. a/k/a The Grilled Cheese Truck, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Big Tree Group, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved IA-5340 https://www.sec.gov/litigation/admin/2019/ia-5340.pdf 2019-09-10 CA Pedersen Client Investment Pool Pedersen, Carol Ann Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86924 https://www.sec.gov/litigation/admin/2019/34-86924.pdf 2019-09-11 Petition of Robert D. Hesselgesser, CPA for reinstatement Hesselgesser, Robert D., CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86925 https://www.sec.gov/litigation/admin/2019/34-86925.pdf 2019-09-11 Castleberry Financial Services Group, LLC Strochak, Scott P. Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Lee Approved 34-86933 https://www.sec.gov/litigation/admin/2019/34-86933.pdf 2019-09-11 American Retirement Villas Properties, et al. Blockchain Solutions, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Universal Resources (f/k/a Global Immune Technologies Inc.) Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86934 https://www.sec.gov/litigation/suspensions/2019/34-86934.pdf Order 2019-09-11 American Retirement Villas Properties, et al. Blockchain Solutions, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Universal Resources (f/k/a Global Immune Technologies Inc.) Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86935 https://www.sec.gov/litigation/admin/2019/34-86935.pdf 2019-09-11 American Retirement Villas Properties, et al. Green Endeavors, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Sputnik Enterprises, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86936 https://www.sec.gov/litigation/suspensions/2019/34-86936.pdf Order 2019-09-11 American Retirement Villas Properties, et al. Green Endeavors, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Sputnik Enterprises, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86940 https://www.sec.gov/litigation/admin/2019/34-86940.pdf 2019-09-12 American Retirement Villas Properties, et al. Dynamic Enviro Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved United Restaurant Group International, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86941 https://www.sec.gov/litigation/admin/2019/34-86941.pdf 2019-09-12 American Retirement Villas Properties, et al. Oceanus Acquisition Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Pinkbrick Holdings Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Puravita Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86942 https://www.sec.gov/litigation/admin/2019/34-86942.pdf 2019-09-12 American Retirement Villas Properties, et al. Performance Capital Management, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Silicon Mountain Holdings, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86950 https://www.sec.gov/litigation/admin/2019/34-86950.pdf 2019-09-12 American Retirement Villas Properties, et al. Gyrotron Technology, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Nation Energy Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86951 https://www.sec.gov/litigation/suspensions/2019/34-86951.pdf Order 2019-09-12 American Retirement Villas Properties, et al. Gyrotron Technology, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Nation Energy Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86952 https://www.sec.gov/litigation/admin/2019/34-86952.pdf 2019-09-12 American Retirement Villas Properties, et al. Innocom Technology Holdings, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved The Pulse Beverage Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Ystrategies Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86953 https://www.sec.gov/litigation/suspensions/2019/34-86953.pdf Order 2019-09-12 American Retirement Villas Properties, et al. Innocom Technology Holdings, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved The Pulse Beverage Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Ystrategies Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86954 https://www.sec.gov/litigation/admin/2019/34-86954.pdf 2019-09-12 American Retirement Villas Properties, et al. Aurum, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Ecosphere Technologies, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86955 https://www.sec.gov/litigation/suspensions/2019/34-86955.pdf Order 2019-09-12 American Retirement Villas Properties, et al. Aurum, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Ecosphere Technologies, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86957 https://www.sec.gov/litigation/admin/2019/34-86957.pdf 2019-09-12 Sweetwater Investments, Inc. Disgorgement Fund Gibb, Dennis Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Sweetwater Investments, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86962 https://www.sec.gov/litigation/admin/2019/34-86962.pdf 2019-09-13 Real Properties Daca, LLC Levine, Daniel T. Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Lee Approved 34-86963 https://www.sec.gov/litigation/admin/2019/34-86963.pdf 2019-09-13 Cognizant Technology Solutions Corporation Thiruvengadam, Sridhar Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the Rule 13b2-1 charge Roisman Approved Lee Approved 34-86964 https://www.sec.gov/litigation/admin/2019/34-86964.pdf 2019-09-13 Mitchell T. Yanow Yanow, Mitchell T. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86965 https://www.sec.gov/litigation/admin/2019/34-86965.pdf 2019-09-13 American Retirement Villas Properties, et al. New Environmental Solutions Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86966 https://www.sec.gov/litigation/admin/2019/34-86966.pdf 2019-09-13 American Retirement Villas Properties, et al. Physician Healthcare Plan of New Jersey, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Teda Technologies International, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Ucellit.com, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86967 https://www.sec.gov/litigation/admin/2019/34-86967.pdf 2019-09-13 American Retirement Villas Properties, et al. American Retirement Villas Properties Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved MCY.com, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved IA-5344 https://www.sec.gov/litigation/admin/2019/ia-5344.pdf 2019-09-13 ED Capital Management, LLC d/b/a Daniloff Capital ED Capital Management, LLC d/b/a Daniloff Capital Management, LLC Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty Roisman Approved Lee Approved Daniloff, Elliot a/k/a Ilya Olegovich Danilov Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved IA-5345 https://www.sec.gov/litigation/admin/2019/ia-5345.pdf 2019-09-13 Garrison Investment Group LP Garrison Investment Group LP Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Garrison Capital Advisers LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86982 https://www.sec.gov/rules/final/2019/34-86982.pdf 2019-09-17 FOIA Regulations Technical Amendments to Update Cross-References to Commission’s FOIA Regulations Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10688 https://www.sec.gov/rules/proposed/2019/33-10688.pdf 2019-09-17 Statistical Disclosures for Bank and Savings and Loan Registrants Update of Statistical Disclosures for Bank and Savings and Loan Registrants Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved BHCA-7 https://www.sec.gov/rules/final/2019/bhca-7.pdf 2019-09-18 Volcker Rule Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds Clayton Approved Jackson Not Approved Peirce Approved Roisman Approved Lee Not Approved 34-87005 https://www.sec.gov/rules/final/2019/34-87005.pdf 2019-09-19 Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10695 https://www.sec.gov/rules/final/2019/33-10695.pdf 2019-09-25 Exchange-Traded Funds Exchange-Traded Funds Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10699 https://www.sec.gov/rules/final/2019/33-10699.pdf 2019-09-25 Solicitations of Interest Prior to a Registered Public Offering Solicitations of Interest Prior to a Registered Public Offering Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-87115 https://www.sec.gov/rules/proposed/2019/34-87115.pdf 2019-09-25 Publication or Submission of Quotations Without Specified Information Publication or Submission of Quotations Without Specified Information Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10709 https://www.sec.gov/rules/final/2019/33-10709.pdf 2019-09-27 Adoption of Updated EDGAR Filer Manual Adoption of Updated EDGAR Filer Manual Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86755 https://www.sec.gov/litigation/admin/2019/34-86755.pdf 2019-08-26 ACI Capital Group, LLC Flom,Jonathan Paltiel Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to Rule 102(e)(2) suspension Roisman Approved 34-86756 https://www.sec.gov/litigation/admin/2019/34-86756.pdf 2019-08-26 Fantastic Financial Corporation and Other Delinquent Issuers Adama Technologies Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved GeoBio Energy, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Powerdyne International, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86757 https://www.sec.gov/litigation/suspensions/2019/34-86757.pdf https://www.sec.gov/litigation/suspensions/2019/34-86757-o.pdf Order 2019-08-26 Fantastic Financial Corporation and Other Delinquent Issuers Adama Technologies Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved GeoBio Energy, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Powerdyne International, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86758 https://www.sec.gov/litigation/admin/2019/34-86758.pdf 2019-08-26 Fantastic Financial Corporation and Other Delinquent Issuers Diadexus, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Mustang Alliances, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Protea Biosciences Group, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86759 https://www.sec.gov/litigation/suspensions/2019/34-86759.pdf https://www.sec.gov/litigation/suspensions/2019/34-86759-o.pdf Order 2019-08-26 Fantastic Financial Corporation and Other Delinquent Issuers Diadexus, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Mustang Alliances, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Protea Biosciences Group, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86761 https://www.sec.gov/litigation/admin/2019/34-86761.pdf 2019-08-26 Laurel Wealth Advisors, Inc. Buchanan,Joseph C. Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to Advisers Act Sections 2016(1) and 206(2) charges Roisman Approved with Exception Approved except as to Advisers Act Sections 2016(1) and 206(2) charges Lee Approved IA-5330 https://www.sec.gov/litigation/admin/2019/ia-5330.pdf 2019-08-26 Laurel Wealth Advisors, Inc. Laurel Wealth Advisors, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86770 https://www.sec.gov/litigation/admin/2019/34-86770.pdf 2019-08-27 McGladrey LLP RSM US LLP f/k/a McGladrey LLP Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86771 https://www.sec.gov/litigation/admin/2019/34-86771.pdf 2019-08-27 1 Global Capital, LLC Heide,Alan G. CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86777 https://www.sec.gov/litigation/admin/2019/34-86777.pdf 2019-08-27 Fantastic Financial Corporation and Other Delinquent Issuers Bakken Resources, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Ireland Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Worlds Mall, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86778 https://www.sec.gov/litigation/suspensions/2019/34-86778.pdf https://www.sec.gov/litigation/suspensions/2019/34-86778-o.pdf Order 2019-08-27 Fantastic Financial Corporation and Other Delinquent Issuers Bakken Resources, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Ireland Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Worlds Mall, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86779 https://www.sec.gov/litigation/admin/2019/34-86779.pdf 2019-08-27 Fantastic Financial Corporation and Other Delinquent Issuers LD Holdings, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Mansfield-Martin Exploration Mining, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved RadTek, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86780 https://www.sec.gov/litigation/suspensions/2019/34-86780.pdf https://www.sec.gov/litigation/suspensions/2019/34-86780-o.pdf Order 2019-08-27 Fantastic Financial Corporation and Other Delinquent Issuers LD Holdings, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Mansfield-Martin Exploration Mining, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved RadTek, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86781 https://www.sec.gov/litigation/admin/2019/34-86781.pdf 2019-08-27 Certain Stock Lending Practices EMS Capital LP Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved IA-5332 https://www.sec.gov/litigation/admin/2019/ia-5332.pdf 2019-08-27 Stephen C. Browere Browere ,Stephen C. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86790 https://www.sec.gov/litigation/admin/2019/34-86790.pdf 2019-08-28 Fantastic Financial Corporation and Other Delinquent Issuers Veris Gold Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86791 https://www.sec.gov/litigation/admin/2019/34-86791.pdf 2019-08-28 Fantastic Financial Corporation and Other Delinquent Issuers SiVault Systems, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved SVC Financial Services Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved The Heritage Organization, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86793 https://www.sec.gov/litigation/admin/2019/34-86793.pdf 2019-08-28 Fantastic Financial Corporation and Other Delinquent Issuers A La Carte Charts Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Iron Sands Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved TOPAW, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86797 https://www.sec.gov/litigation/admin/2019/34-86797.pdf 2019-08-28 Fantastic Financial Corporation and Other Delinquent Issuers Competitive Companies, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Unilava Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Uplift Nutrition, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86798 https://www.sec.gov/litigation/suspensions/2019/34-86798.pdf https://www.sec.gov/litigation/suspensions/2019/34-86798-o.pdf Order 2019-08-28 Fantastic Financial Corporation and Other Delinquent Issuers Competitive Companies, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Unilava Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Uplift Nutrition, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86800 https://www.sec.gov/litigation/opinions/2019/34-86800.pdf 2019-08-28 Thaddeus J. North North,Thaddeus J. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10677 https://www.sec.gov/litigation/admin/2019/33-10677.pdf 2019-08-29 Certain ADR Issuers Katz,Wendy Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to censure Roisman Approved Lee Approved 33-10679 https://www.sec.gov/litigation/admin/2019/33-10679.pdf 2019-08-29 Omega Protein Corp. Omega Protein Corporation Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved 34-86804 https://www.sec.gov/litigation/admin/2019/34-86804.pdf 2019-08-29 KIT Digital Inc. Smyth,Robin Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86805 https://www.sec.gov/litigation/admin/2019/34-86805.pdf 2019-08-29 Swansea Group Burns,Howard C. Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to penny stock bar Roisman Approved Lee Approved 34-86807 https://www.sec.gov/litigation/admin/2019/34-86807.pdf 2019-08-29 Fantastic Financial Corporation and Other Delinquent Issuers Enumeral Biomedical Holdings, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved International Cigar Holdings, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Lepora Holdings, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86808 https://www.sec.gov/litigation/admin/2019/34-86808.pdf 2019-08-29 Fantastic Financial Corporation and Other Delinquent Issuers Briarwood Holdings Group, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Heyu Leisure Holidays Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved TJ Roasters Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86810 https://www.sec.gov/litigation/admin/2019/34-86810.pdf 2019-08-29 Fantastic Financial Corporation and Other Delinquent Issuers Fantastic Financial Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved STAT Software Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Walnut Valley Ventures, Inc. a/k/a Walnut Valley Management Corp. or Extension Media, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86812 https://www.sec.gov/litigation/admin/2019/34-86812.pdf 2019-08-29 Juniper Networks, Inc. Juniper Networks, Inc. Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to penalty Roisman Approved Lee Approved 34-86813 https://www.sec.gov/litigation/opinions/2019/34-86813.pdf 2019-08-29 Certain 12(j) proceedings assigned to the Commission for a hearing Golden Claw Ventures, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Q Therapeutics, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Zika Diagnostics, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Readaboo, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86815 https://www.sec.gov/litigation/admin/2019/34-86815.pdf 2019-08-29 Capital City Asset Management Cardinal Energy Group, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86816 https://www.sec.gov/litigation/opinions/2019/34-86816.pdf 2019-08-29 Certain 12(j) proceedings assigned to the Commission for a hearing MaryJane Group, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Redpoint Bio Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86825 https://www.sec.gov/litigation/admin/2019/34-86825.pdf 2019-08-30 Advanced Voice Technologies, Inc., et al. Advanced Voice Technologies, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved American Pharmaceutical Company Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Apollo Eye Group, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86826 https://www.sec.gov/litigation/admin/2019/34-86826.pdf 2019-08-30 Advanced Voice Technologies, Inc., et al. Aztech International Ltd. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Bev-Tyme, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Concord Energy Incorporated Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86827 https://www.sec.gov/litigation/admin/2019/34-86827.pdf 2019-08-30 Advanced Voice Technologies, Inc., et al. Crescent Airways Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Electronic Manufacturing Services Group Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved M&M Financial Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86828 https://www.sec.gov/litigation/admin/2019/34-86828.pdf 2019-08-30 Advanced Voice Technologies, Inc., et al. Medical Safetec, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved ML Bancorp, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Pioneer Western Properties Income Fund Limited Partnership Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved U.S. Coal Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86830 https://www.sec.gov/litigation/admin/2019/34-86830.pdf 2019-08-30 N1 Technologies, Inc. Braxton,Donald Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86831 https://www.sec.gov/litigation/admin/2019/34-86831.pdf 2019-08-30 N1 Technologies, Inc. Simpson,Wayne Scott Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86707 https://www.sec.gov/litigation/admin/2019/34-86707.pdf 2019-08-19 Possible Manipulative Schemes Involving Microcap and Other Securities Targett-Adams,Richard Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10673 https://www.sec.gov/litigation/admin/2019/33-10673.pdf 2019-08-20 Certain Providers of ICO Investment Ratings and Research ICO Rating Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86708 https://www.sec.gov/litigation/admin/2019/34-86708.pdf 2019-08-20 TherapeuticsMD, Inc. TherapeuticsMD, Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved w/ Exception Approved except as to penalty Lee Approved 34-86710 https://www.sec.gov/litigation/admin/2019/34-86710.pdf 2019-08-20 Financial Sherpa, Inc. Financial Sherpa, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Beyersdorf,James L. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86711 https://www.sec.gov/litigation/admin/2019/34-86711.pdf 2019-08-20 Premium Point Structured Finance Valuations Gonzalez ,Ronaldo Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86712 https://www.sec.gov/litigation/admin/2019/34-86712.pdf 2019-08-20 Premium Point Structured Finance Valuations Mosaic Capital, LLC f/k/a AOC Securities LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86713 https://www.sec.gov/rules/sro/occ-an/2019/34-86713.pdf 2019-08-20 Advance Notice filed with the Commission pursuant to the Payment, Clearing, and Settlement Supervision Act of 2010 by The Options Clearing Corporation related to the Vanilla Option Model and Smoothing Algorithm within OCC's margin methodology (SR-OCC-2019-804) The Options Clearing Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86715 https://www.sec.gov/litigation/admin/2019/34-86715.pdf 2019-08-20 C. James, Inc. Pittera,Joseph L. Esq. Clayton Approved Jackson Approved Peirce Approved Roisman Not Participating Lee Approved 34-86720 https://www.sec.gov/litigation/admin/2019/34-86720.pdf 2019-08-21 Agria Corporation Filkoski,Michael CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Magnuson,Scott CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86721 https://www.sec.gov/rules/interp/2019/34-86721.pdf 2019-08-21 Commission Interpretation and Guidance Regarding the Applicability of the Proxy Rules to Proxy Voting Advice 34 Act; Applicability of Rules 14a-1 and 14a-9 to proxy voting rights Clayton Approved Jackson Not Approved Peirce Approved Roisman Approved Lee Not Approved IA-5325 https://www.sec.gov/rules/interp/2019/ia-5325.pdf 2019-08-21 Commission Guidance Regarding Proxy Voting Responsibilities of Investment Advisers IA Act; IC Act; Rule 206(4)-6 under IA Act; Forms N-1A, N-2, N-3 and N-CSR Under IC Act Clayton Approved Jackson Not Approved Peirce Approved Roisman Approved Lee Not Approved 34-86726 https://www.sec.gov/litigation/admin/2019/34-86726.pdf 2019-08-22 Texas Energy Management Hill,William Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86727 https://www.sec.gov/litigation/admin/2019/34-86727.pdf 2019-08-22 JPMorgan Chase & Co. Fair Fund Distribution JPMorgan Chase & Co. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86730 https://www.sec.gov/litigation/opinions/2019/34-86730.pdf 2019-08-22 Certain 12(j) proceedings assigned to the Commission for a hearing GeneSYS ID, Inc. F/K/A RX Safes, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Genie Gateway Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved The Mint Leasing, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved MJ Pharmaceuticals, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86732 https://www.sec.gov/litigation/opinions/2019/34-86732.pdf 2019-08-22 Certain 12(j) proceedings assigned to the Commission for a hearing Appian, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Bulk Storage Software, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved DMC Beverage Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Galaxy Strategy & Communications, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86734 https://www.sec.gov/litigation/opinions/2019/34-86734.pdf 2019-08-22 Certain 12(j) proceedings assigned to the Commission for a hearing Petrosonic Energy, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved PSM Holdings, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86735 https://www.sec.gov/litigation/opinions/2019/34-86735.pdf 2019-08-22 Certain 12(j) proceedings assigned to the Commission for a hearing Ceelox, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Virtual Sourcing, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Windstream Technologies, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86740 https://www.sec.gov/litigation/admin/2019/34-86740.pdf 2019-08-22 Deutsche Bank AG Deutsche Bank AG Clayton Approved Jackson Approved Peirce Approved w/ Exception Approved except as to penalty Roisman Approved Lee Approved IA-5326 https://www.sec.gov/litigation/admin/2019/ia-5326.pdf 2019-08-22 Creative Connections LLC Belsky,Yehuda aka "Jay Bell" Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved IA-5327 https://www.sec.gov/litigation/admin/2019/ia-5327.pdf 2019-08-22 Patrick L. O'Connor O'Connor,Patrick L. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10674 https://www.sec.gov/rules/other/2019/33-10674.pdf 2019-08-23 Publication of the Commission's Regulatory Flexibility Act Agenda Semiannual Regulatory Agenda Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10675 https://www.sec.gov/rules/other/2019/33-10675.pdf 2019-08-23 Order Making Fiscal Year 2020 Annual Adjustments to Registration Fee Rates FY 2020 Annual Adjustments to Registration Fee Rates Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86741 https://www.sec.gov/litigation/opinions/2019/34-86741.pdf 2019-08-23 Certain 12(j) proceedings assigned to the Commission for a hearing Anpulo Food Development, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved CSA Holdings, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved RJS Development, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Uni Core Holdings Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86746 https://www.sec.gov/litigation/opinions/2019/34-86746.pdf 2019-08-23 Certain 12(j) proceedings assigned to the Commission for a hearing Cybergy Holdings, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Cyclone Uranium Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Geovic Mining Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved OGL Holdings Ltd. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved STW Resources Holding Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86747 https://www.sec.gov/litigation/opinions/2019/34-86747.pdf 2019-08-23 Certain 12(j) proceedings assigned to the Commission for a hearing Be Industries, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Fenton Graham Marketing, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Milost Acquisition Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Neogenix Oncology, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86749 https://www.sec.gov/litigation/opinions/2019/34-86749.pdf 2019-08-23 Certain 12(j) proceedings assigned to the Commission for a hearing Scrap China Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Spring Valley Management Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86751 https://www.sec.gov/litigation/opinions/2019/34-86751.pdf 2019-08-23 John M.E. Saad Saad,John M.E. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10671 https://www.sec.gov/litigation/admin/2019/33-10671.pdf 2019-08-12 SimplyVital Health SimplyVital Health, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86632 https://www.sec.gov/litigation/admin/2019/34-86632.pdf 2019-08-12 American Business Services, Inc., et al. China Tongzilian Group Shared Limited, Inc. Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86633 https://www.sec.gov/litigation/admin/2019/34-86633.pdf 2019-08-12 American Business Services, Inc., et al. China Xingbang Industry Group, Inc. Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved Lee Approved Kingsmen Capital Group, Ltd. Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86634 https://www.sec.gov/litigation/suspensions/2019/34-86634.pdf https://www.sec.gov/litigation/suspensions/2019/34-86334-o.pdf Order 2019-08-12 American Business Services, Inc., et al. China Xingbang Industry Group, Inc. Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved Lee Approved Kingsmen Capital Group, Ltd. Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86637 https://www.sec.gov/litigation/opinions/2019/34-86637.pdf 2019-08-12 Newport Coast Securities, Inc. Newport Coast Securities, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86641 https://www.sec.gov/litigation/admin/2019/34-86641.pdf 2019-08-13 Michael James Frew Frew, Michael J. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86646 https://www.sec.gov/litigation/admin/2019/34-86646.pdf 2019-08-13 Golden Rush, Inc., et al. Medisun Precision Medicine, Ltd. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Next Graphite, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Omni Shrimp, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86647 https://www.sec.gov/litigation/suspensions/2019/34-86647.pdf https://www.sec.gov/litigation/suspensions/2019/34-86647-o.pdf Order 2019-08-13 Golden Rush, Inc., et al. Medisun Precision Medicine, Ltd. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Next Graphite, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Omni Shrimp, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86648 https://www.sec.gov/litigation/admin/2019/34-86648.pdf 2019-08-13 Golden Rush, Inc., et al. Greenwood Hall, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved PMX Communities, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved SurePure, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86649 https://www.sec.gov/litigation/suspensions/2019/34-86649.pdf https://www.sec.gov/litigation/suspensions/2019/34-86649-o.pdf Order 2019-08-13 Golden Rush, Inc., et al. Greenwood Hall, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved PMX Communities, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved SurePure, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved IA-5319 https://www.sec.gov/litigation/admin/2019/ia-5319.pdf 2019-08-13 MVP Manager LLC MVP Manager LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86652 https://www.sec.gov/litigation/admin/2019/34-86652.pdf 2019-08-14 Golden Rush, Inc., et al. Pacific Telcom, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Peopleline Telecom Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Spectrum Meditech Inc. n/k/a Resilient Energy, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86653 https://www.sec.gov/litigation/admin/2019/34-86653.pdf 2019-08-14 Golden Rush, Inc., et al. Golden Rush, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved LeGall Holdings, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved My Healthy Access, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86654 https://www.sec.gov/litigation/admin/2019/34-86654.pdf 2019-08-14 Golden Rush, Inc., et al. Healthway Shopping Network Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Monetiva, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Unity Global Holdings Ltd. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86655 https://www.sec.gov/litigation/admin/2019/34-86655.pdf 2019-08-14 Golden Rush, Inc., et al. IMC Holdings, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Microphase Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Wintahenderson International, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86656 https://www.sec.gov/litigation/admin/2019/34-86656.pdf 2019-08-14 Chris Kubiak Kubiak, Chris Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86658 https://www.sec.gov/litigation/admin/2019/34-86658.pdf 2019-08-14 Certain Bitcoin/Ether Tracking Certificates Canaccord Genuity LLC Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lee Approved 34-86665 https://www.sec.gov/litigation/admin/2019/34-86665.pdf 2019-08-14 Golden Rush, Inc., et al. Greenhouse Solutions, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Latitude 360, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86666 https://www.sec.gov/litigation/suspensions/2019/34-86666.pdf https://www.sec.gov/litigation/suspensions/2019/34-86666-o.pdf Order 2019-08-14 Golden Rush, Inc., et al. Greenhouse Solutions, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Latitude 360, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86668 https://www.sec.gov/litigation/admin/2019/34-86668.pdf 2019-08-14 Golden Rush, Inc., et al. Monarch America, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved VW Win Century, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86669 https://www.sec.gov/litigation/suspensions/2019/34-86669.pdf https://www.sec.gov/litigation/suspensions/2019/34-86669-o.pdf Order 2019-08-14 Golden Rush, Inc., et al. Monarch America, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved VW Win Century, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86672 https://www.sec.gov/litigation/admin/2019/34-86672.pdf 2019-08-14 Golden Rush, Inc., et al. Oakridge Holdings, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Park Premier Mining Company Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Sella Care, Inc. a/k/a Sella Care USA, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86673 https://www.sec.gov/litigation/admin/2019/34-86673.pdf 2019-08-14 Golden Rush, Inc., et al. NWT Uranium Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86674 https://www.sec.gov/litigation/admin/2019/34-86674.pdf 2019-08-14 Golden Rush, Inc., et al. Stirling Acquisition Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved ThinkEngine Networks, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86675 https://www.sec.gov/litigation/admin/2019/34-86675.pdf 2019-08-14 Golden Rush, Inc., et al. Samdrew IV, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Southland Health Services, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86680 https://www.sec.gov/litigation/admin/2019/34-86680.pdf 2019-08-14 Golden Rush, Inc., et al. SPIRE Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved The Staffing Group, Ltd. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86681 https://www.sec.gov/litigation/suspensions/2019/34-86681.pdf https://www.sec.gov/litigation/suspensions/2019/34-86681-o.pdf Order 2019-08-14 Golden Rush, Inc., et al. SPIRE Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved The Staffing Group, Ltd. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86690 https://www.sec.gov/litigation/admin/2019/34-86690.pdf 2019-08-15 Spark Therapeutics, Inc. et al. Erne, Lorenz Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10672 https://www.sec.gov/litigation/admin/2019/33-10672.pdf 2019-08-16 Certain ADR Issuers (Cantor) Cantor Fitzgerald & Co. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86693 https://www.sec.gov/litigation/admin/2019/34-86693.pdf 2019-08-16 Certain ADR Issuers (BMO) BMO Capital Markets Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86701 https://www.sec.gov/litigation/admin/2019/34-86701.pdf 2019-08-16 Thomas D. Gillons Gillons, Thomas Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86702 https://www.sec.gov/litigation/admin/2019/34-86702.pdf 2019-08-16 1 Global Capital, LLC Ruderman, Carl Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86564 https://www.sec.gov/litigation/admin/2019/34-86564.pdf 2019-08-05 Quadrant 4 System Corp. Thondavadi, Nandu Clayton Approved Jackson Approved Peirce Approved Roisman Not Participating Lee Approved 34-86565 https://www.sec.gov/litigation/admin/2019/34-86565.pdf 2019-08-05 Agritech Worldwide, Inc., et al. Artisanal Brands, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Daleco Resources Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86566 https://www.sec.gov/litigation/suspensions/2019/34-86566.pdf https://www.sec.gov/litigation/suspensions/2019/34-86566-o.pdf Order 2019-08-05 Agritech Worldwide, Inc., et al. Artisanal Brands, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Daleco Resources Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86568 https://www.sec.gov/litigation/admin/2019/34-86568.pdf 2019-08-05 Agritech Worldwide, Inc., et al. American Rare Earths and Materials, Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved PureSafe Water Systems, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved SpendSmart Networks, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86569 https://www.sec.gov/litigation/suspensions/2019/34-86569.pdf https://www.sec.gov/litigation/suspensions/2019/34-86569-o.pdf Order 2019-08-05 Agritech Worldwide, Inc., et al. American Rare Earths and Materials, Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved PureSafe Water Systems, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved SpendSmart Networks, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86570 https://www.sec.gov/litigation/admin/2019/34-86570.pdf 2019-08-05 Agritech Worldwide, Inc., et al. Dutch Gold Resources, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Paracap Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86571 https://www.sec.gov/litigation/suspensions/2019/34-86571.pdf https://www.sec.gov/litigation/suspensions/2019/34-86571-o.pdf Order 2019-08-05 Agritech Worldwide, Inc., et al. Dutch Gold Resources, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Paracap Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86573 https://www.sec.gov/litigation/admin/2019/34-86573.pdf 2019-08-05 SITO Mobile Ltd. SITO Mobile, Ltd. Clayton Approved Jackson Approved Peirce Approved Roisman Not Participating Lee Approved 34-86577 https://www.sec.gov/litigation/admin/2019/34-86577.pdf 2019-08-06 Counseling International, Inc. Jaclin, Gregg Evan, Esq. Clayton Approved Jackson Approved Peirce Approved Roisman Not Participating Lee Approved 34-86578 https://www.sec.gov/litigation/admin/2019/34-86578.pdf 2019-08-06 Agritech Worldwide, Inc., et al. Alife Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Budget Group, Inc. a/k/a BRAC Group, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Feather Valley Financial Ltd. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86579 https://www.sec.gov/litigation/admin/2019/34-86579.pdf 2019-08-06 Agritech Worldwide, Inc., et al. Aroga Holding Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Global Sources Limited Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved United States Properties, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86580 https://www.sec.gov/litigation/admin/2019/34-86580.pdf 2019-08-06 Agritech Worldwide, Inc., et al. ASN Satellites, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Caleminder Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Extreme Energy Solutions Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Hyperfeed Technologies, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86581 https://www.sec.gov/litigation/admin/2019/34-86581.pdf 2019-08-06 Agritech Worldwide, Inc., et al. Aramex International Limited Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86582 https://www.sec.gov/litigation/admin/2019/34-86582.pdf 2019-08-06 Agritech Worldwide, Inc., et al. BTHC X, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Eco Building Products, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Kama Resources Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86583 https://www.sec.gov/litigation/suspensions/2019/34-86583.pdf https://www.sec.gov/litigation/suspensions/2019/34-86583-o.pdf Order 2019-08-06 Agritech Worldwide, Inc., et al. BTHC X, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Eco Building Products, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Kama Resources Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86584 https://www.sec.gov/litigation/admin/2019/34-86584.pdf 2019-08-06 Agritech Worldwide, Inc., et al. BCI Holding Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Bulova Technologies Group, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Omni Bio Pharmaceutical, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86585 https://www.sec.gov/litigation/suspensions/2019/34-86585.pdf https://www.sec.gov/litigation/suspensions/2019/34-86585-o.pdf Order 2019-08-06 Agritech Worldwide, Inc., et al. BCI Holding Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Bulova Technologies Group, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Omni Bio Pharmaceutical, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86591 https://www.sec.gov/litigation/admin/2019/34-86591.pdf 2019-08-07 Agritech Worldwide, Inc., et al. Rolling Pin Kitchen Emporium, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Speed of Thought, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86592 https://www.sec.gov/litigation/admin/2019/34-86592.pdf 2019-08-07 Agritech Worldwide, Inc., et al. Fighton Succession Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Grand Enterprises, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86593 https://www.sec.gov/litigation/admin/2019/34-86593.pdf 2019-08-07 Agritech Worldwide, Inc., et al. Sweetwater Investing, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Thunor International, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86594 https://www.sec.gov/litigation/admin/2019/34-86594.pdf 2019-08-07 BrightPoint, Inc. Avent, Thomas W. Jr., Esq., CPA Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved Lee Approved 34-86596 https://www.sec.gov/litigation/admin/2019/34-86596.pdf 2019-08-07 American Business Services, Inc., et al. Ceetop Inc. n/k/a S.Q Hydrogen Power, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved China Internet Café Holdings Group, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Starlight Supply Chain Management Company Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86597 https://www.sec.gov/litigation/suspensions/2019/34-86597.pdf https://www.sec.gov/litigation/suspensions/2019/34-86597-o.pdf Order 2019-08-07 American Business Services, Inc., et al. Ceetop Inc. n/k/a S.Q Hydrogen Power, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved China Internet Café Holdings Group, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Starlight Supply Chain Management Company Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86598 https://www.sec.gov/litigation/admin/2019/34-86598.pdf 2019-08-07 American Business Services, Inc., et al. Oriental Magic Soup, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Pan Ocean Container Supplies, Ltd. n/k/a Red Wolf Enterprises Int. or Red Wolf Enterprises, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved You Han Data Tech Co Ltd. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86599 https://www.sec.gov/litigation/suspensions/2019/34-86599.pdf https://www.sec.gov/litigation/suspensions/2019/34-86599-o.pdf Order 2019-08-07 American Business Services, Inc., et al. Oriental Magic Soup, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Pan Ocean Container Supplies Ltd. a/k/a Red Wolf Enterprises Int. or Red Wolf Enterprises, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved You Han Data Tech Company Ltd. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86600 https://www.sec.gov/litigation/admin/2019/34-86600.pdf 2019-08-08 Prestige Global Trading, Ltd. Oharriz, Elizabeth S. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86601 https://www.sec.gov/litigation/admin/2019/34-86601.pdf 2019-08-08 Sweetwater Investments, Inc. Disgorgement Fund Gibb, Dennis Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Sweetwater Investments, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86602 https://www.sec.gov/litigation/admin/2019/34-86602.pdf 2019-08-08 Morgan Asset Fair Fund Morgan Asset Management Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Morgan Keegan & Company, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Kelsoe, James C., Jr. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Weller, Joseph Thompson, CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86612 https://www.sec.gov/litigation/opinions/2019/34-86612.pdf 2019-08-08 Manna Capital, Inc., et al. MCA Holdings Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86613 https://www.sec.gov/litigation/admin/2019/34-86613.pdf 2019-08-08 Scio Diamond Technology Corp. Scio Diamond Technology Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10669 https://www.sec.gov/litigation/admin/2019/33-10669.pdf 2019-08-09 American Housing Income Trust, Inc. Corix Bioscience, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Ogburn, Michael L. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86616 https://www.sec.gov/litigation/opinions/2019/34-86616.pdf 2019-08-09 Commonwealth Capital Securities Corp. Commonwealth Capital Securities Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86627 https://www.sec.gov/litigation/opinions/2019/34-86627.pdf 2019-08-09 John M.E. Saad Saad,John M.E. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86538 https://www.sec.gov/litigation/admin/2019/34-86538.pdf 2019-08-01 Brixmor Property Group Inc. Brixmor Property Group Inc. Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty Roisman Approved 34-86540 https://www.sec.gov/litigation/admin/2019/34-86540.pdf 2019-08-01 Cetera Investment Advisers, LLC Groom, Kendall J., CPA Clayton Approved Jackson Approved Peirce Approved Roisman Not Participating Lee Approved 34-86541 https://www.sec.gov/litigation/admin/2019/34-86541.pdf 2019-08-01 Cetera Investment Advisers, LLC Groom, Kendall J., CPA Clayton Approved Jackson Approved Peirce Approved Roisman Not Participating Lee Approved 34-86559 https://www.sec.gov/litigation/admin/2019/34-86559.pdf 2019-08-02 Agritech Worldwide, Inc., et al. Agritech Worldwide, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Consolidated Gems, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Dominovas Energy Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86560 https://www.sec.gov/litigation/suspensions/2019/34-86560.pdf https://www.sec.gov/litigation/suspensions/2019/34-86560-o.pdf Order 2019-08-02 Agritech Worldwide, Inc., et al. Agritech Worldwide, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Consolidated Gems, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Dominovas Energy Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86561 https://www.sec.gov/litigation/admin/2019/34-86561.pdf 2019-08-02 Agritech Worldwide, Inc., et al. Empire Energy Corporation International Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Moller International, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Rangeford Resources, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86562 https://www.sec.gov/litigation/suspensions/2019/34-86562.pdf https://www.sec.gov/litigation/suspensions/2019/34-86562-o.pdf Order 2019-08-02 Agritech Worldwide, Inc., et al. Empire Energy Corporation International Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Moller International, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Rangeford Resources, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86590 https://www.sec.gov/rules/final/2019/34-86590.pdf 2019-08-07 Credit Rating Agency Reform Amendments to Rules for Nationally Recognized Statistical Rating Organizations Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10668 https://www.sec.gov/rules/proposed/2019/33-10668.pdf 2019-08-08 Modernization of Regulation S-K Modernization of Regulation S-K Items 101, 103, and 105 Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86500 https://www.sec.gov/litigation/admin/2019/34-86500.pdf 2019-07-29 American Business Services, Inc., et al. chatAND, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved DTS8 Coffee Company, Ltd. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Greenfield Farms Food, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86501 https://www.sec.gov/litigation/suspensions/2019/34-86501.pdf Order 2019-07-29 American Business Services, Inc., et al. chatAND, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved DTS8 Coffee Company, Ltd. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Greenfield Farms Food, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86503 https://www.sec.gov/litigation/admin/2019/34-86503.pdf 2019-07-29 American Business Services, Inc., et al. Hybrid Coating Technologies, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Infrastructure Developments Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Oro East Mining, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86504 https://www.sec.gov/litigation/suspensions/2019/34-86504.pdf Order 2019-07-29 American Business Services, Inc., et al. Hybrid Coating Technologies, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Infrastructure Developments Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Oro East Mining, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86505 https://www.sec.gov/litigation/suspensions/2019/34-86505.pdf Order 2019-07-29 American Business Services, Inc., et al. MMRGlobal, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Silver Hill Mines, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Sterling Group Ventures, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86506 https://www.sec.gov/litigation/admin/2019/34-86506.pdf 2019-07-29 American Business Services, Inc., et al. MMRGlobal, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Silver Hill Mines, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Sterling Group Ventures, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86510 https://www.sec.gov/litigation/opinions/2019/34-86510.pdf 2019-07-29 Thaddeus J. North North, Thaddeus J. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved IA-5311 https://www.sec.gov/litigation/admin/2019/ia-5311.pdf 2019-07-29 China Kanghui Holdings and Other Issuers Plaford, Christopher Clayton Approved Jackson Approved Peirce Approved Roisman Not Participating Lee Approved 34-86513 https://www.sec.gov/litigation/admin/2019/34-86513.pdf 2019-07-30 American Business Services, Inc., et al. Blackcraft Cult, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Unified Signal, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86514 https://www.sec.gov/litigation/suspensions/2019/34-86514.pdf Order 2019-07-30 American Business Services, Inc., et al. Blackcraft Cult, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Unified Signal, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86515 https://www.sec.gov/litigation/admin/2019/34-86515.pdf 2019-07-30 American Business Services, Inc., et al. Bioshaft Water Technology, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved MeeMee Media Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Zeecol International, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86516 https://www.sec.gov/litigation/suspensions/2019/34-86516.pdf Order 2019-07-30 American Business Services, Inc., et al. Bioshaft Water Technology, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved MeeMee Media Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Zeecol International, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86517 https://www.sec.gov/litigation/admin/2019/34-86517.pdf 2019-07-30 American Business Services, Inc., et al. Cornerworld Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved DMH International, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86518 https://www.sec.gov/litigation/suspensions/2019/34-86518.pdf Order 2019-07-30 American Business Services, Inc., et al. Cornerworld Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved DMH International, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86519 https://www.sec.gov/litigation/admin/2019/34-86519.pdf 2019-07-30 American Business Services, Inc., et al. Electronic Cigarettes International Group, Ltd. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Seaniemac International, Ltd. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Ziwira, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86520 https://www.sec.gov/litigation/suspensions/2019/34-86520.pdf Order 2019-07-30 American Business Services, Inc., et al. Electronic Cigarettes International Group, Ltd. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Seaniemac International, Ltd. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Ziwira, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86521 https://www.sec.gov/litigation/admin/2019/34-86521.pdf 2019-07-31 Real Goods Solar Inc. Holden,James W. Clayton Approved Jackson Approved Peirce Approved Roisman Not Participating Lee Approved 34-86522 https://www.sec.gov/litigation/admin/2019/34-86522.pdf 2019-07-31 Jonathan Brosk Brosk, Jonathan Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the I/A Act Sections 206(1) and 206(2) violations Roisman Not Participating Lee Approved 34-86523 https://www.sec.gov/litigation/opinions/2019/34-86523.pdf 2019-07-31 Allen Holeman Holeman, Allen Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86524 https://www.sec.gov/litigation/admin/2019/34-86524.pdf 2019-07-31 American Business Services, Inc., et al. Axiom Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Smartchase Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Veracity Management Global, Inc. n/k/a Santa Fe Resource Development, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86525 https://www.sec.gov/litigation/suspensions/2019/34-86525.pdf Order 2019-07-31 American Business Services, Inc., et al. Axiom Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Smartchase Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Veracity Management Global, Inc. n/k/a Santa Fe Resource Development, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86526 https://www.sec.gov/litigation/admin/2019/34-86526.pdf 2019-07-31 American Business Services, Inc., et al. American Business Services, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Iris Biotechnologies, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Soul & Vibe Interactive Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86527 https://www.sec.gov/litigation/suspensions/2019/34-86527.pdf Order 2019-07-31 American Business Services, Inc., et al. American Business Services, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Iris Biotechnologies, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Soul & Vibe Interactive Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86528 https://www.sec.gov/litigation/admin/2019/34-86528.pdf 2019-07-31 American Business Services, Inc., et al. Arabella Exploration, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Scivanta Medical Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Westmountain Distressed Debt, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86529 https://www.sec.gov/litigation/suspensions/2019/34-86529.pdf Order 2019-07-31 American Business Services, Inc., et al. Arabella Exploration, Inc. (n/k/a Arabella Exploration, Inc.) Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Scivanta Medical Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Westmountain Distressed Debt, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86530 https://www.sec.gov/litigation/admin/2019/34-86530.pdf 2019-07-31 Global Transition Solutions, Inc. Kirk, John P. Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved 34-86531 https://www.sec.gov/litigation/admin/2019/34-86531.pdf 2019-07-31 Global Transition Solutions, Inc. Kirk,Paul G., Esq. Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved 34-86271 https://www.sec.gov/litigation/suspensions/2019/34-86271.pdf Order 2019-07-01 Blue Eagle Lithium, Inc. Blue Eagle Lithium, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86421 https://www.sec.gov/litigation/admin/2019/34-86421.pdf 2019-07-22 Microsoft Corporation Microsoft Corporation Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved Lee Approved 34-86435 https://www.sec.gov/litigation/admin/2019/34-86435.pdf 2019-07-23 Opower, Inc. Sundarraj, Balaji Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved Lee Approved O’Brien, David Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved Lee Approved 34-86438 https://www.sec.gov/litigation/admin/2019/34-86438.pdf 2019-07-23 Africa Growth Corporation, et al. Africa Growth Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Gold Dynamics Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86439 https://www.sec.gov/litigation/admin/2019/34-86439.pdf 2019-07-23 Africa Growth Corporation, et al. Gold Lakes Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Novagen Ingenium Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86440 https://www.sec.gov/litigation/suspensions/2019/34-86440.pdf Order 2019-07-23 Africa Growth Corporation, et al. Gold Lakes Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Novagen Ingenium Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86441 https://www.sec.gov/litigation/admin/2019/34-86441.pdf 2019-07-23 Africa Growth Corporation, et al. QuantumSphere, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Shenzhen Yidian Double Way of Innovation Culture Media Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86442 https://www.sec.gov/litigation/suspensions/2019/34-86442.pdf Order 2019-07-23 Africa Growth Corporation, et al. QuantumSphere, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Shenzhen Yidian Double Way of Innovation Culture Media Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86443 https://www.sec.gov/litigation/suspensions/2019/34-86443.pdf Order 2019-07-23 Africa Growth Corporation, et al. Africa Growth Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Gold Dynamics Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86445 https://www.sec.gov/litigation/admin/2019/34-86445.pdf 2019-07-23 Africa Growth Corporation, et al. American Smooth Wave Ventures, Inc. Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10663 https://www.sec.gov/litigation/admin/2019/33-10663.pdf 2019-07-24 Breitling Oil & Gas Corporation Baker, Robert L. Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved Lee Approved 33-10664 https://www.sec.gov/litigation/admin/2019/33-10664.pdf 2019-07-24 Breitling Oil & Gas Corporation Herrera, Jacob B. Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved Lee Approved 33-10665 https://www.sec.gov/litigation/admin/2019/33-10665.pdf 2019-07-24 Breitling Oil & Gas Corporation Bowen, Michael D. Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved Lee Approved 34-86446 https://www.sec.gov/litigation/admin/2019/34-86446.pdf 2019-07-24 Alaska Financial Company III LLC Foundations Asset Management, LLC Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved Lee Approved Shamburger, Michael W. Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved Lee Approved Wedel, Rob E. Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved Lee Approved 34-86448 https://www.sec.gov/litigation/admin/2019/34-86448.pdf 2019-07-24 Africa Growth Corporation, et al. Equality Investments, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Freedom Financial Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Mustang Resources Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86449 https://www.sec.gov/litigation/admin/2019/34-86449.pdf 2019-07-24 Africa Growth Corporation, et al. NECO Energy Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Neighborhood Investment, Ltd. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved New Dawn Entertainment Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86450 https://www.sec.gov/litigation/admin/2019/34-86450.pdf 2019-07-24 Africa Growth Corporation, et al. Knowledgebroker, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Millers American Group, Inc. (a/k/a Millers Mutual Fire Insurance Co.) Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Omega Orthodontics, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86451 https://www.sec.gov/litigation/admin/2019/34-86451.pdf 2019-07-24 Africa Growth Corporation, et al. Enhanced Services Company, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Ingenex, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86452 https://www.sec.gov/litigation/admin/2019/34-86452.pdf 2019-07-24 Africa Growth Corporation, et al. Armco Metals Holdings, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Global Future City Holding, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved TraceGuard Technologies, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86453 https://www.sec.gov/litigation/admin/2019/34-86453.pdf 2019-07-24 Africa Growth Corporation, et al. Biolog, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Bozki, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved China Gewang Biotechnology, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86454 https://www.sec.gov/litigation/admin/2019/34-86454.pdf 2019-07-24 Africa Growth Corporation, et al. Capital Trust Holdings, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Florida Gaming Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Go Public, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86455 https://www.sec.gov/litigation/admin/2019/34-86455.pdf 2019-07-24 Africa Growth Corporation, et al. Biscayne Acquisition Group Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Teleplus World, Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86456 https://www.sec.gov/litigation/admin/2019/34-86456.pdf 2019-07-24 Africa Growth Corporation, et al. Diversified Corporate Resources, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved NetWolves Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Samdrew VIII, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved IA-5307 https://www.sec.gov/litigation/admin/2019/ia-5307.pdf 2019-07-24 Private Advisory Group, LLC Price, N. Gary Clayton Approved Jackson Not Participating Peirce Approved with Exception Approved except as to the bar Roisman Approved Lee Approved 34-86466 https://www.sec.gov/litigation/admin/2019/34-86466.pdf 2019-07-25 Innovational Funding, LLC Shah, Sohin S. Clayton Approved Jackson Approved Peirce Approved Roisman Not Participating Lee Approved 34-86467 https://www.sec.gov/litigation/admin/2019/34-86467.pdf 2019-07-25 American Business Services, Inc., et al. 5BARz International, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Eagle Mountain Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved EFT Holdings, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86468 https://www.sec.gov/litigation/suspensions/2019/34-86468.pdf Order 2019-07-25 American Business Services, Inc., et al. 5BARz International, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Eagle Mountain Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved EFT Holdings, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86469 https://www.sec.gov/litigation/opinions/2019/34-86469.pdf 2019-07-25 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Bahamas Concierge, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Titanium Healthcare, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86475 https://www.sec.gov/litigation/opinions/2019/34-86475.pdf 2019-07-25 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Entourage Mining, Ltd. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved I.I.S. Intelligent Information Systems, Ltd. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved NewLead Holdings, Ltd. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Quantitative Alpha Trading, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Starfield Resources, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86476 https://www.sec.gov/litigation/opinions/2019/34-86476.pdf 2019-07-25 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing GSM Group, Inc. (f/k/a Northam Acquisition Corp.) Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86477 https://www.sec.gov/litigation/opinions/2019/34-86477.pdf 2019-07-25 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing American Sands Energy Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Tumbleweed Holdings, Inc. (a/k/a Digital Creative Devlopment Corporation) Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86480 https://www.sec.gov/litigation/suspensions/2019/34-86480.pdf Order 2019-07-25 Possible Manipulative Schemes Involving Microcap and Other Securities BioHemp International Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86481 https://www.sec.gov/litigation/admin/2019/34-86481.pdf 2019-07-26 Royale Globe Holding Inc. Seng, Chua Seong (aka Robbie Chua) Clayton Approved Jackson Approved Peirce Approved Roisman Not Participating Lee Approved 34-86485 https://www.sec.gov/litigation/admin/2019/34-86485.pdf 2019-07-26 American Business Services, Inc., et al. Bingo Nation, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Sino-American Net Media Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Wussler Worldwide Media Company Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86486 https://www.sec.gov/litigation/admin/2019/34-86486.pdf 2019-07-26 American Business Services, Inc., et al. House of BODS Fitness, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Reef Oil & Gas Income & Development Fund III LP Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Techlabs, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86487 https://www.sec.gov/litigation/admin/2019/34-86487.pdf 2019-07-26 American Business Services, Inc., et al. Mariposa Health, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved STL Marketing Group, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86488 https://www.sec.gov/rules/sro/occ-an/2019/34-86488.pdf 2019-07-26 Advance Notice filed with the Commission pursuant to the Payment, Clearing, and Settlement Supervision Act of 2010 by The Options Clearing Corporation related to the Vanilla Option Model and Smoothing Algorithm within OCC’s margin methodology (SR-OCC-2019-804) The Options Clearing Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86489 https://www.sec.gov/litigation/admin/2019/34-86489.pdf 2019-07-26 Vera Bradley, Inc. Rooney, Timothy M., Sr. Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Not Participating Lee Approved 34-86490 https://www.sec.gov/litigation/opinions/2019/34-86490.pdf 2019-07-26 John M.E. Saad Saad, John M.E. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86494 https://www.sec.gov/litigation/opinions/2019/34-86494.pdf 2019-07-26 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing American Petro-Hunter, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Prospect Global Resources, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86495 https://www.sec.gov/litigation/admin/2019/34-86495.pdf 2019-07-26 Petition for Nevanna Sacks, CPA for reinstatement Sacks, Nevanna, CPA Clayton Approved Jackson Not Approved Peirce Approved Roisman Approved Lee Not Approved 34-86496 https://www.sec.gov/litigation/opinions/2019/34-86496.pdf 2019-07-26 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing LYFE Communications, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Revolutions Medical Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86498 https://www.sec.gov/litigation/opinions/2019/34-86498.pdf 2019-07-26 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Coupon Express, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved First Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved TLC Vision Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86499 https://www.sec.gov/litigation/opinions/2019/34-86499.pdf 2019-07-26 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Makism 3D Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Safebrain Systems, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86372 https://www.sec.gov/litigation/admin/2019/34-86372.pdf 2019-07-15 Nomura Securities International, Inc. Nomura Securities International, Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Not Participating Lee Approved 34-86373 https://www.sec.gov/litigation/admin/2019/34-86373.pdf 2019-07-15 Nomura Securities International, Inc., CMBS Trading Nomura Securities International, Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Not Participating Lee Approved 34-86379 https://www.sec.gov/litigation/opinions/2019/34-86379.pdf 2019-07-15 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing T3M Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86380 https://www.sec.gov/litigation/opinions/2019/34-86380.pdf 2019-07-15 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Biofuels Power Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Synergetics, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86381 https://www.sec.gov/litigation/opinions/2019/34-86381.pdf 2019-07-15 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Green Earth Technologies, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Jishayne, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86385 https://www.sec.gov/litigation/admin/2019/34-86385.pdf 2019-07-16 Flaster Corporation and Certain Other Issuers Dov Weinstein & Co., CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved Weinstein, Dov, CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86388 https://www.sec.gov/litigation/opinions/2019/34-86388.pdf 2019-07-16 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Ampal-American Israel Corpration Clayton Approved Jackson Approved Peirce Approved Roisman Approved Sanguine Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86389 https://www.sec.gov/litigation/opinions/2019/34-86389.pdf 2019-07-16 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing UnifiedOnline, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86392 https://www.sec.gov/litigation/opinions/2019/34-86392.pdf 2019-07-16 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Epic Stores Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Khang Gia Holding, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Southern Labs, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86393 https://www.sec.gov/litigation/admin/2019/34-86393.pdf 2019-07-16 Dale Scott & Company, Inc. Dale Scott & Company, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Not Participating Lee Approved 34-86394 https://www.sec.gov/litigation/opinions/2019/34-86394.pdf 2019-07-16 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing China Ginseng Holdings, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Tianyin Pharmaceuticals Co., Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86395 https://www.sec.gov/litigation/admin/2019/34-86395.pdf 2019-07-16 Dale Scott & Company, Inc. Oetken, G. Wayner Clayton Approved Jackson Approved Peirce Approved Roisman Not Participating Lee Approved 34-86396 https://www.sec.gov/litigation/admin/2019/34-86396.pdf 2019-07-16 Dale Scott & Company, Inc. School Services of California, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Not Participating Lee Approved 34-86397 https://www.sec.gov/litigation/admin/2019/34-86397.pdf 2019-07-16 Spring Hill Capital Markets, LLC Spring Hill Capital Markets, LLC Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty Roisman Not Participating Lee Approved Spring Hill Capital Partners, LLC Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty Roisman Not Participating Lee Approved Spring Hill Capital Holdings, LLC Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty Roisman Not Participating Lee Approved White, Kevin D. Clayton Approved Jackson Approved Peirce Approved Roisman Not Participating Lee Approved IA-5301 https://www.sec.gov/litigation/admin/2019/ia-5301.pdf 2019-07-16 Denali Investors LLC Byun, Hana Woosuk, a/k/a Hana Kevin Byun Clayton Approved Jackson Approved Peirce Approved Roisman Not Participating Lee Approved 33-10662 https://www.sec.gov/litigation/opinions/2019/33-10662.pdf 2019-07-17 Merrimac Corporate Securities, Inc., and Robert G. Nash Merrimac Corporate Securities, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Nash, Robert G. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86403 https://www.sec.gov/litigation/opinions/2019/34-86403.pdf 2019-07-17 Allen Holeman Holeman, Allen Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved IA-5302 https://www.sec.gov/litigation/admin/2019/ia-5302.pdf 2019-07-17 Salus, LP Salus, LP Clayton Approved Jackson Approved Peirce Approved Roisman Not Participating Lee Approved S.A.I.C., Limited Clayton Approved Jackson Approved Peirce Approved Roisman Not Participating Lee Approved Copeland, Brandon E. Clayton Approved Jackson Approved Peirce Approved Roisman Not Participating Lee Approved Prusa, Gregory M. Clayton Approved Jackson Approved Peirce Approved Roisman Not Participating Lee Approved 34-86409 https://www.sec.gov/litigation/admin/2019/34-86409.pdf 2019-07-18 Woodbridge Investment Fund III, LLC; 1 Global Capital, LLC Wieniewitz, Henry J., III Clayton Approved Jackson Approved Peirce Approved Roisman Not Participating Lee Approved IA-5303 https://www.sec.gov/litigation/admin/2019/ia-5303.pdf 2019-07-18 Marinus Capital Advisors LLC Rege, Swapnil Clayton Approved Jackson Approved Peirce Approved Roisman Not Participating Lee Approved IA-5305 https://www.sec.gov/litigation/admin/2019/ia-5305.pdf 2019-07-19 Account Management LLC Account Management LLC Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved Lee Approved de Roetth, Christopher A. Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved Lee Approved de Roetth, Peter Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved Lee Approved 33-10661 https://www.sec.gov/litigation/opinions/2019/33-10661.pdf 2019-07-08 Orders Vacating Collateral Bars Cohen, Moshe Marc Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86319 https://www.sec.gov/litigation/opinions/2019/34-86319.pdf 2019-07-08 Orders Vacating Collateral Bars Bartholomew, David G. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86320 https://www.sec.gov/litigation/opinions/2019/34-86320.pdf 2019-07-08 Orders Vacating Collateral Bars Zirinsky, Michael W. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86321 https://www.sec.gov/litigation/opinions/2019/34-86321.pdf 2019-07-08 Orders Vacating Collateral Bars Szafranski, Michael Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86330 https://www.sec.gov/litigation/admin/2019/34-86330.pdf 2019-07-08 Visium Asset Management, LP Visium Asset Management, LP Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5291 https://www.sec.gov/litigation/opinions/2019/ia-5291.pdf 2019-07-08 Orders Vacating Collateral Bars Prevost, Bruce F. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Harrold, David W. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5292 https://www.sec.gov/litigation/opinions/2019/ia-5292.pdf 2019-07-08 Orders Vacating Collateral Bars Stevens, George Q. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5293 https://www.sec.gov/litigation/opinions/2019/ia-5293.pdf 2019-07-08 Orders Vacating Collateral Bars Gutekunst, Bart C. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86331 https://www.sec.gov/litigation/admin/2019/34-86331.pdf 2019-07-09 Certain Oil & Gas Sales Agents Vandivier, Paul Douglas Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved 34-86336 https://www.sec.gov/litigation/suspensions/2019/34-86336.pdf Order 2019-07-09 Advantis Corporation Advantis Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86350 https://www.sec.gov/litigation/admin/2019/34-86350.pdf 2019-07-10 Santa Fe Gold Corporation Laws, Thomas H., CPA Clayton Approved Jackson Not Participating Peirce Approved with Exception Approved except as to the penalty Roisman Approved 34-86355 https://www.sec.gov/litigation/opinions/2019/34-86355.pdf 2019-07-11 Orders Vacating Collateral Bars Hanrahan, Edward J. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86357 https://www.sec.gov/litigation/admin/2019/34-86357.pdf 2019-07-11 Crown Marketing Hand,Jehu Esq. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-86367 https://www.sec.gov/litigation/opinions/2019/34-86367.pdf 2019-07-12 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing American Locker Group, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Pegasi Energy Resources Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86369 https://www.sec.gov/litigation/admin/2019/34-86369.pdf 2019-07-12 Kwen Y. Chun Chun, Kwen Y. Clayton Approved Jackson Approved Peirce Approved Roisman Not Participating Lee Approved 34-86370 https://www.sec.gov/litigation/opinions/2019/34-86370.pdf 2019-07-12 Meyers Associates, L.P. (n/k/a Windsor Capital, L.P.) and Bruce Meyers Meyers Associates, L.P. (n/k/a Windsor Street Capital, L.P.) Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved Meyers, Bruce Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-86371 https://www.sec.gov/litigation/opinions/2019/34-86371.pdf 2019-07-12 John M.E. Saad Saad, John M.E. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-10655 https://www.sec.gov/litigation/admin/2019/33-10655.pdf 2019-07-01 Certain Registered Investment Advisers Recommending Aequitas Securities Fieldstone Financial Management Group, LLC Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved Behn, Kristofor R. Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved 33-10656 https://www.sec.gov/litigation/admin/2019/33-10656.pdf 2019-07-01 GT Media, Inc. GT Media, Inc. Clayton Approved Jackson Not Participating Peirce Approved with Exception Approved except as to the penalty Roisman Approved 34-86252 https://www.sec.gov/litigation/admin/2019/34-86252.pdf 2019-07-01 Regulation 13D-G Initiative Chang, Thomas, CPA Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved 34-86254 https://www.sec.gov/litigation/admin/2019/34-86254.pdf 2019-07-01 Moter, Laverne C. Moter, Laverne C. Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved 34-86258 https://www.sec.gov/litigation/opinions/2019/34-86258.pdf 2019-07-01 Orders Vacating Collateral Bars Sanchez, Rafael Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86260 https://www.sec.gov/litigation/opinions/2019/34-86260.pdf 2019-07-01 Orders Vacating Collateral Bars Stuthers, Donald M. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86261 https://www.sec.gov/litigation/opinions/2019/34-86261.pdf 2019-07-01 Orders Vacating Collateral Bars Imperato, Daniel Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86262 https://www.sec.gov/litigation/opinions/2019/34-86262.pdf 2019-07-01 Orders Vacating Collateral Bars Engle, Rebecca L. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86263 https://www.sec.gov/litigation/opinions/2019/34-86263.pdf 2019-07-01 Orders Vacating Collateral Bars Pearson, Richard L. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86264 https://www.sec.gov/litigation/opinions/2019/34-86264.pdf 2019-07-01 Orders Vacating Collateral Bars Schuster, Brian J. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86268 https://www.sec.gov/litigation/admin/2019/34-86268.pdf 2019-07-01 Essendant, Inc. Schalkle, Tory J.R. Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved 34-86269 https://www.sec.gov/rules/pcaob/2019/34-86269.pdf 2019-07-01 New and Amended PCAOB Auditing Standards Related to Auditing Accounting Estimates, Including Fair Value Measurements, and the Auditor's Use of the Work of Specialists Public Company Accounting Oversight Board Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86270 https://www.sec.gov/rules/pcaob/2019/34-86270.pdf 2019-07-01 New and Amended PCAOB Auditing Standards Related to Auditing Accounting Estimates, Including Fair Value Measurements, and the Auditor's Use of the Work of Specialists Public Company Accounting Oversight Board Clayton Approved Jackson Approved Peirce Approved Roisman Approved 33-10657 https://www.sec.gov/litigation/opinions/2019/33-10657.pdf 2019-07-02 James A. Winkelmann, Sr. and Blue Ocean Portfolios LLC Winkelmann, James A.,Sr. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Blue Ocean Portfolios, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86272 https://www.sec.gov/litigation/opinions/2019/34-86272.pdf 2019-07-02 Orders Vacating Collateral Bars Daifotis, Kimon P. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86273 https://www.sec.gov/litigation/admin/2019/34-86273.pdf 2019-07-02 Net Worth Solutions, LLC Catledge, James B. Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved 34-86275 https://www.sec.gov/litigation/opinions/2019/34-86275.pdf 2019-07-02 Orders Vacating Collateral Bars Walters, William L. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86276 https://www.sec.gov/litigation/opinions/2019/34-86276.pdf 2019-07-02 Orders Vacating Collateral Bars Gruenbaum, Jerry, Esq. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86277 https://www.sec.gov/litigation/opinions/2019/34-86277.pdf 2019-07-02 Orders Vacating Collateral Bars Bethke, Steven H. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86279 https://www.sec.gov/litigation/opinions/2019/34-86279.pdf 2019-07-02 Orders Vacating Collateral Bars Rossi, Frank Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86281 https://www.sec.gov/litigation/opinions/2019/34-86281.pdf 2019-07-02 Kimberly Springsteen-Abbott Springsteen-Abbott, Kimberly Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86282 https://www.sec.gov/litigation/opinions/2019/34-86282.pdf 2019-07-02 Mark Morrow Morrow, Mark Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5269 https://www.sec.gov/litigation/opinions/2019/ia-5269.pdf 2019-07-02 Orders Vacating Collateral Bars Johnson, John V. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5270 https://www.sec.gov/litigation/admin/2019/ia-5270.pdf 2019-07-02 The Parrish Group, LLC The Parrish Group, LLC Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved Davis, Daryl M. Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved IA-5272 https://www.sec.gov/litigation/opinions/2019/ia-5272.pdf 2019-07-02 Orders Vacating Collateral Bars Scammell, Toby G. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5273 https://www.sec.gov/litigation/opinions/2019/ia-5273.pdf 2019-07-02 Orders Vacating Collateral Bars Ribotsky, Corey Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5274 https://www.sec.gov/litigation/opinions/2019/ia-5274.pdf 2019-07-02 Orders Vacating Collateral Bars Meyer, Saul Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5277 https://www.sec.gov/litigation/opinions/2019/ia-5277.pdf 2019-07-02 Orders Vacating Collateral Bars Slade, Duane Hamblin Clayton Approved Jackson Approved Peirce Approved Roisman Approved 33-10659 https://www.sec.gov/litigation/opinions/2019/33-10659.pdf 2019-07-03 Orders Vacating Collateral Bars Grossman, Larry C. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 33-10660 https://www.sec.gov/rules/other/2019/33-10660.pdf 2019-07-03 Publication of the Commission's Regulatory Flexibility Act Rule Review List List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86290 https://www.sec.gov/litigation/opinions/2019/34-86290.pdf 2019-07-03 Orders Vacating Collateral Bars Adams, Charles W. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86292 https://www.sec.gov/litigation/opinions/2019/34-86292.pdf 2019-07-03 Orders Vacating Collateral Bars Crawford, Paul D. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86295 https://www.sec.gov/litigation/opinions/2019/34-86295.pdf 2019-07-03 Orders Vacating Collateral Bars Cain, Michael S. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86297 https://www.sec.gov/litigation/opinions/2019/34-86297.pdf 2019-07-03 Allen Holeman Holeman, Allen Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86298 https://www.sec.gov/litigation/opinions/2019/34-86298.pdf 2019-07-03 Orders Vacating Collateral Bars O'Rourke, Kevin James Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86303 https://www.sec.gov/litigation/opinions/2019/34-86303.pdf 2019-07-03 Orders Vacating Collateral Bars Benger, Stefan H. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86305 https://www.sec.gov/litigation/opinions/2019/34-86305.pdf 2019-07-03 Merrimac Corporate Securities, Inc., and Robert Nash Merrimac Corporate Securities, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Nash, Robert G. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5280 https://www.sec.gov/litigation/opinions/2019/ia-5280.pdf 2019-07-03 Orders Vacating Collateral Bars Altholtz, Harvey Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5282 https://www.sec.gov/litigation/opinions/2019/ia-5282.pdf 2019-07-03 Orders Vacating Collateral Bars Feinblatt, Robert Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5283 https://www.sec.gov/litigation/opinions/2019/ia-5283.pdf 2019-07-03 Orders Vacating Collateral Bars Cacchione, David Scott Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5285 https://www.sec.gov/litigation/opinions/2019/ia-5285.pdf 2019-07-03 Orders Vacating Collateral Bars Grace, Oliver R., Jr. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86307 https://www.sec.gov/litigation/opinions/2019/34-86307.pdf 2019-07-05 Efuel EFN Corp. Efuel EFN Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86308 https://www.sec.gov/litigation/opinions/2019/34-86308.pdf 2019-07-05 Orders Vacating Collateral Bars McGee, Timothy J. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86309 https://www.sec.gov/litigation/opinions/2019/34-86309.pdf 2019-07-05 Orders Vacating Collateral Bars Wulf, David R. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86310 https://www.sec.gov/litigation/opinions/2019/34-86310.pdf 2019-07-05 Orders Vacating Collateral Bars Sheinwald, Alan Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86311 https://www.sec.gov/litigation/opinions/2019/34-86311.pdf 2019-07-05 Orders Vacating Collateral Bars Lipkin, Eric Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86312 https://www.sec.gov/litigation/opinions/2019/34-86312.pdf 2019-07-05 Orders Vacating Collateral Bars Tudor, Franz N. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86313 https://www.sec.gov/litigation/opinions/2019/34-86313.pdf 2019-07-05 Orders Vacating Collateral Bars Akel, Philip Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86317 https://www.sec.gov/litigation/admin/2019/34-86317.pdf 2019-07-05 Pedro L. Gonzalez-Seijo Gonzalez-Seijo, Pedro L. Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved BHCA-6 https://www.sec.gov/rules/final/2019/bhca-6.pdf 2019-07-05 Amendments to the Volcker Rule Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds Clayton Approved Jackson Approved Peirce Approved Roisman Approved 33-10652 https://www.sec.gov/litigation/opinions/2019/33-10652.pdf 2019-06-24 Diane Dalmy, Esq. Dalmy, Diane, Esq. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86182 https://www.sec.gov/rules/sro/occ-an/2019/34-86182.pdf 2019-06-24 Advance Notice filed with the Commission pursuant to the Payment, Clearing, and Settlement Supervision Act of 2010 by The Options Clearing Corporation (“OCC”) to Enter Into a New Credit Facility Agreement (“Advance Notice”) (File No. SR-OCC-2019-803) The Options Clearing Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86186 https://www.sec.gov/litigation/opinions/2019/34-86186.pdf 2019-06-24 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing FalconTarget, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Grand Monarch Holdings, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved OICCO Acquisition III, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86187 https://www.sec.gov/litigation/opinions/2019/34-86187.pdf 2019-06-24 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Stoneleigh Acquisition Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Transcendent One, Inc. (a/k/a Transcendent, Inc.) Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86188 https://www.sec.gov/litigation/opinions/2019/34-86188.pdf 2019-06-24 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Westpoint Energy, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 360 Global Investments (f/k/a 360 Global Wine Co.) Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86189 https://www.sec.gov/litigation/opinions/2019/34-86189.pdf 2019-06-24 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Eco-Trade Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved LTWC Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Onyx Service & Solutions, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86193 https://www.sec.gov/litigation/opinions/2019/34-86193.pdf 2019-06-24 Meyers Associates, L.P. Meyers Associates, L.P. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5261 https://www.sec.gov/litigation/admin/2019/ia-5261.pdf 2019-06-25 Kane Capital Investment Group, LLC Chahal, Amrit J. S. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86196 https://www.sec.gov/litigation/admin/2019/34-86196.pdf 2019-06-26 J.D. Nicholas & Associates, Inc. Dean, Gregory T. Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the penny stock bar and penalty Roisman Approved 34-86200 https://www.sec.gov/litigation/opinions/2019/34-86200.pdf 2019-06-26 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Aquarius Cannabis, Inc. (n/k/a AC DE, Inc.) Clayton Approved Jackson Approved Peirce Approved Roisman Approved Green Field Energy, Inc. (n/k/a GFE Sustainable Energy, Inc.) Clayton Approved Jackson Approved Peirce Approved Roisman Approved Soft iCastle, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86207 https://www.sec.gov/litigation/opinions/2019/34-86207.pdf 2019-06-26 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing American Natural Energy Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved CenturyTouch Ltd. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Kaeland Resources Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86209 https://www.sec.gov/litigation/opinions/2019/34-86209.pdf 2019-06-26 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing AFH Acquisition VI, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved AFH Acquisition VII, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved AFH Acquisition VIII, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved AFH Acquisition XI, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86205 https://www.sec.gov/litigation/opinions/2019/34-86205.pdf 2019-06-27 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Stonewall Financial, Ltd. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Super Ventures Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved United China Acquisitions I Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86210 https://www.sec.gov/litigation/admin/2019/34-86210.pdf 2019-06-27 Harvey Public Library District Bonds IFS Securities Clayton Approved Jackson Not Participating Peirce Not Approved Roisman Approved 34-86216 https://www.sec.gov/litigation/opinions/2019/34-86216.pdf 2019-06-27 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Munro Developments, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Stallion Synergies, Inc. (n/k/a World Wind Holding Group, Inc.) Clayton Approved Jackson Approved Peirce Approved Roisman Approved Sunergy, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86217 https://www.sec.gov/litigation/opinions/2019/34-86217.pdf 2019-06-27 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Geo Reserve Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved I Sites, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved T.A.G. Acquisitions, Ltd. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86218 https://www.sec.gov/litigation/opinions/2019/34-86218.pdf 2019-06-27 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Position Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Test Case Acquisition, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Tidal Wave Holding, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86222 https://www.sec.gov/litigation/opinions/2019/34-86222.pdf 2019-06-27 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing AFS Holdings, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Midas Real Estate Ventures, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86223 https://www.sec.gov/litigation/opinions/2019/34-86223.pdf 2019-06-27 Thaddeus J. North North,Thaddeus J. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86227 https://www.sec.gov/litigation/suspensions/2019/34-86227.pdf Order 2019-06-27 Possible Manipulative Schemes Involving Microcap and Other Securities Anvia Holdings Corp. Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved 34-86228 https://www.sec.gov/litigation/suspensions/2019/34-86228.pdf Order 2019-06-27 Upper Street Marketing, Inc. Upper Street Marketing, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IC-33534 https://www.sec.gov/litigation/admin/2019/ic-33534.pdf 2019-06-27 State Street Bank and Trust Company State Street Bank and Trust Company Clayton Approved Jackson Not Participating Peirce Not Approved Roisman Approved 33-10654 https://www.sec.gov/litigation/opinions/2019/33-10654.pdf 2019-06-28 Edward M. Daspin Daspin, Edward M. a/k/a "Edward (Ed) Michael" Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86229 https://www.sec.gov/litigation/opinions/2019/34-86229.pdf 2019-06-28 Meyers Associates, L.P. (n/k/a Windsor Street Capital, L.P.) and Bruce Meyers Meyers, Bruce Clayton Approved Jackson Approved Peirce Approved Roisman Approved Meyers Associates, L.P. (n/k/a Windsor Street Capital, L.P.) Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86235 https://www.sec.gov/litigation/opinions/2019/34-86235.pdf 2019-06-28 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Ournett Holdings, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Unigene Laboratories, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Vicon Fiber Optics Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86237 https://www.sec.gov/litigation/opinions/2019/34-86237.pdf 2019-06-28 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Montbriar, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Soul Delicious3 Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Universal Holdings & Consulting, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86239 https://www.sec.gov/litigation/admin/2019/34-86239.pdf 2019-06-28 Blue Earth, Inc. Jones, R. Gordon, CPA Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved 34-86240 https://www.sec.gov/litigation/admin/2019/34-86240.pdf 2019-06-28 Blue Earth, Inc. Jones, S. Jeffrey, CPA Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved 34-86242 https://www.sec.gov/litigation/opinions/2019/34-86242.pdf 2019-06-28 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Mindpix Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved One2one Living Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Wild Craze, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86247 https://www.sec.gov/litigation/suspensions/2019/34-86247.pdf Order 2019-06-28 Possible Manipulative Schemes Involving Microcap and Other Securities Korver Corp. Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved 34-86248 https://www.sec.gov/litigation/suspensions/2019/34-86248.pdf Order 2019-06-28 Possible Manipulative Schemes Involving Microcap and Other Securities Apotheca Biosciences Inc. Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved 34-86249 https://www.sec.gov/litigation/suspensions/2019/34-86249.pdf Order 2019-06-28 Possible Manipulative Schemes Involving Microcap and Other Securities Befut Global Inc. Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved 34-86250 https://www.sec.gov/litigation/suspensions/2019/34-86250.pdf Order 2019-06-28 Possible Manipulative Schemes Involving Microcap and Other Securities Natural Health Farm Holdings Inc. Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved IA-5262 https://www.sec.gov/litigation/admin/2019/ia-5262.pdf 2019-06-28 MC2 Capital Management LLC Chiat, Avi, Esq. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86118 https://www.sec.gov/litigation/admin/2019/34-86118.pdf 2019-06-17 Certain PCAOB Inspections; KPMG LLP KPMG LLP Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86123 https://www.sec.gov/litigation/admin/2019/34-86123.pdf 2019-06-17 Petition of Stephen Cheaney, CPA for reinstatement Cheaney, Stephen, CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86124 https://www.sec.gov/litigation/admin/2019/34-86124.pdf 2019-06-17 Petition of Michael Santicchia, CPA for reinstatement Santicchia, Michael, CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86125 https://www.sec.gov/litigation/admin/2019/34-86125.pdf 2019-06-17 The Maxwell Fair Fund Maxwell Technologies, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Andrews, Van M. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Schramm, David J. Clayton Approved Jackson Approved Peirce Approved Roisman Approved DeWitt, James W., Jr., CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86128 https://www.sec.gov/litigation/suspensions/2019/34-86128.pdf https://www.sec.gov/litigation/suspensions/2019/34-86128-o.pdf Order 2019-06-17 Certain Possible Fraudulent Issuers of Securities Profile Solutions, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 33-10648 https://www.sec.gov/rules/final/2019/33-10648.pdf 2019-06-18 Amendments to Auditor Independence Rules With Respect to Certain Loans or Debtor-Creditor Relationships Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships Clayton Approved Jackson Approved Peirce Approved Roisman Approved 33-10649 https://www.sec.gov/rules/concept/2019/33-10649.pdf 2019-06-18 Concept Release on Harmonization of Securities Offering Exemptions Concept Release on Harmonization of Securities Offering Exemptions Clayton Approved Jackson Approved Peirce Approved Roisman Approved 33-10650 https://www.sec.gov/litigation/admin/2019/33-10650.pdf 2019-06-18 Certain ADR Issuers Wedbush Securities, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86134 https://www.sec.gov/litigation/opinions/2019/34-86134.pdf 2019-06-18 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Everyday Assembly Productions, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Forgotten Investments Co., Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Market Integrity, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86139 https://www.sec.gov/litigation/opinions/2019/34-86139.pdf 2019-06-18 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Allied American Steel Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Besra Gold, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Silver Dragon Resources, Inc. (f/k/a Networking Partners, Inc.) Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86141 https://www.sec.gov/litigation/opinions/2019/34-86141.pdf 2019-06-18 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Americas Wind Energy Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Circa Pictures and Production Co. International, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86142 https://www.sec.gov/litigation/opinions/2019/34-86142.pdf 2019-06-19 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Alterrus Systems, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Corgreen Technologies Holdings Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved PC Group, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86143 https://www.sec.gov/litigation/opinions/2019/34-86143.pdf 2019-06-19 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Juniper Group, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Multimedia Platforms, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Satya Worldwide, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86144 https://www.sec.gov/litigation/opinions/2019/34-86144.pdf 2019-06-19 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing China Health Resource, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved China Logistics Group, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86146 https://www.sec.gov/litigation/opinions/2019/34-86146.pdf 2019-06-19 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing American First Financial, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Assurance Group, Inc. (a/k/a Air Media Now!, Inc.) Clayton Approved Jackson Approved Peirce Approved Roisman Approved Avantair, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved eLayaway, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86150 https://www.sec.gov/litigation/opinions/2019/34-86150.pdf 2019-06-19 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Petron Energy II, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Saga Energy, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Saratoga Resources, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86152 https://www.sec.gov/litigation/opinions/2019/34-86152.pdf 2019-06-19 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing ScanSys, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Voz Mobile Cloud Ltd Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86156 https://www.sec.gov/litigation/suspensions/2019/34-86156.pdf https://www.sec.gov/litigation/suspensions/2019/34-86156-o.pdf Order 2019-06-19 Medico International Inc. Medico International Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86158 https://www.sec.gov/litigation/opinions/2019/34-86158.pdf 2019-06-19 Merrimac Corporate Securities, Inc., and Robert Nash Merrimac Corporate Securities, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Nash, Robert G. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 33-10651 https://www.sec.gov/litigation/admin/2019/33-10651.pdf 2019-06-20 Ability Inc. Gordon, Benjamin H. Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the suspension Roisman Approved 34-86159 https://www.sec.gov/litigation/admin/2019/34-86159.pdf 2019-06-20 Walmart Inc. Walmart Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86162 https://www.sec.gov/litigation/opinions/2019/34-86162.pdf 2019-06-20 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Endeavor IP, Inc. (n/k/a Nanolife Health, Inc.) Clayton Approved Jackson Approved Peirce Approved Roisman Approved WITH, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86165 https://www.sec.gov/litigation/opinions/2019/34-86165.pdf 2019-06-20 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Bitzio, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86166 https://www.sec.gov/litigation/opinions/2019/34-86166.pdf 2019-06-20 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing EMAV Holdings, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Thinspace Technology, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86169 https://www.sec.gov/litigation/opinions/2019/34-86169.pdf 2019-06-20 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing The Buck A Day Co., Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Kronos Ventures Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Magenta Media (US), Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Malacology, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86170 https://www.sec.gov/litigation/opinions/2019/34-86170.pdf 2019-06-20 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing CrossClick Media, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Kabe Exploration, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Swingplane Ventures, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86172 https://www.sec.gov/litigation/opinions/2019/34-86172.pdf 2019-06-20 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Crailar Technologies, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Midwest Oil & Gas, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Preston Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5258 https://www.sec.gov/litigation/admin/2019/ia-5258.pdf 2019-06-20 JSG Capital Investments, LLC Rios, Javier Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86175 https://www.sec.gov/rules/final/2019/34-86175.pdf 2019-06-21 Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants, and Capital Requirements for Broker-Dealers Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital and Segregation Requirements for Broker-Dealers Clayton Approved Jackson Not Approved Peirce Approved Roisman Approved 34-86176 https://www.sec.gov/litigation/opinions/2019/34-86176.pdf 2019-06-21 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Fastfunds Financial Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved First Asia Holdings Ltd. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Zap Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86177 https://www.sec.gov/litigation/opinions/2019/34-86177.pdf 2019-06-21 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing CPI Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Evergreen Energy, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved GlobalPayNet Holdings, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Gunpowder Gold Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86180 https://www.sec.gov/litigation/admin/2019/34-86180.pdf 2019-06-21 SPSS Inc. Payton, Daryl M. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5259 https://www.sec.gov/litigation/admin/2019/ia-5259.pdf 2019-06-21 CM Capital Management, LLC Moody, Edward Lee, Jr. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86073 https://www.sec.gov/rules/final/2019/34-86073.pdf 2019-06-10 Amendment to Single Issuer Exemption for Broker-Dealers Amendment to Single Issuer Exemption for Broker-Dealers Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86074 https://www.sec.gov/litigation/opinions/2019/34-86074.pdf 2019-06-10 Commonwealth Capital Securities Corp. Commonwealth Capital Securities Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86081 https://www.sec.gov/litigation/opinions/2019/34-86081.pdf 2019-06-10 Myers Associates, L.P. Meyers Associates, L.P. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86093 https://www.sec.gov/litigation/admin/2019/34-86093.pdf 2019-06-12 BNY ConvergEx Group LLC Blumberg, Anthony G. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86096 https://www.sec.gov/litigation/opinions/2019/34-86096.pdf 2019-06-12 John M.E. Saad Saad, John M.E. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 33-10646 https://www.sec.gov/rules/other/2019/33-10646.pdf 2019-06-13 Request for a limited waiver of Regulation D disqualification by certain funds associates with Och-Ziff Capital Management Group, LLC and OZ Management LP Och-Ziff Capital Management Group LLC Clayton Not Participating Jackson Not Approved Peirce Approved Roisman Approved OZ Management LP Clayton Not Participating Jackson Not Approved Peirce Approved Roisman Approved 34-86098 https://www.sec.gov/litigation/admin/2019/34-86098.pdf 2019-06-13 Meyers Associates, L.P. Aquino, Jovannie Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-86100 https://www.sec.gov/litigation/admin/2019/34-86100.pdf 2019-06-13 Orthofix Fair Fund Orthofix International N.V. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Hammel, Jeffrey, CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved McCollum, Brian Clayton Approved Jackson Approved Peirce Approved Roisman Approved Mack, Kenneth Clayton Approved Jackson Approved Peirce Approved Roisman Approved McMillan, Bryan Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86102 https://www.sec.gov/litigation/admin/2019/34-86102.pdf 2019-06-13 The Maxwell Fair Fund Maxwell Technologies, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Andrews, Van M. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Schramm, David J. Clayton Approved Jackson Approved Peirce Approved Roisman Approved DeWitt, James W. Jr., CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86103 https://www.sec.gov/rules/sro/occ-an/2019/34-86103.pdf 2019-06-13 Advance Notice filed with the Commission pursuant to the Payment, Clearing, and Settlement Supervision Act of 2010 by The Options Clearing Corporation ("OCC") concerning changes to OCC's margin methodology to add a charge to cover the costs of liquidating a defaulting Clearing Member's portfolio (File No. SR-OCC-2019-802) The Options Clearing Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86105 https://www.sec.gov/litigation/admin/2019/34-86105.pdf 2019-06-13 Hughes Capital Management, LLC Dunkerley, Hugh Clayton Approved Jackson Approved Peirce Approved Roisman Approved 33-10647 https://www.sec.gov/litigation/admin/2019/33-10647.pdf 2019-06-14 Certain ADR Issuers Industrial and Commercial Bank of China Financial Services LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86107 https://www.sec.gov/litigation/admin/2019/34-86107.pdf 2019-06-14 KIT Digital Inc. Vogel, David, CPA Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty Roisman Approved 33-10642 https://www.sec.gov/litigation/admin/2019/33-10642.pdf 2019-06-03 Certain Lightspeed Trading Accounts Savino, Anthony Clayton Approved Jackson Approved Peirce Approved Roisman Approved 33-10643 https://www.sec.gov/litigation/admin/2019/33-10643.pdf 2019-06-03 Certain Lightspeed Trading Accounts Palermo, Joseph Clayton Approved Jackson Not Approved Peirce Approved Roisman Approved 34-86002 https://www.sec.gov/rules/other/2019/34-86002.pdf 2019-06-03 Publication of Notices of Extension of Commission Review Period for the Initial Form ATS-N Filings of Legacy NMS Stock ATSs Listed in Exhibit B LeveL ATS Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86003 https://www.sec.gov/rules/other/2019/34-86003.pdf 2019-06-03 Publication of Notices of Extension of Commission Review Period for the Initial Form ATS-N Filings of Legacy NMS Stock ATSs Listed in Exhibit B Luminex ATS Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86004 https://www.sec.gov/rules/other/2019/34-86004.pdf 2019-06-03 Publication of Notices of Extension of Commission Review Period for the Initial Form ATS-N Filings of Legacy NMS Stock ATSs Listed in Exhibit B Magma ATS Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86005 https://www.sec.gov/rules/other/2019/34-86005.pdf 2019-06-03 Publication of Notices of Extension of Commission Review Period for the Initial Form ATS-N Filings of Legacy NMS Stock ATSs Listed in Exhibit B MS POOL ATS-4 Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86006 https://www.sec.gov/rules/other/2019/34-86006.pdf 2019-06-03 Publication of Notices of Extension of Commission Review Period for the Initial Form ATS-N Filings of Legacy NMS Stock ATSs Listed in Exhibit B MS RPOOL ATS-6 Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86007 https://www.sec.gov/rules/other/2019/34-86007.pdf 2019-06-03 Publication of Notices of Extension of Commission Review Period for the Initial Form ATS-N Filings of Legacy NMS Stock ATSs Listed in Exhibit B MS Trajectory Cross ATS-1 Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86008 https://www.sec.gov/rules/other/2019/34-86008.pdf 2019-06-03 Publication of Notices of Extension of Commission Review Period for the Initial Form ATS-N Filings of Legacy NMS Stock ATSs Listed in Exhibit B POSIT Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86009 https://www.sec.gov/rules/other/2019/34-86009.pdf 2019-06-03 Publication of Notices of Extension of Commission Review Period for the Initial Form ATS-N Filings of Legacy NMS Stock ATSs Listed in Exhibit B PRO Securities Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86011 https://www.sec.gov/rules/other/2019/34-86011.pdf 2019-06-03 Publication of Notices of Extension of Commission Review Period for the Initial Form ATS-N Filings of Legacy NMS Stock ATSs Listed in Exhibit B Instinet Crossing Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86012 https://www.sec.gov/rules/other/2019/34-86012.pdf 2019-06-03 Publication of Notices of Extension of Commission Review Period for the Initial Form ATS-N Filings of Legacy NMS Stock ATSs Listed in Exhibit B IBKR ATS Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86013 https://www.sec.gov/rules/other/2019/34-86013.pdf 2019-06-03 Publication of Notices of Extension of Commission Review Period for the Initial Form ATS-N Filings of Legacy NMS Stock ATSs Listed in Exhibit B IntelligentCross ATS Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86014 https://www.sec.gov/rules/other/2019/34-86014.pdf 2019-06-03 Publication of Notices of Extension of Commission Review Period for the Initial Form ATS-N Filings of Legacy NMS Stock ATSs Listed in Exhibit B Instinet BlockCross Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86015 https://www.sec.gov/rules/other/2019/34-86015.pdf 2019-06-03 Publication of Notices of Extension of Commission Review Period for the Initial Form ATS-N Filings of Legacy NMS Stock ATSs Listed in Exhibit B Instinet CBX Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86016 https://www.sec.gov/rules/other/2019/34-86016.pdf 2019-06-03 Publication of Notices of Extension of Commission Review Period for the Initial Form ATS-N Filings of Legacy NMS Stock ATSs Listed in Exhibit B Aqua Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86018 https://www.sec.gov/litigation/opinions/2019/34-86018.pdf 2019-06-03 Constantine Gus Cristo Cristo, Constantine Gus Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86021 https://www.sec.gov/litigation/opinions/2019/34-86021.pdf 2019-06-03 Allen Holeman Holeman, Allen Clayton Approved Jackson Approved Peirce Approved Roisman Approved 33-10644 https://www.sec.gov/rules/other/2019/33-10644.pdf 2019-06-04 United Capital Markets, Inc. Trading Practices Deer Park Road Management Company, LP Clayton Approved Jackson Not Approved Peirce Approved Roisman Approved 34-86028 https://www.sec.gov/litigation/admin/2019/34-86028.pdf 2019-06-04 Beazer Homes USA, Inc. Rand, Michael T., CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5245 https://www.sec.gov/litigation/admin/2019/ia-5245.pdf 2019-06-04 United Capital Markets, Inc. Trading Practices Deer Park Road Management Company, LP Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Burg, Scott E. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved 34-86031 https://www.sec.gov/rules/final/2019/34-86031.pdf 2019-06-05 Regulation Best Interest — Standard of Conduct for Broker-Dealers Regulation Best Interest: The Broker-Dealer Standard of Conduct Clayton Approved Jackson Not Approved Peirce Approved Roisman Approved 34-86032 https://www.sec.gov/rules/final/2019/34-86032.pdf 2019-06-05 Form CRS Relationship Summary Form CRS Relationship Summary; Amendments to Form ADV Clayton Approved Jackson Not Approved Peirce Approved Roisman Approved 34-86034 https://www.sec.gov/litigation/admin/2019/34-86034.pdf 2019-06-05 Pinnacle Accountancy Group, PLLC Pinnacle Accountancy Group, PLLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Child, Douglas W., CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5248 https://www.sec.gov/rules/interp/2019/ia-5248.pdf 2019-06-05 Standard of Conduct for Investment Advisers Commission Interpretation Regarding Standard of Conduct for Investment Advisers Clayton Approved Jackson Not Approved Peirce Approved Roisman Approved IA-5249 https://www.sec.gov/rules/interp/2019/ia-5249.pdf 2019-06-05 Interpretation of “Solely Incidental” Commission Interpretation Regarding the Solely Incidental Prong of the Broker-Dealer Exclusion from the Definition of Investment Adviser Clayton Approved Jackson Not Approved Peirce Approved Roisman Approved 34-86044 https://www.sec.gov/litigation/opinions/2019/34-86044.pdf 2019-06-06 Merrimac Corporate Securities, Inc. and Robert Nash Merrimac Corporate Securities, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Nash, Robert G. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86045 https://www.sec.gov/litigation/admin/2019/34-86045.pdf 2019-06-06 Potential Royal Alliance Associates Client Account Misuse Kitts, Kimberly Pine Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86046 https://www.sec.gov/litigation/admin/2019/34-86046.pdf 2019-06-06 Computer Sciences Corporation, et al. Computer Sciences Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Laphen, Michael Clayton Approved Jackson Approved Peirce Approved Roisman Approved Mancuso, Michael Clayton Approved Jackson Approved Peirce Approved Roisman Approved Banks, Wayne Clayton Approved Jackson Approved Peirce Approved Roisman Approved Zilmer, Claus Clayton Approved Jackson Approved Peirce Approved Roisman Approved Wakefield, Paul Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-86052 https://www.sec.gov/litigation/admin/2019/34-86052.pdf 2019-06-06 Evergreen Fair Fund Evergreen Investment Management Company, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Evergreen Investment Services, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Evergreen Service Company, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Wachovia Securities, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved 33-10645 https://www.sec.gov/rules/final/2019/33-10645.pdf 2019-06-07 Revisions to EDGAR Filer Manual, Volume I - "General Information" Volume II - "EDGAR Filing" Adoption of Updated EDGAR Filer Manual Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-84980 https://www.sec.gov/litigation/admin/2019/34-84980.pdf 2019-01-09 Mohlman Asset Management, LLC Katz, Sapper & Miller, LLP Clayton Approved Jackson Approved Peirce Approved Roisman Approved Price, Scott C. CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-84989 https://www.sec.gov/rules/sro/box/2019/34-84989.pdf 2019-01-25 Designation of longer period for Commission action on proceedings to determine whether to approve or disapprove a proposed rule change submitted by BOX Exchange LLC (“Exchange”) to amend the fee schedule of the BOX Market LLC (“BOX”) options facility to establish BOX connectivity fees for participants and non-participants who connect to the BOX network. BOX Options Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the Fee Schedule on the BOX Market LLC Options Facility to Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-84991 https://www.sec.gov/rules/exorders/2019/34-84991.pdf 2019-01-25 Order Granting a Limited Exemption from the Exchange Act Definition of "Penny Stock" for Security-Based Swap Transactions between Eligible Contract Participants; Granting a Limited Exemption from the Exchange Act Definition of "Municipal Securities" for Security-Based Swaps; and Extending Certain Exemptions under the Exchange Act in Connection with the Revision of the Definition of "Security" to Encompass Security-Based Swaps Order Granting a Limited Exemption from the Exchange Act Definition of “Penny Stock” for Security-Based Swap Transactions between Eligible Contract Participants; Granting a Limited Exemption from the Exchange Act Definition of “Municipal Securities” for Security-Based Swaps; and Extending Certain Temporary Exemptions under the Exchange Act in Connection with the Revision of the Definition of “Security” to Encompass Security-Based Swaps Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-84993 https://www.sec.gov/litigation/admin/2019/34-84993.pdf 2019-01-29 New Global Energy Inc. West, Perry Douglas Esq. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84994 https://www.sec.gov/litigation/admin/2019/34-84994.pdf 2019-01-29 ICFR Initiative CytoDyn Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty Roisman Approved with Exception Approved except as to the penalty 34-84995 https://www.sec.gov/litigation/admin/2019/34-84995.pdf 2019-01-29 ICFR Initiative Lifeway Foods, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty Roisman Approved with Exception Approved except as to the penalty 34-84996 https://www.sec.gov/litigation/admin/2019/34-84996.pdf 2019-01-29 ICFR Initiative Grupo Simec S.A.B. de C.V. Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty Roisman Approved with Exception Approved except as to the penalty 34-84998 https://www.sec.gov/litigation/admin/2019/34-84998.pdf 2019-01-29 ICFR Initiative Digital Turbine, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty Roisman Approved with Exception Approved except as to the penalty 34-85001 https://www.sec.gov/litigation/opinions/2019/34-85001.pdf 2019-01-29 Cynthia C. Reinhart, CPA Reinhart, Cynthia C. CPA Clayton Approved Stein Did not vote Jackson Approved Peirce Approved Roisman Approved 34-85008 https://www.sec.gov/litigation/admin/2019/34-85008.pdf 2019-01-31 Woodbridge Mortgage Investment Fund III, LLC Goodman, Jordan E. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-85009 https://www.sec.gov/litigation/admin/2019/34-85009.pdf 2019-01-31 Woodbridge Mortgage Investment Fund III, LLC Klager, Albert D. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-85010 https://www.sec.gov/litigation/admin/2019/34-85010.pdf 2019-01-31 Woodbridge Mortgage Investment Fund III, LLC Kornfeld, Barry M. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-85011 https://www.sec.gov/litigation/admin/2019/34-85011.pdf 2019-01-31 Woodbridge Mortgage Investment Fund III, LLC Kornfeld, Ferne Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-85012 https://www.sec.gov/litigation/admin/2019/34-85012.pdf 2019-01-31 Shkreli and Greebel Greebel, Evan Louis Esq. Clayton Approved Stein Approved Jackson Approved Peirce Not Approved Roisman Approved 34-85017 https://www.sec.gov/litigation/admin/2019/34-85017.pdf 2019-01-31 CIBC Fair Fund Canadian Imperial Holdings, Inc. Clayton Not Participating Stein Approved Jackson Approved Peirce Approved Roisman Approved CIBC World Market Corp. Clayton Not Participating Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84983 https://www.sec.gov/litigation/admin/2019/34-84983.pdf 2019-01-14 Behavioral Recognition Systems, Inc. LBB & Associates Ltd., LLP Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lopez, Carlos Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85193 https://www.sec.gov/litigation/admin/2019/34-85193.pdf 2019-02-25 Paul Katsaros Katsaros, Paul Clayton Approved Stein Approved Jackson Approved Peirce Not Approved Roisman Approved 34-85197 https://www.sec.gov/litigation/opinions/2019/34-85197.pdf 2019-02-26 United Development Funding United Development Funding III, L.P. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved United Development Funding IV Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved United Development Funding Income Fund V Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved IC-33384 https://www.sec.gov/rules/interim/2019/ic-33384.pdf 2019-02-27 Amendments to the Timing Requirements for Filing Reports on Form N-PORT Amendments to the Timing Requirements for Filing Reports on Form N-PORT Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5117 https://www.sec.gov/litigation/admin/2019/ia-5117.pdf 2019-02-28 Certain Pass Through Account Activity at Various Broker Dealers Scronic, Michael Clayton Approved Jackson Approved Peirce Approved Roisman Approved 33-10607 https://www.sec.gov/rules/proposed/2019/33-10607.pdf 2019-02-19 Solicitations of Interest Prior to a Registered Public Offering Solicitations of Interest Prior to a Registered Public Offering Clayton Approved Jackson Approved Peirce Approved Roisman Approved 33-10608 https://www.sec.gov/litigation/admin/2019/33-10608.pdf 2019-02-20 Gladius Network LLC Gladius Network LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5115 https://www.sec.gov/litigation/admin/2019/ia-5115.pdf 2019-02-20 Vishal Savla Savla, Vishal Clayton Approved Jackson Approved Peirce Approved Roisman Approved 33-10609 https://www.sec.gov/litigation/opinions/2019/33-10609.pdf 2019-02-21 John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC, and George R. Jarkesy, Jr. John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Jarkesy, George R. Jr. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85171 https://www.sec.gov/litigation/opinions/2019/34-85171.pdf 2019-02-21 David Pruitt, CPA Pruitt, David CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85173 https://www.sec.gov/litigation/admin/2019/34-85173.pdf 2019-02-22 Arete, LLC Meissner, Kenneth C. Clayton Approved Stein Approved Piwowar Approved Scott, James Doug Clayton Approved Stein Approved Piwowar Approved Tomich, Mark S. "Mike" Clayton Approved Stein Approved Piwowar Approved 34-85174 https://www.sec.gov/litigation/admin/2019/34-85174.pdf 2019-02-22 Omnibus Order directing the appointment of a tax administrator for calendar years 2019 through 2021 for qualified settlement funds that are established in administrative proceedings Miller Kaplan Arase LLP Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5109 https://www.sec.gov/litigation/admin/2019/ia-5109.pdf 2019-02-11 Specter Ventures Fund II, LLC Batchelor, Timothy S. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved IA-5110 https://www.sec.gov/rules/ia/2019/ia-5110.pdf 2019-02-12 Response of Ajenifuja Investments, LLC (the "Registrant") to the Commission's Order Granting a Hearing Regarding Registrant's Eligibility for Registration Ajenifuja Investments, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved 33-10604 https://www.sec.gov/rules/other/2019/33-10604.pdf 2019-02-13 Adjusting civil monetary penalties authorized by statues administered by the Commission for inflation, as required by the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015 Adjustments to Civil Monetary Penalty Amounts Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-85115 https://www.sec.gov/litigation/admin/2019/34-85115.pdf 2019-02-13 Deloitte Touche Tohmatsu LLC Deloitte Touche Tohmatsu LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Amano, Futomichi Clayton Approved Jackson Approved Peirce Approved Roisman Approved Itagaki, Yuji Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85121 https://www.sec.gov/rules/sro/occ/2019/34-85121.pdf 2019-02-13 The Options Clearing Corporation - Capital Plan (SR-OCC-2015-02) The Options Clearing Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved 33-10605 https://www.sec.gov/rules/proposed/2019/33-10605.pdf 2019-02-14 Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts Extension of Comment Period for Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85134 https://www.sec.gov/litigation/admin/2019/34-85134.pdf 2019-02-14 Executive Compensation Planners, Inc. May, Hector A. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-85149 https://www.sec.gov/litigation/admin/2019/34-85149.pdf 2019-02-15 Cognizant Technology Solutions Corporation Cognizant Technology Solutions Corporation Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to penalty Roisman Approved with Exception Approved except as to penalty 34-85159 https://www.sec.gov/litigation/admin/2019/34-85159.pdf 2019-02-15 Home Solutions of America, Inc. Mattich, Jeffrey M. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-85161 https://www.sec.gov/litigation/admin/2019/34-85161.pdf 2019-02-15 Certain Offering Allocation Arrangements Hirsch, Brian Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved 34-85044 https://www.sec.gov/litigation/admin/2019/34-85044.pdf 2019-02-04 GLG Partners, Inc. Fair Fund GLG Partners, Inc. Clayton Approved Stein Did not vote Jackson Approved Peirce Approved Roisman Approved GLG Partners, L.P. Clayton Approved Stein Did not vote Jackson Approved Peirce Approved Roisman Approved 34-85049 https://www.sec.gov/litigation/suspensions/2019/34-85049.pdf Order 2019-02-04 VMS Rehab Systems, Inc. Argus Worldwide Corp. Clayton approved Jackson approved Peirce Approved Roisman approved 34-85050 https://www.sec.gov/litigation/opinions/2019/34-85050.pdf 2019-02-04 Kimberly Springsteen-Abbott Springsteen-Abbott, Kimberly Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85051 https://www.sec.gov/litigation/opinions/2019/34-85051.pdf 2019-02-04 Merrimac Corporate Securities, Inc. and Robert Nash Merrimac Corporate Securities, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Nash, Robert G. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85056 https://www.sec.gov/litigation/admin/2019/34-85056.pdf 2019-02-05 FY 2019 Settled Issuer Delinquent Filing Cases Bio-AMD Inc. Clayton Approved Stein Did not vote Jackson Approved Peirce Approved Roisman Approved 34-85057 https://www.sec.gov/litigation/admin/2019/34-85057.pdf 2019-02-05 FY 2019 Settled Issuer Delinquent Filing Cases Onstream Media Corp. Clayton Approved Stein Did not vote Jackson Approved Peirce Approved Roisman Approved 34-85074 https://www.sec.gov/litigation/admin/2019/34-85074.pdf 2019-02-07 Ronald W. Nichter Nichter, Ronald W. Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to penny stock bar Roisman Approved 34-85079 https://www.sec.gov/litigation/admin/2019/34-85079.pdf 2019-02-08 Monster Beverage Corporation Callahan, Daniel J. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85081 https://www.sec.gov/litigation/admin/2019/34-85081.pdf 2019-02-08 Fox Chase Capital Partners, LLC Amundsen, Joseph S. CPA Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved Remus, Michael T. CPA Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved Michael Remus CPA Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-85084 https://www.sec.gov/litigation/opinions/2019/34-85084.pdf 2019-02-08 John M. E. Saad Saad, John M. E. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85085 https://www.sec.gov/litigation/opinions/2019/34-85085.pdf 2019-02-08 Thaddeus J. North North, Thaddeus J. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85086 https://www.sec.gov/litigation/opinions/2019/34-85086.pdf 2019-02-08 Keith P. Sequeira Sequeira, Keith P. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85087 https://www.sec.gov/litigation/opinions/2019/34-85087.pdf 2019-02-08 Dakota Securities International, Inc. Dakota Securities International, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85027 https://www.sec.gov/litigation/admin/2019/34-85027.pdf 2019-02-01 Credit Suisse/Katz Fair Fund Credit Suisse Securities (USA) LLC Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved Katz, Sanford Michael Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-85028 https://www.sec.gov/litigation/admin/2019/34-85028.pdf 2019-02-01 The Eye Machine, LLC Puleo, Vanessa Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-85032 https://www.sec.gov/litigation/admin/2019/34-85032.pdf 2019-02-01 The Eye Machine, LLC Puleo, Yolanda C. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved IA-5106 https://www.sec.gov/litigation/admin/2019/ia-5106.pdf 2019-02-01 Goldsky Asset Management, LLC Grace, Kenneth Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty Roisman Approved 33-10621 https://www.sec.gov/rules/other/2019/33-10621.pdf 2019-03-25 Review of the 2019 accounting support fee for the Financial Accounting Standards Board Order Regarding Review of FASB Accounting Support Fee for 2019 Under Section 109 of the Sarbanes-Oxley Act of 2002 Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85407 https://www.sec.gov/litigation/admin/2019/34-85407.pdf 2019-03-25 Wanner, Kevin D. et al. Wanner, Kevin D. Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved 34-85408 https://www.sec.gov/litigation/admin/2019/34-85408.pdf 2019-03-25 Wanner, Kevin D. et al. Dierman, Karl R. Clayton Approved Jackson Not Participating Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved IA-5210 https://www.sec.gov/litigation/admin/2019/ia-5210.pdf 2019-03-25 Wanner, Kevin D. et al. Stivers, Charles G. Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved IA-5211 https://www.sec.gov/litigation/admin/2019/ia-5211.pdf 2019-03-25 Wanner, Kevin D. et al. Maxwell, Neil Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved 34-85411 https://www.sec.gov/litigation/admin/2019/34-85411.pdf 2019-03-26 Regulation 13D-G Initiative Tiber Creek Corp. Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved Cassidy, James M. Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved 34-85415 https://www.sec.gov/litigation/admin/2019/34-85415.pdf 2019-03-26 Oscar Francis Francis, Oscar Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved 34-85418 https://www.sec.gov/litigation/admin/2019/34-85418.pdf 2019-03-26 Virtual Piggy, Inc. and Other Issuers Appel, Howard M. Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved 33-10623 https://www.sec.gov/litigation/admin/2019/33-10623.pdf 2019-03-28 Sweetwater Investments, Inc. Gibb, Dennis Clayton Approved Jackson Approved Peirce Approved Roisman Approved Sweetwater Investments, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85433 https://www.sec.gov/litigation/admin/2019/34-85433.pdf 2019-03-28 38 Studios, LLC First Southwest Company, LLC Clayton Not Participating Jackson Not Approved Peirce Approved Roisman Approved 34-85437 https://www.sec.gov/rules/final/2019/34-85437.pdf 2019-03-28 Public Company Accounting Oversight Board ("PCAOB") hearing officers appointment and removal from office; appointment of Marc B. Dorfman as the PCAOB's Hearing Officer Public Company Accounting Oversight Board Hearing Officers Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85446 https://www.sec.gov/litigation/opinions/2019/34-85446.pdf 2019-03-28 Thaddeus J. North North, Thaddeus J. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85447 https://www.sec.gov/rules/other/2019/34-85447.pdf 2019-03-28 New York Stock Exchange LLC, et al. New York Stock Exchange LLC Clayton Approved Jackson Not Approved Peirce Approved Roisman Approved NASDAQ Stock Market, LLC Clayton Approved Jackson Not Approved Peirce Approved Roisman Approved CboeBZX Exchange, Inc. Clayton Approved Jackson Not Approved Peirce Approved Roisman Approved 34-85472 https://www.sec.gov/litigation/opinions/2019/34-85472.pdf 2019-03-29 Meyers Associates, L.P. and Bruce Meyers Meyers Associates, L.P. (n/k/a Windsor Street Capital, L.P.) Clayton Approved Jackson Approved Peirce Approved Roisman Approved Meyers, Bruce Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85473 https://www.sec.gov/litigation/admin/2019/34-85473.pdf 2019-03-29 Quantek Asset Management, LLC Quantek Asset Management, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Bulltick Capital Markets Holdings, LP Clayton Approved Jackson Approved Peirce Approved Roisman Approved Guerra, Javier Clayton Approved Jackson Approved Peirce Approved Roisman Approved Patino, Ralph Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85341 https://www.sec.gov/litigation/admin/2019/34-85341.pdf 2019-03-18 Arjent, LLC DePalo, Robert P. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-85342 https://www.sec.gov/litigation/admin/2019/34-85342.pdf 2019-03-18 Arjent, LLC Gladtke, Joshua B. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-85343 https://www.sec.gov/litigation/admin/2019/34-85343.pdf 2019-03-18 Arjent, LLC Lerman, Gregg A. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-85353 https://www.sec.gov/litigation/admin/2019/34-85353.pdf 2019-03-18 Capital City Asset Management Group, LLC Cardinal Energy Group, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85354 https://www.sec.gov/litigation/suspensions/2019/34-85354.pdf Order 2019-03-18 Capital City Asset Management Group, LLC Cardinal Energy Group, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85364 https://www.sec.gov/litigation/opinions/2019/34-85364.pdf 2019-03-19 Global Digital Solutions, Inc. Global Digital Solutions, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 33-10616 https://www.sec.gov/rules/other/2019/33-10616.pdf 2019-03-20 38 Studios, LLC Wells Fargo Securities, LLC Clayton Not Participating Jackson Not Approved Peirce Approved Roisman Approved 33-10617 https://www.sec.gov/litigation/opinions/2019/33-10617.pdf 2019-03-20 Harding Advisory LLC and Wing F. Chau Harding Advisory LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Chau, Wing F. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 33-10618 https://www.sec.gov/rules/final/2019/33-10618.pdf 2019-03-20 FAST Act Adopting Release FAST Act Modernization and Simplification of Regulation S-K Clayton Approved Jackson Not Approved Peirce Approved Roisman Approved 33-10619 https://www.sec.gov/rules/proposed/2019/33-10619.pdf 2019-03-20 Securities Offering Reform for Closed-End Investment Companies Securities Offering Reform for Closed-End Investment Companies Clayton Approved Jackson Approved Peirce Approved Roisman Approved IC-33404 https://www.sec.gov/rules/ic/2019/ic-33404.pdf 2019-03-20 38 Studios, LLC Wells Fargo Bank, N.A. Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved Galliard Capital Management, Inc. Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved Global Alternative Investment Services, Inc. Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved Wells Capital Management Incorporated Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved Wells Fargo Asset Management (International) Limited Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved Wells Fargo Asset Management (International), LLC Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved Wells Fargo Funds Distributor, LLC Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved Wells Fargo Funds Management, LLC Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved Wells Fargo Investment Institute, Inc. Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved Wells Fargo Securities, LLC Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved 34-85384 https://www.sec.gov/litigation/admin/2019/34-85384.pdf 2019-03-21 Wells Fargo Brokerage Services Fair Fund Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved McMurtry, Shawn Patrick Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved 33-10620 https://www.sec.gov/rules/other/2019/33-10620.pdf 2019-03-22 Publication of the Commission's Regulatory Flexibility Act Agenda Regulatory Flexibility Agenda; Notice Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85395 https://www.sec.gov/litigation/admin/2019/34-85395.pdf 2019-03-22 Certain ADR Issuers Merrill Lynch, Pierce, Fenner & Smith Incorporated Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved 34-85398 https://www.sec.gov/litigation/admin/2019/34-85398.pdf 2019-03-22 Breitling Oil & Gas Corporation Hoover, Judson F. "Rick", CPA Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-85399 https://www.sec.gov/rules/sro/box/2019/34-85399.pdf 2019-03-22 Petition for review of the Division's susepnsion and institution of proceedings to determine whether to approve or disapprove, pursuant to delegated authority, a BOX Exchange LLC proposed rule change (SR-BOX-2019-004) BOX Exchange LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved 33-10612 https://www.sec.gov/rules/other/2019/33-10612.pdf 2019-03-11 Share Class Selection Disclosure Initiative Principal Financial Group, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Huntington Bancshares Incorporated Clayton Approved Jackson Approved Peirce Approved Roisman Approved TIAA-CREF Individual & Institutional Services, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Ameritas Investment Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved AXA Advisors, LLC Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved BB&T Securities, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Beacon Investment Management, LLC Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Benchmark Capital Advisors, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Benjamin F. Edwards & Co., Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Blyth & Associates, Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved BOK Financial Securities, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Calton & Associates, Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Cambridge Investment Research Advisors, Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Cantella & Co., Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Client One Securities, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Coastal Investment Advisors, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Comerica Securities, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Commonwealth Equity Services, LLC Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved CUSO Financial Services, L.P. Clayton Approved Jackson Approved Peirce Approved Roisman Approved D.A. Davidson & Co. Clayton Approved Jackson Approved Peirce Approved Roisman Approved EFG Asset Management (Americas) Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Financial Management Strategies, Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved First Citizens Asset Management, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved First Citizens Investor Services, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved First Kentucky Securities Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved First National Capital Markets, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved First Republic Investment Management, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Hazlett, Burt & Watson, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Hefren-Tillotson, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Infinex Investments, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Investacorp Advisory Services, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Investmark Advisory Group, LLC Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Investment Research Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Janney Montgomery Scott, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved J.J.B. Hilliard, W.L. Lyons, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Kestra Advisory Services, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Kestra Private Wealth Services, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Kovack Advisors, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved LaSalle St. Investment Advisors, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved L.M. Kohn & Company Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Lockwood Advisors, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved LPL Financial, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved M Holdings Securities, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved MIAI, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved National Asset Management, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved NBC Securities, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Next Financial Group, Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Northeast Asset Management, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Oppenheimer Asset Management, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Oppenheimer & Co., Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Park Avenue Securities, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved PlanMember Securities Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Popular Securities, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Principal Securities, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Private Portfolio, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved ProEquities, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Provise Management Group, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Questar Asset Management, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Raymond James Financial Services Advisors, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lent, Raymond Lawrence (dba The Putney Financial Group, Registered Investment Advisers) Clayton Approved Jackson Approved Peirce Approved Roisman Approved Robert W. Baird & Co., Incorporated Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved Ryan Financial Advisors, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved SA Stone Investment Advisors, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Santander Securities, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Select Money Management, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Silversage Advisors Clayton Approved Jackson Approved Peirce Approved Roisman Approved Sorrento Pacific Financial, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Spire Wealth Management, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved SSN Advisory, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Stephens, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Stifel, Nicolaus & Company, Incorporated Clayton Approved Jackson Approved Peirce Approved Roisman Approved Summit Financial Group, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Syndicated Capital, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved The Huntington Investment Company Clayton Approved Jackson Approved Peirce Approved Roisman Approved Transamerica Financial Advisors, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Trustcore Financial Services, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Woodbury Financial Services, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Aegon N.V. Clayton Approved Jackson Approved Peirce Approved Roisman Approved AXA Equitable Holdings, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Banco Santander S.A. Clayton Approved Jackson Approved Peirce Approved Roisman Approved BB&T Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved BOK Financial Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved First Citizens Bancshares, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved First Republic Bank Clayton Approved Jackson Approved Peirce Approved Roisman Approved INTL FCStone, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved LPL Financial Holdings, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Popular, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Raymond James Financial, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Santander Holdings USA, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Stifel Financial Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved The Bank of New York Mellon Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved 33-10613 https://www.sec.gov/rules/other/2019/33-10613.pdf 2019-03-11 Share Class Selection Disclosure Initiative-Deutsche Bank Securities, Wells Fargo, and RBC Capital Markets Deutsche Bank Securities, Inc. Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved Wells Fargo Advisors Financial Network, LLC Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved Wells Fargo Clearing Services, LLC Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved Deutsche Bank AG Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved Wells Fargo & Company Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved RBC Capital Markets, LLC Clayton Not Participating Jackson Approved Peirce Not Approved Roisman Approved Royal Bank of Canada Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved 34-85287 https://www.sec.gov/rules/other/2019/34-85287.pdf 2019-03-11 Order Making Fiscal Year 2019 Annual Adjustments to Transaction Fee Rates Order Making Fiscal Year 2019 Annual Adjustments to Transaction Fee Rates Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5123 https://www.sec.gov/litigation/admin/2019/ia-5123.pdf 2019-03-11 Share Class Selection Disclosure Initiative First Citizens Asset Management, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5124 https://www.sec.gov/litigation/admin/2019/ia-5124.pdf 2019-03-11 Share Class Selection Disclosure Initiative First Citizens Investor Services, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5125 https://www.sec.gov/litigation/admin/2019/ia-5125.pdf 2019-03-11 Share Class Selection Disclosure Initiative ProEquities, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5126 https://www.sec.gov/litigation/admin/2019/ia-5126.pdf 2019-03-11 Share Class Selection Disclosure Initiative Raymond James Financial Services Advisors, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5127 https://www.sec.gov/litigation/admin/2019/ia-5127.pdf 2019-03-11 Share Class Selection Disclosure Initiative SA Stone Investment Advisors, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5128 https://www.sec.gov/litigation/admin/2019/ia-5128.pdf 2019-03-11 Share Class Selection Disclosure Initiative-SSN Advisory SSN Advisory, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5129 https://www.sec.gov/litigation/admin/2019/ia-5129.pdf 2019-03-11 Share Class Selection Disclosure Initiative-TIAA-CREF TIAA-CREF Individual & Institutional Services, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5130 https://www.sec.gov/litigation/admin/2019/ia-5130.pdf 2019-03-11 Share Class Selection Disclosure Initiative Beacon Investment Management, LLC Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved IA-5131 https://www.sec.gov/litigation/admin/2019/ia-5131.pdf 2019-03-11 Share Class Selection Disclosure Initiative Cantella & Co., Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved IA-5132 https://www.sec.gov/litigation/admin/2019/ia-5132.pdf 2019-03-11 Share Class Selection Disclosure Initiative Commonwealth Equity Services, LLC Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved IA-5133 https://www.sec.gov/litigation/admin/2019/ia-5133.pdf 2019-03-11 Share Class Selection Disclosure Initiative Infinex Investments, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5134 https://www.sec.gov/litigation/admin/2019/ia-5134.pdf 2019-03-11 Share Class Selection Disclosure Initiative Investacorp Advisory Services, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5135 https://www.sec.gov/litigation/admin/2019/ia-5135.pdf 2019-03-11 Share Class Selection Disclosure Initiative Investmark Advisory Group LLC Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved IA-5136 https://www.sec.gov/litigation/admin/2019/ia-5136.pdf 2019-03-11 Share Class Selection Disclosure Initiative LPL Financial LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5137 https://www.sec.gov/litigation/admin/2019/ia-5137.pdf 2019-03-11 Share Class Selection Disclosure Initiative Oppenheimer Asset Management Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Oppenheimer & Co. Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5138 https://www.sec.gov/litigation/admin/2019/ia-5138.pdf 2019-03-11 Share Class Selection Disclosure Initiative Park Avenue Securities LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5139 https://www.sec.gov/litigation/admin/2019/ia-5139.pdf 2019-03-11 Share Class Selection Disclosure Initiative Ryan Financial Advisors, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5140 https://www.sec.gov/litigation/admin/2019/ia-5140.pdf 2019-03-11 Share Class Selection Disclosure Initiative Santander Securities LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5141 https://www.sec.gov/litigation/admin/2019/ia-5141.pdf 2019-03-11 Share Class Selection Disclosure Initiative Blyth & Associates, Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved IA-5142 https://www.sec.gov/litigation/admin/2019/ia-5142.pdf 2019-03-11 Share Class Selection Disclosure Initiative Cambridge Investment Research Advisors, Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved IA-5143 https://www.sec.gov/litigation/admin/2019/ia-5143.pdf 2019-03-11 Share Class Selection Disclosure Initiative Comerica Securities, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5144 https://www.sec.gov/litigation/admin/2019/ia-5144.pdf 2019-03-11 Share Class Selection Disclosure Initiative Financial Management Strategies, Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved IA-5145 https://www.sec.gov/litigation/admin/2019/ia-5145.pdf 2019-03-11 Share Class Selection Disclosure Initiative Hefren-Tillotson, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5146 https://www.sec.gov/litigation/admin/2019/ia-5146.pdf 2019-03-11 Share Class Selection Disclosure Initiative J.J.B. Hilliard, W.L. Lyons, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5147 https://www.sec.gov/litigation/admin/2019/ia-5147.pdf 2019-03-11 Share Class Selection Disclosure Initiative Questar Asset Management, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5148 https://www.sec.gov/litigation/admin/2019/ia-5148.pdf 2019-03-11 Share Class Selection Disclosure Initiative Robert W. Baird & Co., Incorporated Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved IA-5149 https://www.sec.gov/litigation/admin/2019/ia-5149.pdf 2019-03-11 Share Class Selection Disclosure Initiative The Huntington Investment Company Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5150 https://www.sec.gov/litigation/admin/2019/ia-5150.pdf 2019-03-11 Share Class Selection Disclosure Initiative Transamerica Financial Advisors, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5151 https://www.sec.gov/litigation/admin/2019/ia-5151.pdf 2019-03-11 Share Class Selection Disclosure Initiative Benjamin F. Edwards & Co., Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved IA-5152 https://www.sec.gov/litigation/admin/2019/ia-5152.pdf 2019-03-11 Share Class Selection Disclosure Initiative L.M. Kohn & Company Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved IA-5153 https://www.sec.gov/litigation/admin/2019/ia-5153.pdf 2019-03-11 Share Class Selection Disclosure Initiative LaSalle St. Investment Advisors, L.L.C. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5154 https://www.sec.gov/litigation/admin/2019/ia-5154.pdf 2019-03-11 Share Class Selection Disclosure Initiative Principal Securities, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5155 https://www.sec.gov/litigation/admin/2019/ia-5155.pdf 2019-03-11 Share Class Selection Disclosure Initiative Ameritas Investment Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5156 https://www.sec.gov/litigation/admin/2019/ia-5156.pdf 2019-03-11 Share Class Selection Disclosure Initiative First National Capital Markets, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5157 https://www.sec.gov/litigation/admin/2019/ia-5157.pdf 2019-03-11 Share Class Selection Disclosure Initiative Investment Research Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5158 https://www.sec.gov/litigation/admin/2019/ia-5158.pdf 2019-03-11 Share Class Selection Disclosure Initiative National Asset Management, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5159 https://www.sec.gov/litigation/admin/2019/ia-5159.pdf 2019-03-11 Share Class Selection Disclosure Initiative Client One Securities, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5160 https://www.sec.gov/litigation/admin/2019/ia-5160.pdf 2019-03-11 Share Class Selection Disclosure Initiative BOK Financial Securities, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5161 https://www.sec.gov/litigation/admin/2019/ia-5161.pdf 2019-03-11 Share Class Selection Disclosure Initiative First Kentucky Securities Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5162 https://www.sec.gov/litigation/admin/2019/ia-5162.pdf 2019-03-11 Share Class Selection Disclosure Initiative MIAI, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5163 https://www.sec.gov/litigation/admin/2019/ia-5163.pdf 2019-03-11 Share Class Selection Disclosure Initiative Next Financial Group, Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved IA-5164 https://www.sec.gov/litigation/admin/2019/ia-5164.pdf 2019-03-11 Share Class Selection Disclosure Initiative Provise Management Group, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5165 https://www.sec.gov/litigation/admin/2019/ia-5165.pdf 2019-03-11 Share Class Selection Disclosure Initiative BB&T Securities, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5166 https://www.sec.gov/litigation/admin/2019/ia-5166.pdf 2019-03-11 Share Class Selection Disclosure Initiative EFG Asset Management (Americas) Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5167 https://www.sec.gov/litigation/admin/2019/ia-5167.pdf 2019-03-11 Share Class Selection Disclosure Initiative Northeast Asset Management, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5168 https://www.sec.gov/litigation/admin/2019/ia-5168.pdf 2019-03-11 Share Class Selection Disclosure Initiative Summit Financial Group, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5169 https://www.sec.gov/litigation/admin/2019/ia-5169.pdf 2019-03-11 Share Class Selection Disclosure Initiative Benchmark Capital Advisors LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5170 https://www.sec.gov/litigation/admin/2019/ia-5170.pdf 2019-03-11 Share Class Selection Disclosure Initiative Calton & Associates, Inc. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved IA-5171 https://www.sec.gov/litigation/admin/2019/ia-5171.pdf 2019-03-11 Share Class Selection Disclosure Initiative Kovack Advisors, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5172 https://www.sec.gov/litigation/admin/2019/ia-5172.pdf 2019-03-11 Share Class Selection Disclosure Initiative NBC Securities, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5173 https://www.sec.gov/litigation/admin/2019/ia-5173.pdf 2019-03-11 Share Class Selection Disclosure Initiative Popular Securities, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5174 https://www.sec.gov/litigation/admin/2019/ia-5174.pdf 2019-03-11 Share Class Selection Disclosure Initiative Woodbury Financial Services, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5175 https://www.sec.gov/litigation/admin/2019/ia-5175.pdf 2019-03-11 Share Class Selection Disclosure Initiative AXA Advisors, LLC Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved IA-5176 https://www.sec.gov/litigation/admin/2019/ia-5176.pdf 2019-03-11 Share Class Selection Disclosure Initiative CUSO Financial Services, L.P. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5177 https://www.sec.gov/litigation/admin/2019/ia-5177.pdf 2019-03-11 Share Class Selection Disclosure Initiative PlanMember Securities Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5178 https://www.sec.gov/litigation/admin/2019/ia-5178.pdf 2019-03-11 Share Class Selection Disclosure Initiative Private Portfolio, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5179 https://www.sec.gov/litigation/admin/2019/ia-5179.pdf 2019-03-11 Share Class Selection Disclosure Initiative Silversage Advisors Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5180 https://www.sec.gov/litigation/admin/2019/ia-5180.pdf 2019-03-11 Share Class Selection Disclosure Initiative Sorrento Pacific Financial, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5181 https://www.sec.gov/litigation/admin/2019/ia-5181.pdf 2019-03-11 Share Class Selection Disclosure Initiative Syndicated Capital, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5182 https://www.sec.gov/litigation/admin/2019/ia-5182.pdf 2019-03-11 Share Class Selection Disclosure Initiative Coastal Investment Advisors, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5183 https://www.sec.gov/litigation/admin/2019/ia-5183.pdf 2019-03-11 Share Class Selection Disclosure Initiative Hazlett, Burt & Watson, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5184 https://www.sec.gov/litigation/admin/2019/ia-5184.pdf 2019-03-11 Share Class Selection Disclosure Initiative Janney Montgomery Scott LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5185 https://www.sec.gov/litigation/admin/2019/ia-5185.pdf 2019-03-11 Share Class Selection Disclosure Initiative Kestra Advisory Services, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5186 https://www.sec.gov/litigation/admin/2019/ia-5186.pdf 2019-03-11 Share Class Selection Disclosure Initiative Kestra Private Wealth Services, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5187 https://www.sec.gov/litigation/admin/2019/ia-5187.pdf 2019-03-11 Share Class Selection Disclosure Initiative Lockwood Advisors, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5188 https://www.sec.gov/litigation/admin/2019/ia-5188.pdf 2019-03-11 Share Class Selection Disclosure Initiative Spire Wealth Management, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5189 https://www.sec.gov/litigation/admin/2019/ia-5189.pdf 2019-03-11 Share Class Selection Disclosure Initiative Stifel, Nicolaus & Company, Incorporated Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5190 https://www.sec.gov/litigation/admin/2019/ia-5190.pdf 2019-03-11 Share Class Selection Disclosure Initiative Trustcore Financial Services, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5191 https://www.sec.gov/litigation/admin/2019/ia-5191.pdf 2019-03-11 Share Class Selection Disclosure Initiative D.A. Davidson & Co. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5192 https://www.sec.gov/litigation/admin/2019/ia-5192.pdf 2019-03-11 Share Class Selection Disclosure Initiative First Republic Investment Management, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5193 https://www.sec.gov/litigation/admin/2019/ia-5193.pdf 2019-03-11 Share Class Selection Disclosure Initiative M Holdings Securities, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5194 https://www.sec.gov/litigation/admin/2019/ia-5194.pdf 2019-03-11 Share Class Selection Disclosure Initiative Lent, Raymond Lawrence (dba The Putney Financial Group, Registered Investment Advisers) Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5195 https://www.sec.gov/litigation/admin/2019/ia-5195.pdf 2019-03-11 Share Class Selection Disclosure Initiative Select Money Management, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5196 https://www.sec.gov/litigation/admin/2019/ia-5196.pdf 2019-03-11 Share Class Selection Disclosure Initiative Stephens, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5197 https://www.sec.gov/litigation/admin/2019/ia-5197.pdf 2019-03-11 Share Class Selection Disclosure Initiative-Deutsche Bank Securities, Wells Fargo, and RBC Capital Markets Deutsche Bank Securities Inc. Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved IA-5198 https://www.sec.gov/litigation/admin/2019/ia-5198.pdf 2019-03-11 Share Class Selection Disclosure Initiative-Deutsche Bank Securities, Wells Fargo, and RBC Capital Markets RBC Capital Markets, LLC Clayton Not Participating Jackson Approved Peirce Not Approved Roisman Approved IA-5199 https://www.sec.gov/litigation/admin/2019/ia-5199.pdf 2019-03-11 Share Class Selection Disclosure Initiative-Deutsche Bank Securities, Wells Fargo, and RBC Capital Markets Wells Fargo Advisors Financial Network, LLC Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved Wells Fargo Clearing Services, LLC Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved 33-10614 https://www.sec.gov/litigation/admin/2019/33-10614.pdf 2019-03-12 Wimbledon Funds Jam, Kiarash (Kia) Clayton Approved Jackson Approved Peirce Approved Roisman Approved 33-10615 https://www.sec.gov/rules/final/2019/33-10615.pdf 2019-03-12 Revisions to EDGAR Filer Manual, Volume II - "EDGAR Filing" Adoption of Updated EDGAR Filer Manual Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85291 https://www.sec.gov/litigation/admin/2019/34-85291.pdf 2019-03-12 Lumber Liquidators Holdings, Inc. Lumber Liquidators Holdings, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85299 https://www.sec.gov/litigation/opinions/2019/34-85299.pdf 2019-03-13 America Greener Technologies, Inc., et al. Gepco, Ltd. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved Imerjn Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved Liverpool Group, Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved Myriad Interactive Media, Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved Y3K Secure Enterprise Software, Inc. a/k/a Ecuity, Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-85309 https://www.sec.gov/litigation/admin/2019/34-85309.pdf 2019-03-13 Lustros, Inc. and Other Microcap Companies Wedbush Securities, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85330 https://www.sec.gov/litigation/admin/2019/34-85330.pdf 2019-03-15 Erie Marketing LLC Davis, Jared Jeffrey Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-85335 https://www.sec.gov/litigation/opinions/2019/34-85335.pdf 2019-03-15 Cynthia C. Reinhart, CPA Reinhart, Cynthia C., CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5201 https://www.sec.gov/litigation/admin/2019/ia-5201.pdf 2019-03-15 Talimco LLC Rogers, Grant Gardner Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved IA-5202 https://www.sec.gov/litigation/admin/2019/ia-5202.pdf 2019-03-15 Talimco LLC Talimco, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85246 https://www.sec.gov/litigation/admin/2019/34-85246.pdf 2019-03-04 Alexander Capital, L.P. Gennity, William C. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5118 https://www.sec.gov/litigation/admin/2019/ia-5118.pdf 2019-03-05 Montoya, Raymond K. Montoya, Raymond K. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85261 https://www.sec.gov/litigation/admin/2019/34-85261.pdf 2019-03-06 VimpelCom Ltd Mobile TeleSystems PJSC Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5120 https://www.sec.gov/litigation/admin/2019/ia-5120.pdf 2019-03-07 Lewis Dean McBride McBride, Lewis Dean Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85277 https://www.sec.gov/litigation/admin/2019/34-85277.pdf 2019-03-08 John Greg Schmidt Schmidt, John Gregory Clayton Not Participating Stein Approved Jackson Approved Peirce Approved Roisman Approved 33-10610 https://www.sec.gov/litigation/admin/2019/33-10610.pdf 2019-03-01 EZCORP, Inc. Kuchenrither, Mark E. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85228 https://www.sec.gov/rules/sro/nms/2019/34-85228.pdf 2019-03-01 Publication of Notice of Filing and Immediate Effectiveness of Amendments to add MIAX Emerald, LLC as a: (1) Participant to the Options Order Protection and Locked/Crossed Market Plan ("Linkage Plan"); (2) Sponsor to the National Market System Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options ("OLPP"); and (3) Participant to the NMS Plan Governing the Consolidated Audit Trail ("CAT NMA Plan") Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options to Add MIAX Emerald, LLC as a Plan Sponsor Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85229 https://www.sec.gov/rules/sro/nms/2019/34-85229.pdf 2019-03-01 Publication of Notice of Filing and Immediate Effectiveness of Amendments to add MIAX Emerald, LLC as a: (1) Participant to the Options Order Protection and Locked/Crossed Market Plan ("Linkage Plan"); (2) Sponsor to the National Market System Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options ("OLPP"); and (3) Participant to the NMS Plan Governing the Consolidated Audit Trail ("CAT NMA Plan") Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan to Add MIAX Emerald, LLC, as a Participant Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85230 https://www.sec.gov/rules/sro/nms/2019/34-85230.pdf 2019-03-01 Publication of Notice of Filing and Immediate Effectiveness of Amendments to add MIAX Emerald, LLC as a: (1) Participant to the Options Order Protection and Locked/Crossed Market Plan ("Linkage Plan"); (2) Sponsor to the National Market System Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options ("OLPP"); and (3) Participant to the NMS Plan Governing the Consolidated Audit Trail ("CAT NMA Plan") Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan Governing the Consolidated Audit Trail to Add MIAX Emerald LLC, as a Participant Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85231 https://www.sec.gov/litigation/opinions/2019/34-85231.pdf 2019-03-01 Keith Patrick Sequeira Sequeira, Keith Patrick Clayton Approved Stein Approved Piwowar Approved 34-85233 https://www.sec.gov/litigation/admin/2019/34-85233.pdf 2019-03-01 DLL CPAs, LLC DLL CPAs, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lindaman, Debra Lee, CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85234 https://www.sec.gov/litigation/admin/2019/34-85234.pdf 2019-03-01 DLL CPAs, LLC Viola, Arthur Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85238 https://www.sec.gov/litigation/opinions/2019/34-85238.pdf 2019-03-01 Dakota Securities International, Inc. Dakota Securities International, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85747 https://www.sec.gov/litigation/opinions/2019/34-85747.pdf 2019-04-29 Meyers Associates, L.P. (n/k/a Windsor Street Capital, L.P.) and Bruce Meyers Meyers Associates, L.P. n/k/a Windsor Street Capital, L.P. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Meyers, Bruce Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85753 https://www.sec.gov/litigation/admin/2019/34-85753.pdf 2019-04-30 Ominto, Inc. Ominto, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 33-10632 https://www.sec.gov/litigation/admin/2019/33-10632.pdf 2019-04-22 Mobile Vault, Inc. Zaidman, Dov, CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved ZBS Group LLP Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85703 https://www.sec.gov/litigation/admin/2019/34-85703.pdf 2019-04-22 Petition of David M. Martin, CPA for reinstatement Martin,David M. CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85709 https://www.sec.gov/litigation/admin/2019/34-85709.pdf 2019-04-23 Michael F. Cronin, CPA Cronin,Michael F. CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5226 https://www.sec.gov/litigation/admin/2019/ia-5226.pdf 2019-04-23 Charter Capital Management, LLC Charter Capital Management, LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Bruce,Steven Morris Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85714 https://www.sec.gov/rules/final/2019/34-85714.pdf 2019-04-24 Disclosure of Order Handling Information Disclosure of Order Handling Information; Final rule; extension of compliance date for certain requirements Clayton Approved Jackson Approved Peirce Approved Roisman Approved 33-10633 https://www.sec.gov/litigation/admin/2019/33-10633.pdf 2019-04-25 Deutsche Investment Management Americas, Inc. Deutsche Bank Trust Company Americas Clayton Not Participating Jackson Approved Peirce Not Approved Roisman Approved 34-85717 https://www.sec.gov/litigation/opinions/2019/34-85717.pdf 2019-04-25 Joseph S. Amundsen, CPA, et al. Amundsen,Joseph S. CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved Remus, Michael T., CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved Michael Remus CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85739 https://www.sec.gov/litigation/suspensions/2019/34-85739.pdf Order 2019-04-29 Bitcoin Generation, Inc. Bitcoin Generation, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IC-33448 https://www.sec.gov/rules/ic/2019/ic-33448.pdf 2019-04-16 38 Studios, LLC Wells Fargo Bank, N.A. Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved Galliard Capital Management, Inc. Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved Global Alternative Investment Services, Inc. Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved Wells Capital Management Incorporated Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved Wells Fargo Asset Management (International) Limited Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved Wells Fargo Asset Management (International), LLC Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved Wells Fargo Funds Distributor, LLC Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved Wells Fargo Funds Management, LLC Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved Wells Fargo Investment Institute, Inc. Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved Wells Fargo Securities, LLC Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved 33-10629 https://www.sec.gov/litigation/stoporders/2019/33-10629.pdf 2019-04-17 Kaskad Corp. and Certain Other Issuers Starkot Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85670 https://www.sec.gov/rules/sro/occ-an/2019/34-85670.pdf 2019-04-17 Advance Notice filed with the Commission pursuant to the Payment, Clearing, and Settlement Supervision Act of 2010 by The Options Clearing Corporation ("OCC") concerning changes to OCC's margin methodology (File No. SR-OCC-2019-801) The Options Clearing Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85682 https://www.sec.gov/rules/sro/cboebzx/2019/34-85682.pdf 2019-04-17 Commission Review of the Division's action by delegated authority in disapproving a proposed rule change by Cboe BZX Exchange, Inc. ("BZX") to amend BZX Rule 14.11(c), Index Fund Shares (SR-CboeBZX-2018-044) Cboe BZX Exchange, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 33-10630 https://www.sec.gov/litigation/admin/2019/33-10630.pdf 2019-04-19 Prosper Funding, LLC Prosper Funding LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved 33-10631 https://www.sec.gov/litigation/stoporders/2019/33-10631.pdf 2019-04-19 Kaskad Corp. and Certain Other Issuers Yi Xi Xin Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85694 https://www.sec.gov/litigation/admin/2019/34-85694.pdf 2019-04-19 Clarity Communications Group Tabb, Harvey Paul Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85555 https://www.sec.gov/litigation/opinions/2019/34-85555.pdf 2019-04-08 Merrimac Corporation Securities, Inc., and Robert G. Nash Merrimac Corporation Securities, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Nash, Robert G. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IC-33440 https://www.sec.gov/rules/ic/2019/ic-33440.pdf 2019-04-08 Precidian ETFs Trust, et al. Precidian ETFs Trust Clayton Approved Jackson Not Approved Peirce Approved Roisman Approved Precidian ETF Trust II Clayton Approved Jackson Not Approved Peirce Approved Roisman Approved Precidian Funds LLC Clayton Approved Jackson Not Approved Peirce Approved Roisman Approved Foreside Fund Services, LLC Clayton Approved Jackson Not Approved Peirce Approved Roisman Approved 34-85558 https://www.sec.gov/litigation/admin/2019/34-85558.pdf 2019-04-09 Regulation 13D-G Initiative McKillop, James K. Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved 34-85574 https://www.sec.gov/litigation/admin/2019/34-85574.pdf 2019-04-09 Albert J. Rasch, Jr. Rasch, Albert J., Jr., Esq. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85575 https://www.sec.gov/litigation/admin/2019/34-85575.pdf 2019-04-09 Jay Lapine, Esq. Lapine, Jay, Esq. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 33-10627 https://www.sec.gov/litigation/admin/2019/33-10627.pdf 2019-04-10 Salix Pharmaceuticals, Ltd. Derbyshire, Adam C. Clayton Approved Stein Approved with Exception Approved except as to the time-limited officer and director, and 102(e) bars Jackson Approved Peirce Approved Roisman Approved 34-85581 https://www.sec.gov/litigation/admin/2019/34-85581.pdf 2019-04-10 Stancik, Martin R. Stancik,Martin R. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85583 https://www.sec.gov/litigation/admin/2019/34-85583.pdf 2019-04-10 Mobile Vault, Inc. Schneider, James M., Esq. Clayton Approved Stein Approved Piwowar Approved 34-85602 https://www.sec.gov/litigation/opinions/2019/34-85602.pdf 2019-04-11 Meyers Associates, L.P. Meyers Associates, L.P. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85607 https://www.sec.gov/litigation/admin/2019/34-85607.pdf 2019-04-11 Breitling Oil & Gas Corporation Wagers, Jeremy S., Esq. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85611 https://www.sec.gov/rules/other/2019/34-85611.pdf 2019-04-11 Conditional exemptive relief under Section 36(a) of the Securities Exchange Act of 1934 to NYSE Chicago, Inc. ("Exchange") (f/k/a Chicago Stock Exchange, Inc.), from the requirement under Exchange Act Rule 6a-2(b)(1) to update certain financial information set forth in Exhibit D to Form 1 with respect to certain foreign indirect affiliates of the Exchange NYSE Chicago, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85615 https://www.sec.gov/litigation/admin/2019/34-85615.pdf 2019-04-11 CellCyte Genetics Corp., et al. USA Synthetic Fuel Corp. Clayton Approved Stein Approved Piwowar Approved 34-85618 https://www.sec.gov/litigation/admin/2019/34-85618.pdf 2019-04-11 Clear Scope Advisors, Inc. Clear Scope Advisors, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85630 https://www.sec.gov/litigation/opinions/2019/34-85630.pdf 2019-04-11 Hope Advisors, LLC Bruton, Karen Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved Hope Advisors, LLC Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-85633 https://www.sec.gov/litigation/admin/2019/34-85633.pdf 2019-04-12 RGT Capital Management, Ltd. Bae, Stanley S. Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the violations related to the Investment Advisers Act of 1940 Roisman Approved 34-85638 https://www.sec.gov/litigation/opinions/2019/34-85638.pdf 2019-04-12 John M. E. Saad Saad, John M. E. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85640 https://www.sec.gov/litigation/opinions/2019/34-85640.pdf 2019-04-12 Cynthia C. Reinhart, CPA Reinhart, Cynthia C., CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved 33-10624 https://www.sec.gov/litigation/admin/2019/33-10624.pdf 2019-04-01 Mutual Coin Fund LLC Mutual Coin Fund LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Majeed ,Usman Clayton Approved Jackson Approved Peirce Approved Roisman Approved 33-10625 https://www.sec.gov/litigation/admin/2019/33-10625.pdf 2019-04-01 Armitage Capital LP Zaki,Omar Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved 34-85478 https://www.sec.gov/litigation/admin/2019/34-85478.pdf 2019-04-01 Logitech International, S.A. Wolf,Jennifer F. CPA Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 33-10626 https://www.sec.gov/litigation/admin/2019/33-10626.pdf 2019-04-02 Jumio, Inc. Starkey,Chad Esq. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85483 https://www.sec.gov/litigation/admin/2019/34-85483.pdf 2019-04-02 Petition of Kevin E. Brooks, CPA for reinstatement Brooks,Kevin E. CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85487 https://www.sec.gov/litigation/opinions/2019/34-85487.pdf 2019-04-02 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Lightstone Technologies, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Madison & 51st, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Three Shades for Everybody, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85489 https://www.sec.gov/litigation/opinions/2019/34-85489.pdf 2019-04-02 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Forum Acquisitions I, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Forum Acquisitions II, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved One XL Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Sea Valley Acquisition Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85496 https://www.sec.gov/litigation/admin/2019/34-85496.pdf 2019-04-03 Celator Pharmaceuticals, Inc. Kita,Evan R. CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85508 https://www.sec.gov/litigation/opinions/2019/34-85508.pdf 2019-04-04 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing IDO Security, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Redify Group, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Spartan Gold Ltd. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85510 https://www.sec.gov/litigation/opinions/2019/34-85510.pdf 2019-04-04 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Equilar Capital Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Neuro-Biotech Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85514 https://www.sec.gov/litigation/admin/2019/34-85514.pdf 2019-04-04 First Call Ventures, LLC Genzone,Joseph Mario Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85516 https://www.sec.gov/litigation/admin/2019/34-85516.pdf 2019-04-04 Lisa C. Berry, Esq. Berry,Lisa C. Esq. Clayton Approved Jackson Not Approved Peirce Approved Roisman Approved 34-85520 https://www.sec.gov/litigation/opinions/2019/34-85520.pdf 2019-04-04 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Amonra Omnia, Inc. f/k/a Acclerated Acquisitions XIX, Inc. Clayton Approved Clayton Approved Jackson Approved Peirce Approved Roisman Approved Futon World, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Innovative Card Technologies, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Shire Warwick Lewis Holdings, Inc. f/k/a DE Acquisition 4, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85518 https://www.sec.gov/litigation/admin/2019/34-85518.pdf 2019-04-05 KLJ & Associates KLJ & Associates, LLP Clayton Approved Jackson Approved Peirce Approved Roisman Approved Jensen,Kent L. CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved Burgmeier,Ronald A. CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85524 https://www.sec.gov/litigation/admin/2019/34-85524.pdf 2019-04-05 SMFG, Inc. Cahoon,Alonzo R. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85525 https://www.sec.gov/litigation/admin/2019/34-85525.pdf 2019-04-05 Whole Foods Market, Inc. Yang,Tai-cheng Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85528 https://www.sec.gov/litigation/admin/2019/34-85528.pdf 2019-04-05 Apex Fund Services (US), Inc. Apex Fund Services (US), Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85530 https://www.sec.gov/litigation/admin/2019/34-85530.pdf 2019-04-05 Logitech Fair Fund Logitech International, S.A. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Doktorczyk,Michael Clayton Approved Jackson Approved Peirce Approved Roisman Approved Bolles,Sherralyn CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85536 https://www.sec.gov/litigation/admin/2019/34-85536.pdf 2019-04-05 Covenant Partners L.P. Distribution Fund Fretz,William B. Jr. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Freeman,John P. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Covenant Capital Management Partners, L.P. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Covenant Partners, L.P. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85947 https://www.sec.gov/litigation/admin/2019/34-85947.pdf 2019-05-28 Sean D. Premock Premock, Sean D. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85949 https://www.sec.gov/litigation/opinions/2019/34-85949.pdf 2019-05-28 Thaddeus J. North North, Thaddeus J. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5242 https://www.sec.gov/litigation/admin/2019/ia-5242.pdf 2019-05-28 River Source Wealth Management, LLC Anderson, Stephen Brandon Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the censure Roisman Approved 34-85956 https://www.sec.gov/litigation/admin/2019/34-85956.pdf 2019-05-29 Seventy Seven Energy, Inc. Graven, Gabriel V. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Altom, David A. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85963 https://www.sec.gov/litigation/opinions/2019/34-85963.pdf 2019-05-29 Meyers Associates, L.P. (n/k/a Windsor Street Capital, L.P.) and Bruce Meyers Meyers Associates, L.P. (n/k/a Windsor Street Capital, L.P.) Clayton Approved Jackson Approved Peirce Approved Roisman Approved Meyers, Bruce Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85964 https://www.sec.gov/litigation/opinions/2019/34-85964.pdf 2019-05-29 Cynthia C. Reinhart, CPA Reinhart, Cynthia C., CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved IC-33494 https://www.sec.gov/rules/ic/2019/ic-33494.pdf 2019-05-29 Application of Carillon Tower Advisers, Inc. and Carillon Series Trust, under Section 6(c) of the Investment Company Act of 1940 for an exemption from section 15(a) of the Act and certain related disclosure requirements Carillon Tower Advisers, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Carillon Series Trust Clayton Approved Jackson Approved Peirce Approved Roisman Approved 33-10640 https://www.sec.gov/litigation/opinions/2019/33-10640.pdf 2019-05-30 Gregory T. Bolan, Jr. Bolan, Gregory T., Jr. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85965 https://www.sec.gov/litigation/admin/2019/34-85965.pdf 2019-05-30 Certain Hedged Portfolio Loan Services Spanier, Jeffrey Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85968 https://www.sec.gov/litigation/admin/2019/34-85968.pdf 2019-05-30 Clayborne Group, LLC Clayborne Group, LLC Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved Heinemann, Dean A. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 33-10641 https://www.sec.gov/litigation/opinions/2019/33-10641.pdf 2019-05-31 Gregory Osborn Osborn, Gregory Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85972 https://www.sec.gov/rules/other/2019/34-85972.pdf 2019-05-31 Publication of Notices of Extension of Commission Review Period for the Initial Form ATS-N Filings of Legacy NMS Stock ATSs Listed in Exhibit B BIDS ATS Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85973 https://www.sec.gov/rules/other/2019/34-85973.pdf 2019-05-31 Publication of Notices of Extension of Commission Review Period for the Initial Form ATS-N Filings of Legacy NMS Stock ATSs Listed in Exhibit B SIGMA X2 Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85974 https://www.sec.gov/rules/other/2019/34-85974.pdf 2019-05-31 Publication of Notices of Extension of Commission Review Period for the Initial Form ATS-N Filings of Legacy NMS Stock ATSs Listed in Exhibit B The Barclays ATS Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85975 https://www.sec.gov/rules/other/2019/34-85975.pdf 2019-05-31 Publication of Notices of Extension of Commission Review Period for the Initial Form ATS-N Filings of Legacy NMS Stock ATSs Listed in Exhibit B SuperX ATS Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85976 https://www.sec.gov/rules/other/2019/34-85976.pdf 2019-05-31 Publication of Notices of Extension of Commission Review Period for the Initial Form ATS-N Filings of Legacy NMS Stock ATSs Listed in Exhibit B UBS ATS Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85977 https://www.sec.gov/rules/other/2019/34-85977.pdf 2019-05-31 Publication of Notices of Extension of Commission Review Period for the Initial Form ATS-N Filings of Legacy NMS Stock ATSs Listed in Exhibit B Ustocktrade Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85978 https://www.sec.gov/rules/other/2019/34-85978.pdf 2019-05-31 Publication of Notices of Extension of Commission Review Period for the Initial Form ATS-N Filings of Legacy NMS Stock ATSs Listed in Exhibit B Virtu MatchIt ATS Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85979 https://www.sec.gov/rules/other/2019/34-85979.pdf 2019-05-31 Publication of Notices of Extension of Commission Review Period for the Initial Form ATS-N Filings of Legacy NMS Stock ATSs Listed in Exhibit B XE Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85980 https://www.sec.gov/rules/other/2019/34-85980.pdf 2019-05-31 Publication of Notices of Extension of Commission Review Period for the Initial Form ATS-N Filings of Legacy NMS Stock ATSs Listed in Exhibit B CrossStream Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85982 https://www.sec.gov/rules/other/2019/34-85982.pdf 2019-05-31 Publication of Notices of Extension of Commission Review Period for the Initial Form ATS-N Filings of Legacy NMS Stock ATSs Listed in Exhibit B Liquidnet Negotiation ATS Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85983 https://www.sec.gov/rules/other/2019/34-85983.pdf 2019-05-31 Publication of Notices of Extension of Commission Review Period for the Initial Form ATS-N Filings of Legacy NMS Stock ATSs Listed in Exhibit B Liquidnet H2O ATS Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85991 https://www.sec.gov/rules/other/2019/34-85991.pdf 2019-05-31 Publication of Notices of Extension of Commission Review Period for the Initial Form ATS-N Filings of Legacy NMS Stock ATSs Listed in Exhibit B JPB-X Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85992 https://www.sec.gov/rules/other/2019/34-85992.pdf 2019-05-31 Publication of Notices of Extension of Commission Review Period for the Initial Form ATS-N Filings of Legacy NMS Stock ATSs Listed in Exhibit B JPM-X Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85993 https://www.sec.gov/rules/other/2019/34-85993.pdf 2019-05-31 Publication of Notices of Extension of Commission Review Period for the Initial Form ATS-N Filings of Legacy NMS Stock ATSs Listed in Exhibit B Crossfinder Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85994 https://www.sec.gov/rules/other/2019/34-85994.pdf 2019-05-31 Publication of Notices of Extension of Commission Review Period for the Initial Form ATS-N Filings of Legacy NMS Stock ATSs Listed in Exhibit B CitiBLOC Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85995 https://www.sec.gov/rules/other/2019/34-85995.pdf 2019-05-31 Publication of Notices of Extension of Commission Review Period for the Initial Form ATS-N Filings of Legacy NMS Stock ATSs Listed in Exhibit B CODA Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85996 https://www.sec.gov/rules/other/2019/34-85996.pdf 2019-05-31 Publication of Notices of Extension of Commission Review Period for the Initial Form ATS-N Filings of Legacy NMS Stock ATSs Listed in Exhibit B Dealerweb Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85998 https://www.sec.gov/litigation/admin/2019/34-85998.pdf 2019-05-31 Morgan Stanley Fair Fund Morgan Stanley and Co. LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved Morgan Stanley ABS Capital I Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Morgan Stanley Mortgage Capital Holdings LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85891 https://www.sec.gov/litigation/admin/2019/34-85891.pdf 2019-05-20 UBS Puerto Rico Fair Fund UBS Financial Services Incorporated of Puerto Rico Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved Colon, Ramiro L., III Clayton Not Participating Jackson Approved Peirce Approved Roisman Approved 34-85897 https://www.sec.gov/litigation/admin/2019/34-85897.pdf 2019-05-20 SeaWorld Entertainment, Inc. Powers, Paul B., Esq. Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved IC-33477 https://www.sec.gov/rules/ic/2019/ic-33477.pdf 2019-05-20 Application of Precidian ETFs Trust, et al. Precidian ETFs Trust Clayton Approved Jackson Not Approved Peirce Approved Roisman Approved Precidian ETF Trust II Clayton Approved Jackson Not Approved Peirce Approved Roisman Approved Foreside Fund Services, LLC Clayton Approved Jackson Not Approved Peirce Approved Roisman Approved Precidian Funds LLC Clayton Approved Jackson Not Approved Peirce Approved Roisman Approved 34-85914 https://www.sec.gov/litigation/admin/2019/34-85914.pdf 2019-05-22 Intertech Solutions, Inc. Duke, Michael Allen Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85915 https://www.sec.gov/litigation/admin/2019/34-85915.pdf 2019-05-22 Intertech Solutions, Inc. Lewis, Martin Delaine Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85916 https://www.sec.gov/litigation/admin/2019/34-85916.pdf 2019-05-22 Intertech Solutions, Inc. Parman, Mark Christopher Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85917 https://www.sec.gov/litigation/admin/2019/34-85917.pdf 2019-05-22 Intertech Solutions, Inc. Shelton, Kenneth Edward Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85924 https://www.sec.gov/rules/sro/occ-an/2019/34-85924.pdf 2019-05-23 Advance Notice filed with the Commission pursuant to the Payment, Clearing, and Settlement Supervision Act of 2010 by The Options Clearing Corporation to Renew its Credit Facility (File No. SR-OCC-2019-803) The Options Clearing Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85927 https://www.sec.gov/rules/sro/box/2019/34-85927.pdf 2019-05-23 Petition by BOX Exchange LLC for review of the Division's Order Disapproving Proposed Rule Changes to amend the fee scheduled of the BOX Market LLC options facility to establish BOX connectivity fees for participants and non-participants who connect to the BOX network and reclassify its high speed vendor feed connection as a port fee (File Nos. SR-BOX-2018-24, SR-BOX-2018-37, and SR-BOX-2019-04) BOX Exchange LLC Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85939 https://www.sec.gov/litigation/admin/2019/34-85939.pdf 2019-05-24 Robert K. Lindell, Jr. Lindell, Robert K., Jr. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85941 https://www.sec.gov/litigation/admin/2019/34-85941.pdf 2019-05-24 Intertech Solutions, Inc. Bevil, Alexander Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85942 https://www.sec.gov/litigation/admin/2019/34-85942.pdf 2019-05-24 Intertech Solutions, Inc. Davis, Charles Cary Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85943 https://www.sec.gov/litigation/admin/2019/34-85943.pdf 2019-05-24 Intertech Solutions, Inc. Roth, William James Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85780 https://www.sec.gov/litigation/admin/2019/34-85780.pdf 2019-05-06 Alexander Capital, L.P. Roveccio, Rocco Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved 34-85789 https://www.sec.gov/litigation/opinions/2019/34-85789.pdf 2019-05-06 Kimberly Springsteen-Abbott Springsteen-Abbott, Kimberly Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85790 https://www.sec.gov/litigation/opinions/2019/34-85790.pdf 2019-05-06 Merrimac Corporate Securities, Inc., and Robert Nash Merrimac Corporate Securities, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Nash, Robert G. Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5229 https://www.sec.gov/litigation/admin/2019/ia-5229.pdf 2019-05-06 Corinthian Capital Group, LLC Corinthian Capital Group, LLC Clayton Approved Jackson Not Participating Peirce Approved with Exception Approved except as to the censure and Rule 206(4)(2) finding Roisman Approved VanRaalte, Peter B. Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved Tahan, David G. Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved 34-85802 https://www.sec.gov/litigation/opinions/2019/34-85802.pdf 2019-05-07 The Commission’s October 16, 2018 order remanding approximately 60 applications brought by SIFMA and Bloomberg for review of rule changes and plan amendments filed by national securities exchanges and NMS plans Securities Industry and Financial Markets Association Clayton Approved Jackson Approved Peirce Approved Roisman Approved Bloomberg L.P. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85810 https://www.sec.gov/litigation/suspensions/2019/34-85810.pdf Order 2019-05-08 Perkins Gas and Oil, Incorporated Perkins Oil & Gas Incorporated Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85814 https://www.sec.gov/rules/proposed/2019/34-85814.pdf 2019-05-09 Amendments to the Accelerated Filer and Large Accelerated Flier Definitions Amendments to the Accelerated Filer and Large Accelerated Filer Definitions Clayton Approved Jackson Not Approved Peirce Approved Roisman Approved 34-85819 https://www.sec.gov/litigation/admin/2019/34-85819.pdf 2019-05-09 Telefonica Brasil S.A. Telefonica Brasil S.A. Clayton Approved Jackson Not Participating Peirce Not Approved Roisman Approved IA-5232 https://www.sec.gov/litigation/admin/2019/ia-5232.pdf 2019-05-09 Jeffrey F. Thompson Thompson, Jeffrey Francis Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved 34-85823 https://www.sec.gov/rules/proposed/2019/34-85823.pdf 2019-05-10 Proposed Rule Amendments and Guidance Addressing Cross-Border Application of Certain Security-Based Swap Requirements Proposed Rule Amendments and Guidance Addressing Cross-Border Application of Certain Security-Based Swap Requirements Clayton Approved Jackson Not Approved Peirce Approved Roisman Approved 34-85828 https://www.sec.gov/rules/other/2019/34-85828.pdf 2019-05-10 Application by Long Term Stock Exchange, Inc. for registration as a national securities exchange under Section 6 of the Securities Exchange Act of 1934 Long Term Stock Exchange, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85835 https://www.sec.gov/litigation/suspensions/2019/34-85835.pdf Order 2019-05-10 Certain Non-Current Microcap Securities Advanced Engine Technologies, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Algiers Bancorp, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Allegiance Bank of North America Clayton Approved Jackson Approved Peirce Approved Roisman Approved Amistar Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Armor Electric, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Avantogen Oncology, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Bay National Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved BGI, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Blackout Media Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Blue River Bancshares, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Canadian Aerospace Group International, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Celexpress, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Central Florida State Bank Clayton Approved Jackson Approved Peirce Approved Roisman Approved Chapeau, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Cortez Community Bank Clayton Approved Jackson Approved Peirce Approved Roisman Approved Dermisonics, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved digiMedical Solutions, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Ecoloclean Industries, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved E-data Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Entertainment Arts, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved FiberCore, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved First Banking Center, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved First Commerce Community Bankshares, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Garuda Capital Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Georgia Bancshares, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Global eScience Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Golden Age Resources, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Golden Patriot Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Great Basin Financial Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Green Oasis Environmental, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Hard to Treat Diseases, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Home Valley Bancorp Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Independent BancShares, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Interactive Motorsports and Entertainment Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Isbre Holding Corp. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Medical Media Television, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Medical Staffing Solutions, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved MetroPacific Bank Clayton Approved Jackson Approved Peirce Approved Roisman Approved Mirae Bancorp Clayton Approved Jackson Approved Peirce Approved Roisman Approved Mobilized Entertainment, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Modtech Holdings, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Motor Sport Country Club Holdings, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved National Silver-Lead Mining Co. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Northport Network Systems, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Penthouse International, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Primix Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Prineville Bancorporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved Rapidtron, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved RiverRun Resources, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Silver Falls Bank Clayton Approved Jackson Approved Peirce Approved Roisman Approved SOYO Group, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Syringa Bancorp Clayton Approved Jackson Approved Peirce Approved Roisman Approved Systems Technology Associates, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Terra Systems Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Trio Industries Group, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Ventura County Business Bank Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85762 https://www.sec.gov/litigation/admin/2019/34-85762.pdf 2019-05-02 Taberna Capital Management, LLC Taberna Capital Management, LLC Clayton Approved Stein Approved Piwowar Approved Fralin, Michael Clayton Approved Stein Approved Piwowar Approved Licht, Raphael Clayton Approved Stein Approved Piwowar Approved IC-33464 https://www.sec.gov/rules/ic/2019/ic-33464.pdf 2019-05-02 Application of Carillon Tower Advisers, Inc. and Carillon Series Trust, under Section 6(c) of the Investment Company Act of 1940 for an exemption from section 15(a) of the Act and certain related disclosure requirements Carillon Tower Advisers, Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Carillon Series Trust Clayton Approved Jackson Approved Peirce Approved Roisman Approved 33-10635 https://www.sec.gov/rules/proposed/2019/33-10635.pdf 2019-05-03 Amendments to Financial Disclosures about Acquired and Disposed Businesses Amendments to Financial Disclosures about Acquired and Disposed Businesses Clayton Approved Jackson Approved Peirce Approved Roisman Approved 33-10636 https://www.sec.gov/litigation/admin/2019/33-10636.pdf 2019-05-03 GT Advanced Technologies, Inc. GT Advanced Technologies Inc. Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved 33-10637 https://www.sec.gov/litigation/admin/2019/33-10637.pdf 2019-05-03 GT Advanced Technologies, Inc. Gutierrez, Thomas Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved IA-5228 https://www.sec.gov/litigation/admin/2019/ia-5228.pdf 2019-05-03 Paul Peter Gierten Gierten, Paul Peter Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved 34-85847 https://www.sec.gov/litigation/admin/2019/34-85847.pdf 2019-05-13 Xoom Corporation Long, Bryan B., CPA Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved 34-85851 https://www.sec.gov/litigation/opinions/2019/34-85851.pdf 2019-05-13 John M. E. Saad Saad, John M.E. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 33-10638 https://www.sec.gov/litigation/admin/2019/33-10638.pdf 2019-05-14 NextBlock Global Ltd. NextBlock Global Ltd. Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to paragraph 14 of the order Roisman Approved Tapscott, Alex Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to paragraph 14 of the order Roisman Approved 34-85853 https://www.sec.gov/litigation/admin/2019/34-85853.pdf 2019-05-14 Oscar Ferrer Rivera Rivera-Padilla, Jonathan A. Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved 34-85858 https://www.sec.gov/litigation/admin/2019/34-85858.pdf 2019-05-14 Cadaret, Grant & Co., Inc. Fair Fund Cadaret, Grant & Co., Inc. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85859 https://www.sec.gov/litigation/opinions/2019/34-85859.pdf 2019-05-14 Cynthia P. Reinhart, CPA Reinhart, Cynthia C., CPA Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85863 https://www.sec.gov/rules/sro/occ-an/2019/34-85863.pdf 2019-05-15 Advance Notice filed with the Commission pursuant to the Payment, Clearing, and Settlement Supervision Act of2010 by The Options Clearing Corporation ("OCC") concerning changes to OCC's margin methodology to add a charge to cover the costs of liquidating a defaulting Clearing Member's portfolio ("Advance Notice") (File No. SR­OCC-2019-802). The Options Clearing Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85867 https://www.sec.gov/litigation/admin/2019/34-85867.pdf 2019-05-15 Wilson-Davis & Co., Inc. Wilson-Davis & Co., Inc. Clayton Approved Jackson Not Participating Peirce Approved Roisman Approved 34-85870 https://www.sec.gov/rules/sro/occ-an/2019/34-85870.pdf 2019-05-15 Advance Notice filed with the Commission pursuant to the Payment, Clearing, and Settlement and if applicable, Supervision Act of 2010 by The Options Clearing Corporation ("OCC") concerning changes to OCC's margin methodology ("Advance Notice") (File No. SR-OCC-2019-801) The Options Clearing Corporation Clayton Approved Jackson Approved Peirce Approved Roisman Approved 33-10639 https://www.sec.gov/litigation/admin/2019/33-10639.pdf 2019-05-16 J.S. Oliver Capital Management, LP J.S. Oliver Capital Management, L.P. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Mausner, Ian O. Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85878 https://www.sec.gov/litigation/admin/2019/34-85878.pdf 2019-05-16 Robert M. Schulman, Esq. Schulman, Robert M., Esq. Clayton Approved Jackson Approved Peirce Not Approved Roisman Approved 34-85885 https://www.sec.gov/litigation/opinions/2019/34-85885.pdf 2019-05-17 Timothy Charles Sullivan; William Burk Rosenthal Sullivan, Timothy Charles Clayton Approved Jackson Approved Peirce Approved Roisman Approved 34-85886 https://www.sec.gov/litigation/opinions/2019/34-85886.pdf 2019-05-17 Timothy Charles Sullivan; William Burk Rosenthal Rosenthal, William Burk Clayton Approved Jackson Approved Peirce Approved Roisman Approved IA-5234 https://www.sec.gov/litigation/admin/2019/ia-5234.pdf 2019-05-14 Oscar Ferrer Rivera Rivera, Oscar Ferrer Clayton Approved Jackson Approved Peirce Approved Roisman Approved