2025-06-03 Calendar Year 2023 1,047 33-11209 https://www.sec.gov/files/litigation/admin/2023/33-11209.pdf 2023-07-05 Co-Diagnostics, Inc. Co-Diagnostics, Inc. Gensler Approved Peirce Approved with Exception Approved except as to the Section 17(a)(2) and (a)(3) charges and the penalty Crenshaw Approved Uyeda Approved with Exception Approved except as to the Section 17(a)(2) and (a)(3) charges and the penalty Lizárraga Approved 33-11210 https://www.sec.gov/files/litigation/admin/2023/33-11210.pdf 2023-07-05 Egan, Dwight H. Egan, Dwight H. Gensler Approved Peirce Approved with Exception Approved except as to the Section 17(a)(2) and (a)(3) charges and the penalty Crenshaw Approved Uyeda Approved with Exception Approved except as to the Section 17(a)(2) and (a)(3) charges and the penalty Lizárraga Approved 34-97669 https://www.sec.gov/files/litigation/opinions/2023/34-97669.pdf 2023-06-08 Wahed Invest, LLC Abrahams, Joshua CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved File No. 4-789 https://www.sec.gov/files/rules/petitions/2023/4-789-letter-secretary-grewal-121523.pdf 2023-12-15 Denial of Rulemaking Petition Denial of Rulemaking Petition Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizarraga Approved 34-99240 https://www.sec.gov/litigation/opinions/2023/34-99240.pdf 2023-12-26 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Deep ATS, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizarraga Approved 34-99241 https://www.sec.gov/litigation/opinions/2023/34-99241.pdf 2023-12-26 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Metatron, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizarraga Approved 34-99243 https://www.sec.gov/litigation/admin/2023/34-99243.pdf 2023-12-26 Vizinova, Inc. Hughes,Scott David Esq. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizarraga Approved IA-6514 https://www.sec.gov/litigation/admin/2023/ia-6514.pdf 2023-12-26 OEP Capital Advisors, L.P. OEP Capital Advisors, L.P. Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizarraga Approved 34-99248 https://www.sec.gov/litigation/opinions/2023/34-99248.pdf 2023-12-28 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Wilson-Davis & Co. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizarraga Approved Snow,James C. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizarraga Approved Barkley,Byron B. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizarraga Approved 34-99253 https://www.sec.gov/litigation/admin/2023/34-99253.pdf 2023-12-28 Allianz Structured Return Strategy Allianz Global Investors U.S. LLC Gensler Approved Peirce Approved Lee Approved Crenshaw Approved 34-99254 https://www.sec.gov/litigation/admin/2023/34-99254.pdf 2023-12-29 Horn, Jeffrey Horn,Jeffrey Alan Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizarraga Approved 33-11259 https://www.sec.gov/rules/final/2023/33-11259.pdf 2023-12-18 Revisions to the Electronic Data Gathering, Analysis, and Retrieval system Filer Manual, Volume II, “EDGAR Filing” Adoption of Updated EDGAR Filer Manual Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-99194 https://www.sec.gov/litigation/opinions/2023/34-99194.pdf 2023-12-18 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Zipper, Bruce Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Dakota Securities International, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-99199 https://www.sec.gov/litigation/opinions/2023/34-99199.pdf 2023-12-18 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Titan Securities Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Brooks, Brad C. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-99201 https://www.sec.gov/litigation/opinions/2023/34-99201.pdf 2023-12-18 Robert R. Tweed Tweed, Robert R. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-99212 https://www.sec.gov/litigation/opinions/2023/34-99212.pdf 2023-12-20 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Dreamfunded Marketplace, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Fernandez, Manuel Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6508 https://www.sec.gov/litigation/admin/2023/ia-6508.pdf 2023-12-20 Madison Timber Properties, LLC Alexander, Ted Brent Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6509 https://www.sec.gov/litigation/admin/2023/ia-6509.pdf 2023-12-20 Madison Timber Properties, LLC Seawright, Jon Darrell Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11260 https://www.sec.gov/litigation/admin/2023/33-11260.pdf 2023-12-21 Brooge Energy Limited Brooge Energy Limited Gensler Approved Peirce Approved with Exception Approved except as to certain undertakings and the penalty Crenshaw Approved Uyeda Approved Lizárraga Approved Paardenkooper, Nicolaas Lammert Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Saheb, Lina Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11261 https://www.sec.gov/litigation/admin/2023/33-11261.pdf 2023-12-22 BarnBridge DAO Ward, Tyler Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved with Exception Approved except as to the Section 7(a) charge Lizárraga Approved Murray, Troy Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved with Exception Approved except as to the Section 7(a) charge Lizárraga Approved 33-11262 https://www.sec.gov/litigation/admin/2023/33-11262.pdf 2023-12-22 BarnBridge DAO BarnBridge DAO Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved with Exception Approved except as to the disgorgement Lizárraga Approved 34-99128 https://www.sec.gov/litigation/admin/2023/34-99128.pdf 2023-12-11 PebbleKick, Inc. Reed, Scott Wayne Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-99133 https://www.sec.gov/litigation/opinions/2023/34-99133.pdf 2023-12-11 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Silver Leaf Partners, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-99134 https://www.sec.gov/litigation/opinions/2023/34-99134.pdf 2023-12-11 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Cantone Research Group, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-99135 https://www.sec.gov/litigation/opinions/2023/34-99135.pdf 2023-12-11 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Logan, Matthew R. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-99136 https://www.sec.gov/litigation/opinions/2023/34-99136.pdf 2023-12-11 Robert R. Tweed Tweed, Robert R. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-99143 https://www.sec.gov/litigation/opinions/2023/34-99143.pdf 2023-12-12 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Lek Securities Corporation Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-99148 https://www.sec.gov/litigation/opinions/2023/34-99148.pdf 2023-12-12 Sonya D. Camarco Camarco, Sonya D. Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-99153 https://www.sec.gov/litigation/opinions/2023/34-99153.pdf 2023-12-13 Paul Hanson and Executive Financial Services, Inc. Executive Financial Services, Inc. Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-99158 https://www.sec.gov/litigation/admin/2023/34-99158.pdf 2023-12-13 Credit Suisse Asset Management, LLC Credit Suisse Securities (USA) LLC Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved with Exception Approved except as to the penalty Lizárraga Approved Credit Suisse Asset Management, LLC Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved with Exception Approved except as to disgorgement and the penalty Lizárraga Approved Credit Suisse Asset Management Limited Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved with Exception Approved except as to the penalty Lizárraga Approved 34-99159 https://www.sec.gov/litigation/opinions/2023/34-99159.pdf 2023-12-13 Paul Hanson and Executive Financial Services, Inc. Hanson, Paul Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-99178 https://www.sec.gov/litigation/admin/2023/34-99178.pdf 2023-12-14 Mansfield-Martin Exploration Mining, Inc. & Certain Other Microcap Issuers Levine, Scott Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6492 https://www.sec.gov/litigation/opinions/2023/ia-6492.pdf 2023-12-04 Randall S. Goulding Goulding, Randall S. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-99084 https://www.sec.gov/litigation/opinions/2023/34-99084.pdf 2023-12-05 Donald J. Fowler Fowler, Donald J. Gensler Approved Peirce Approved with exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-99085 https://www.sec.gov/litigation/opinions/2023/34-99085.pdf 2023-12-05 Parfait Mutimura Mutimura, Parfait Gensler Approved Peirce Approved with exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-99099 https://www.sec.gov/litigation/opinions/2023/34-99099.pdf 2023-12-06 December 2023 Extension Orders Wilson-Davis & Co. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Snow, James C. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Barkley, Byron B. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6497 https://www.sec.gov/litigation/opinions/2023/ia-6497.pdf 2023-12-06 Albert K. Hu Hu, Albert K. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11257 https://www.sec.gov/litigation/admin/2023/33-11257.pdf 2023-12-07 Certain Sales of Curve Steepener Securities Appelbaum, Alan Z. Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 34-99118 https://www.sec.gov/litigation/opinions/2023/34-99118.pdf 2023-12-07 Southeast Investments, N.C., Inc., and Frank Harmon Black Southeast Investments, N.C., Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Black, Frank Harmon Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-99149 2023-12-13 Southeast Investments, N.C., Inc., and Frank Harmon Black Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer Customer Protection Rule With Respect to U.S. Treasury Securities Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11258 2023-12-13 Southeast Investments, N.C., Inc., and Frank Harmon Black Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2024 Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 34-99060 https://www.sec.gov/files/rules/pcaob/2023/34-99060.pdf 2023-12-01 Public Company Accounting Oversight Board Rulemaking Public Company Accounting Oversight Board Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6491 https://www.sec.gov/litigation/admin/2023/ia-6491.pdf 2023-12-01 Eagan Capital Management, LLC Eagan Capital Management, LLC Gensler Approved Peirce Approved with Exception Approved except as to the Section 206(4) and Rule 206(4)-7 charges Crenshaw Approved Uyeda Approved with Exception Approved except as to the Rule 206(4)-7 charge Lizárraga Approved 34-99020 https://www.sec.gov/litigation/opinions/2023/34-99020.pdf 2023-11-27 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Felix, Wilfredo Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-99023 https://www.sec.gov/files/rules/sro/nms/2023/34-99023.pdf 2023-11-27 Publication of Order Granting an Exemption Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 and Rule 608(e) of Regulation NMS Under the Exchange Act, Relating to the Recordkeeping Requirements for Industry Test Data, as Required by Rule 17a-1 Under the Exchange Act and Certain Provisions of the National Market System Plan Governing the Consolidated Audit Trail Order Granting an Exemption Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 and Rule 608(e) of Regulation NMS Under the Exchange Act, Relating to the Recordkeeping Requirements for Industry Test Data, as Required by Rule 17a-1 Under the Exchange Act and Certain Provisions of the National Market System Plan Governing the Consolidated Audit Trail Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11255 https://www.sec.gov/litigation/admin/2023/33-11255.pdf 2023-11-28 Petition of Daniel L. Rothbaum, CPA for reinstatement to appear and practice before the Commission as an accountant responsible for the preparation or review of financial statements required to be filed with the Commission, other than as a member of an audit committee as that term is defined in Section 3(a)(58) of the Securities Exchange Act of 1934 Rothbaum, Daniel L., CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11256 https://www.sec.gov/litigation/admin/2023/33-11256.pdf 2023-11-30 Mallinckrodt plc Mallinckrodt plc Gensler Approved Peirce Approved with Exception Approved except as to the Section 17(a)(2) charge Crenshaw Approved Uyeda Approved with Exception Approved except as to the Section 17(a)(2) charge and the undertakings Lizárraga Approved 33-11254 https://www.sec.gov/files/rules/final/2023/33-11254.pdf 2023-11-27 Prohibition Against Conflicts of Interest in Certain Securitizations Prohibition Against Conflicts of Interest in Certain Securitizations Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98903 https://www.sec.gov/litigation/opinions/2023/34-98903.pdf 2023-11-13 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Strege, Adam Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98904 https://www.sec.gov/litigation/opinions/2023/34-98904.pdf 2023-11-13 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Ion Geophysical Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98907 https://www.sec.gov/litigation/opinions/2023/34-98907.pdf 2023-11-13 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Green Capital Group, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98909 https://www.sec.gov/litigation/opinions/2023/34-98909.pdf 2023-11-13 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Access Capital Strategies Cmty. Inv. Fund, Inc/MA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98920 https://www.sec.gov/litigation/suspensions/2023/34-98920.pdf Yes 2023-11-13 Tingo Group, Inc. Tingo Group, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98921 https://www.sec.gov/litigation/suspensions/2023/34-98921.pdf Yes 2023-11-13 Tingo Group, Inc. Agri-Fintech Holdings, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98923 https://www.sec.gov/litigation/admin/2023/34-98923.pdf 2023-11-14 Certain Share Repurchase Programs Charter Communications, Inc. Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 34-98927 https://www.sec.gov/litigation/opinions/2023/34-98927.pdf 2023-11-14 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Beverage Acquisition Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98929 https://www.sec.gov/litigation/opinions/2023/34-98929.pdf 2023-11-14 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Pacific Monument Acquisition Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6482 https://www.sec.gov/litigation/opinions/2023/ia-6482.pdf 2023-11-14 Eugenio Garcia Jimenez, Jr. Jimenez, Eugenio Garcia Jr. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6483 https://www.sec.gov/litigation/admin/2023/ia-6483.pdf 2023-11-14 Guss Actium Fund, LLC Ridall, Jack C. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98946 https://www.sec.gov/litigation/opinions/2023/34-98946.pdf 2023-11-15 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Phoenix Life Sciences International Limited Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98949 https://www.sec.gov/litigation/opinions/2023/34-98949.pdf 2023-11-15 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing RedHawk Holdings Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98960 https://www.sec.gov/litigation/opinions/2023/34-98960.pdf 2023-11-16 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Plymouth Commercial Mortgage Fund Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98968 https://www.sec.gov/litigation/opinions/2023/34-98968.pdf 2023-11-16 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Orion Financial, Ltd. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98971 https://www.sec.gov/files/litigation/admin/2023/34-98971-a.pdf 2023-11-16 David M. Rees, Esq. Rees, David M., Esq. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98961 https://www.sec.gov/litigation/opinions/2023/34-98961.pdf 2023-11-17 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing AMBG, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98978 https://www.sec.gov/litigation/opinions/2023/34-98978.pdf 2023-11-17 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Felix, Wilfredo Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98959 https://www.sec.gov/files/rules/final/2023/34-98959_0.pdf 2023-11-16 Clearing Agency Governance and Conflicts of Interest Clearing Agency Governance and Conflicts of Interest Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98864 https://www.sec.gov/litigation/opinions/2023/34-98864.pdf 2023-11-06 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Wilson-Davis & Co. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Snow, James C. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Barkley, Byron B. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98867 https://www.sec.gov/litigation/opinions/2023/34-98867.pdf 2023-11-06 Alpine Securities Corp. Alpine Securities Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98868 https://www.sec.gov/litigation/opinions/2023/34-98868.pdf 2023-11-06 Alpine Securities Corp. Alpine Securities Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98885 https://www.sec.gov/litigation/opinions/2023/34-98885.pdf 2023-11-08 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Yew Bio-Pharm Group, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98895 https://www.sec.gov/litigation/opinions/2023/34-98895.pdf 2023-11-09 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing QHY Group Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98896 https://www.sec.gov/litigation/opinions/2023/34-98896.pdf 2023-11-09 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Mountain High Acquisitions Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98897 https://www.sec.gov/files/litigation/opinions/2022/34-98897.pdf 2023-11-09 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Medifocus Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98900 https://www.sec.gov/litigation/opinions/2023/34-98900.pdf 2023-11-09 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Tweed, Robert R. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98902 https://www.sec.gov/rules/other/2023/34-98902.pdf 2023-11-09 Request by ICE Clear Europe Limited to Withdraw from Registration as a Clearing Agency Request by ICE Clear Europe Limited to Withdraw from Registration as a Clearing Agency Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98840 https://www.sec.gov/litigation/admin/2023/34-98840.pdf 2023-11-01 Broadway Financial Solutions Thayer, Patrick N. Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98848 https://www.sec.gov/rules/exorders/2023/34-98848.pdf 2023-11-02 Order Granting Conditional Exemptive Relief, Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS under the Exchange Act, from Certain Requirements of the National Market System Plan Governing the Consolidated Audit Trail Order Granting Conditional Exemptive Relief, Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS under the Exchange Act, from Certain Requirements of the National Market System Plan Governing the Consolidated Audit Trail Gensler Approved Peirce Approved Crenshaw Not Approved Uyeda Approved Lizárraga Approved 34-98849 https://www.sec.gov/litigation/admin/2023/34-98849.pdf 2023-11-02 Royal Bank of Canada Royal Bank of Canada Gensler Approved Peirce Approved Approved except as to the penalty Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6475 https://www.sec.gov/litigation/opinions/2023/ia-6475.pdf 2023-11-03 Stacy L. Beane Beane, Stacy L. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6477 https://www.sec.gov/litigation/opinions/2023/ia-6477.pdf 2023-11-03 Travis Laska Laska, Travis Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98845 https://www.sec.gov/files/rules/final/2023/34-98845.pdf 2023-11-02 Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 34-98819 https://www.sec.gov/rules/exorders/2023/34-98819.pdf 2023-10-30 Order Granting Broker-Dealers Exemptive Relief, Pursuant to Section 36(a) and Rule 15c2-11(g) under the Securities Exchange Act of 1934 (�Exchange Act�), from Rule 15c2-11 for Fixed-Income Securities Sold in Compliance with the Safe Harbor of Rule 144A under the Securities Act of 1933 (�Securities Act�). Order Granting Broker-Dealers Exemptive Relief, Pursuant to Section 36(a) and Rule 15c2-11(g) under the Securities Exchange Act of 1934, from Rule 15c2-11 for Fixed-Income Securities Sold in Compliance with the Safe Harbor of Rule 144A under the Securities Act of 1933 Gensler Approved Peirce Approved Crenshaw Not Approved Uyeda Approved Lizárraga Approved 34-98820 https://www.sec.gov/litigation/opinions/2023/34-98820.pdf 2023-10-30 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Alpine Securities Corporation Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98821 https://www.sec.gov/litigation/opinions/2023/34-98821.pdf 2023-10-30 Michele Gray Gray, Michele Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98824 https://www.sec.gov/litigation/admin/2023/34-98824.pdf 2023-10-30 GAIN Capital Holdings, Inc. Conlan, Joseph Gensler Approved Peirce Approved with Exception Approved except as to the officer-and-director bar, disgorgement, and prejudgment interest Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98779 https://www.sec.gov/litigation/admin/2023/34-98779.pdf 2023-10-23 Orleans Parish School Board, New Orleans, Louisiana Speight, Luther C. III, CPA Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved with Exception Approved except as to the disgorgement and prejudgment interest Lizárraga Approved Luther Speight & Company, LLC Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved with Exception Approved except as to the disgorgement and prejudgement interest Lizárraga Approved 34-98788 https://www.sec.gov/litigation/admin/2023/34-98788.pdf 2023-10-23 General Finance Corp. Perez, Marco A. aka Marc Perez Gensler Approved Peirce Approved with Exception Approved, except as to the disgorgement and prejudgement interest, standby authority to name a relief defendant, and officer and director bars Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98789 https://www.sec.gov/litigation/opinions/2023/34-98789.pdf 2023-10-24 Bruce C. Worthington Worthington, Bruce C. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98795 https://www.sec.gov/litigation/opinions/2023/34-98795.pdf 2023-10-24 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Kielczewski, William Joseph Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6468 https://www.sec.gov/litigation/admin/2023/ia-6468.pdf 2023-10-24 BlackRock Multi-Sector Income Trust BlackRock Advisors, LLC Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved IA-6470 https://www.sec.gov/litigation/admin/2023/ia-6470.pdf 2023-10-24 SEC v. Hobbs Hobbs, Brian Keat Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved PA-61 https://www.sec.gov/rules/other/2023/pa-61.pdf 2023-10-26 Notice to Publish a New Privacy Act System of Records Notice to Publish a New Privacy Act System of Records Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98801 https://www.sec.gov/litigation/opinions/2023/34-98801.pdf 2023-10-27 Paul Richard Aquitania Aquitania, Paul Richard Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6472 https://www.sec.gov/litigation/opinions/2023/ia-6472.pdf 2023-10-27 Jacob C. Glick Glick, Jacob C. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98755 https://www.sec.gov/litigation/opinions/2023/34-98755.pdf 2023-10-16 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Johnson, Thomas Lee Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98756 https://www.sec.gov/litigation/opinions/2023/34-98756.pdf 2023-10-16 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Lykos, Thomas J., Jr. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98763 https://www.sec.gov/litigation/admin/2023/34-98763.pdf 2023-10-17 Anthony B. Brandel and M.Y. Consultants, Inc. Brandel, Anthony B. Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98775 https://www.sec.gov/litigation/admin/2023/34-98775.pdf 2023-10-19 Anson Funds Management LP Anson Advisors Inc. Gensler Approved Peirce Approved with Exception Approved except as to the disgorgement and prejudgment interest Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98777 https://www.sec.gov/litigation/opinions/2023/34-98777.pdf 2023-10-20 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Southeast Investments, N.C., Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Black, Frank Harmon Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6467 https://www.sec.gov/litigation/opinions/2023/ia-6467.pdf 2023-10-20 Thomas D. Conrad, Jr. Conrad, Thomas D., Jr. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98706 https://www.sec.gov/litigation/opinions/2023/34-98706.pdf 2023-10-10 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing RCMW Group, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98707 https://www.sec.gov/litigation/opinions/2023/34-98707.pdf 2023-10-10 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Umatrin Holding Limited Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98708 https://www.sec.gov/litigation/opinions/2023/34-98708.pdf 2023-10-10 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Tweed, Robert R. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98709 https://www.sec.gov/litigation/opinions/2023/34-98709.pdf 2023-10-10 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Tapestry Pharmaceuticals, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98710 https://www.sec.gov/litigation/opinions/2023/34-98710.pdf 2023-10-10 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Eyecity.com, Inc. (n/k/a CareX Blockchain Platform, Inc.) Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98711 https://www.sec.gov/litigation/opinions/2023/34-98711.pdf 2023-10-10 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Smith, Eric S. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98712 https://www.sec.gov/litigation/opinions/2023/34-98712.pdf 2023-10-10 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Jones, Robbi J. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Kipling Jones & Co., Ltd. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98713 https://www.sec.gov/litigation/opinions/2023/34-98713.pdf 2023-10-10 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Gray, Michele Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6455 https://www.sec.gov/litigation/admin/2023/ia-6455.pdf 2023-10-10 Wilmington Trust Investment Management, LLC Wilmington Trust Investment Management, LLC Gensler Approved Peirce Approved with Exception Approved except as to the Section 206(4) charge and the disgorgement Crenshaw Approved Uyeda Approved with Exception Approved except as to the Section 206(4) and Rule 206(4)-7 charges Lizárraga Approved 34-98716 https://www.sec.gov/litigation/admin/2023/34-98716.pdf 2023-10-11 Certain Registered Representatives Filoramo, Ronald E. Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98717 https://www.sec.gov/litigation/opinions/2023/34-98717.pdf 2023-10-11 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Wisdom Homes of America, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98718 https://www.sec.gov/litigation/opinions/2023/34-98718.pdf 2023-10-11 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Lucille Farms Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98719 https://www.sec.gov/litigation/opinions/2023/34-98719.pdf 2023-10-11 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing New You, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98724 https://www.sec.gov/litigation/opinions/2023/34-98724.pdf 2023-10-12 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Zeb Oro Explorations, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6460 https://www.sec.gov/litigation/admin/2023/ia-6460.pdf 2023-10-12 Thomas Garnette Martin, Jr. Martin, Thomas Garnette Jr. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6461 https://www.sec.gov/litigation/opinions/2023/ia-6461.pdf 2023-10-13 Gary Edward Haynes Haynes, Gary Edward Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98766 2023-10-18 Gary Edward Haynes Volume-Based Exchange Transaction Pricing for NMS Stocks Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 34-98737 https://www.sec.gov/files/rules/final/2023/34-98737.pdf 2023-10-13 Reporting of Securities Loans Reporting of Securities Loans Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 34-98738 https://www.sec.gov/files/rules/final/2023/34-98738.pdf 2023-10-13 Short Position and Short Activity Reporting by Institutional Investment Managers Short Position and Short Activity Reporting by Institutional Investment Managers Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 34-98739 https://www.sec.gov/files/rules/other/2023/34-98739.pdf 2023-10-13 Notice of the Text of the Amendment to the National Market System Plan Governing the Consolidated Audit Trail for Purposes of Short Sale-Related Data Collection Notice of the Text of the Amendment to the National Market System Plan Governing the Consolidated Audit Trail for Purposes of Short Sale-Related Data Collection Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 34-98670 https://www.sec.gov/litigation/opinions/2023/34-98670.pdf 2023-10-02 Gregory W. Gray, Jr. Gray,Gregory W. Jr. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98671 https://www.sec.gov/litigation/opinions/2023/34-98671.pdf 2023-10-02 Lam Securities Investments, Inc. Lam Securities Investments, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98673 https://www.sec.gov/litigation/opinions/2023/34-98673.pdf 2023-10-02 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Lonske,Jonathan William Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98674 https://www.sec.gov/litigation/opinions/2023/34-98674.pdf 2023-10-02 Advanzeon Solutions, Inc. Advanzeon Solutions, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98675 https://www.sec.gov/litigation/opinions/2023/34-98675.pdf 2023-10-03 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Rito Group Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98677 https://www.sec.gov/litigation/opinions/2023/34-98677.pdf 2023-10-03 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Northstar Electronics, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98679 https://www.sec.gov/litigation/opinions/2023/34-98679.pdf 2023-10-03 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Madison Avenue Holdings, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98681 https://www.sec.gov/litigation/opinions/2023/34-98681.pdf 2023-10-04 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Laxai Pharma Ltd. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98682 https://www.sec.gov/litigation/opinions/2023/34-98682.pdf 2023-10-04 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing HuntMountain Resources Ltd. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98683 https://www.sec.gov/litigation/opinions/2023/34-98683.pdf 2023-10-04 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Kushner Locke Co. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98686 https://www.sec.gov/litigation/opinions/2023/34-98686.pdf 2023-10-05 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Alpha Network Alliance Ventures Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98687 https://www.sec.gov/litigation/opinions/2023/34-98687.pdf 2023-10-05 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Indigenous Roots Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98688 https://www.sec.gov/litigation/opinions/2023/34-98688.pdf 2023-10-05 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing E-Qure Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11252 https://www.sec.gov/rules/other/2023/33-11252.pdf 2023-10-06 List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98695 https://www.sec.gov/litigation/opinions/2023/34-98695.pdf 2023-10-06 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Wilson-Davis & Co. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Snow,James C. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Barkley,Bryon B. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98696 https://www.sec.gov/litigation/opinions/2023/34-98696.pdf 2023-10-06 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Russian Wireless Telephone Company, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98697 https://www.sec.gov/litigation/opinions/2023/34-98697.pdf 2023-10-06 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Gabbit Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98698 https://www.sec.gov/litigation/opinions/2023/34-98698.pdf 2023-10-06 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing SMSA Crane Acquisition Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98700 https://www.sec.gov/litigation/opinions/2023/34-98700.pdf 2023-10-06 Charles K. Topping Topping,Charles K. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11253 https://www.sec.gov/files/rules/final/2023/33-11253.pdf 2023-10-10 Modernization of Beneficial Ownership Reporting Modernization of Beneficial Ownership Reporting Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11241 https://www.sec.gov/litigation/admin/2023/33-11241.pdf 2023-09-25 GTT Communications Inc. GTT Communications, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98492 https://www.sec.gov/litigation/admin/2023/34-98492.pdf 2023-09-25 BDO USA, LLP Powell, David C. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98498 https://www.sec.gov/files/34-98498.pdf 2023-09-25 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Deep ATS, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98499 https://www.sec.gov/litigation/admin/2023/34-98499.pdf 2023-09-25 DPW Holdings, Inc. Messina, Michael, CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98500 https://www.sec.gov/litigation/opinions/2023/34-98500.pdf 2023-09-25 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Metatron, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98510 https://www.sec.gov/litigation/admin/2023/34-98510.pdf 2023-09-25 Fieldman Rolapp & Associates, Inc. Fieldman Rolapp & Associates, Inc. Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Sarabian, Anna Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98512 https://www.sec.gov/litigation/admin/2023/34-98512.pdf 2023-09-25 Baxter International, Inc. Baxter International Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Schaible, Jeffrey Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Bohaboy, Scott Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6431 https://www.sec.gov/litigation/admin/2023/ia-6431.pdf 2023-09-25 DWS Investment Management Americas, Inc. DWS Investment Management Americas, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6432 https://www.sec.gov/litigation/admin/2023/ia-6432.pdf 2023-09-25 DWS ESG Investing DWS Investment Management Americas, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6433 https://www.sec.gov/litigation/admin/2023/ia-6433.pdf 2023-09-25 Wellesley Asset Management, Inc. Wellesley Asset Management, Inc. Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98520 https://www.sec.gov/litigation/admin/2023/34-98520.pdf 2023-09-26 Madison Timber Properties, LLC McHenry, William B., Jr. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved First South Investments, LLC Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-98521 https://www.sec.gov/litigation/admin/2023/34-98521.pdf 2023-09-26 Pristec America Laura, Joseph M., Esq. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98522 https://www.sec.gov/litigation/admin/2023/34-98522.pdf 2023-09-26 Pristec America Sichenzio, Anthony R. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98525 https://www.sec.gov/litigation/admin/2023/34-98525.pdf 2023-09-26 MJ Capital Funding, LLC Fernandez, Steven A. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98526 https://www.sec.gov/litigation/admin/2023/34-98526.pdf 2023-09-26 Chicago Crypto Capital LLC Amoah, Brian Bartlett Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved Elliott, Elbert "Al" Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 34-98537 https://www.sec.gov/litigation/admin/2023/34-98537.pdf 2023-09-26 MJ Capital Funding, LLC O’Mealia, Monica M. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6434 https://www.sec.gov/litigation/admin/2023/ia-6434.pdf 2023-09-26 AssetMark, Inc. AssetMark, Inc. Gensler Approved Peirce Approved with Exception Approved except as to the Section 206(4) and Rule 206(4)-7 charges Crenshaw Approved Uyeda Approved with Exception Approved except as to the Section 206(4) and Rule 206(4)-7 charges Lizárraga Approved IA-6435 https://www.sec.gov/litigation/admin/2023/ia-6435.pdf 2023-09-26 Bruderman Brothers, LLC Bruderman Asset Management, LLC n/k/a Gary Goldberg Planning Services, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Bruderman, Matthew J. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11242 https://www.sec.gov/litigation/opinions/2023/33-11242.pdf 2023-09-27 Edward M. Daspin Daspin, Edward M., A/K/A “Edward (Ed) Michael” Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11243 https://www.sec.gov/litigation/admin/2023/33-11243.pdf 2023-09-27 Certain Reg-A Issuers Hightimes Holding Corp. Gensler Approved Peirce Approved with Exception Approved except as to the penalty Crenshaw Approved Uyeda Approved with Exception Approved except as to the penalty Lizárraga Approved 33-11244 https://www.sec.gov/litigation/admin/2023/33-11244.pdf 2023-09-27 Certain Reg-A Issuers Cloudastructure, Inc. Gensler Approved Peirce Approved with Exception Approved except as to the penalty Crenshaw Approved Uyeda Approved with Exception Approved except as to the penalty Lizárraga Approved 34-98542 https://www.sec.gov/litigation/admin/2023/34-98542.pdf 2023-09-27 Certain Deficient Security Ownership Filings Lukens, Joseph Theodore, Jr. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98543 https://www.sec.gov/litigation/admin/2023/34-98543.pdf 2023-09-27 Certain Deficient Security Ownership Filings More, Avery Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98545 https://www.sec.gov/litigation/admin/2023/34-98545.pdf 2023-09-27 Certain Deficient Security Ownership Filings Rosen, Lawrence I. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98546 https://www.sec.gov/litigation/admin/2023/34-98546.pdf 2023-09-27 Certain Deficient Security Ownership Filings Fernandez-McGovern, Nicole M. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98547 https://www.sec.gov/litigation/admin/2023/34-98547.pdf 2023-09-27 Certain Deficient Security Ownership Filings Heilmann, Matthias L. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98548 https://www.sec.gov/litigation/admin/2023/34-98548.pdf 2023-09-27 Certain Deficient Security Ownership Filings Lattice Semiconductor Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98549 https://www.sec.gov/litigation/admin/2023/34-98549.pdf 2023-09-27 Certain Deficient Security Ownership Filings SolarEdge Technologies, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98550 https://www.sec.gov/litigation/admin/2023/34-98550.pdf 2023-09-27 Certain Deficient Security Ownership Filings Xu, Peixin Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98551 https://www.sec.gov/litigation/admin/2023/34-98551.pdf 2023-09-27 Certain Deficient Security Ownership Filings eXp World Holdings, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98552 https://www.sec.gov/litigation/admin/2023/34-98552.pdf 2023-09-27 Certain Deficient Security Ownership Filings AgEagle Aerial Systems, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98553 https://www.sec.gov/litigation/admin/2023/34-98553.pdf 2023-09-27 Certain Deficient Security Ownership Filings Cumberland Pharmaceuticals, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11245 https://www.sec.gov/litigation/admin/2023/33-11245.pdf 2023-09-28 Pareteum Corporation Stefanski, Stanley, CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11246 https://www.sec.gov/litigation/opinions/2023/33-11246.pdf 2023-09-28 Brian Williamson Williamson, Brian Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11247 https://www.sec.gov/litigation/admin/2023/33-11247.pdf 2023-09-28 XL Fleet Corp. Spruce Power Holding Corporation Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved with Exception Approved except as to the penalty Lizárraga Approved 33-11248 https://www.sec.gov/litigation/admin/2023/33-11248.pdf 2023-09-28 Exelon Corporation Exelon Corporation Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved with Exception Approved except as to the penalty Lizárraga Approved Commonwealth Edison Company Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98579 https://www.sec.gov/litigation/opinions/2023/34-98579.pdf 2023-09-28 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Almost Never Films Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98580 https://www.sec.gov/litigation/opinions/2023/34-98580.pdf 2023-09-28 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing HAHA Generation Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98581 https://www.sec.gov/litigation/opinions/2023/34-98581.pdf 2023-09-28 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Well-being Holdings, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98587 https://www.sec.gov/litigation/opinions/2023/34-98587.pdf 2023-09-28 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Canna Corporation Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98588 https://www.sec.gov/litigation/opinions/2023/34-98588.pdf 2023-09-28 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Wasatch Pharmaceutical, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98590 https://www.sec.gov/rules/other/2023/34-98590.pdf 2023-09-28 Japan Credit Rating Agency, Ltd. Japan Credit Rating Agency, Ltd. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98595 https://www.sec.gov/litigation/admin/2023/34-98595.pdf 2023-09-28 HighCape Capital Acquisition Corp. Del Prete, Robert Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Not Participating 34-98609 https://www.sec.gov/litigation/admin/2023/34-98609.pdf 2023-09-28 Citigroup Global Markets, Inc. Citigroup Global Markets, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Citi International Financial Services, LLC, now known as Insigneo International Financial Services, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98611 https://www.sec.gov/litigation/admin/2023/34-98611.pdf 2023-09-28 TAL Education Group TAL Education Group Gensler Approved Peirce Approved with Exception Approved except as to the cease-and-desist proceeding Crenshaw Approved Uyeda Approved with Exception Approved except as to the penalty Lizárraga Approved 34-98615 https://www.sec.gov/litigation/admin/2023/34-98615.pdf 2023-09-28 Clear Channel Outdoor Holdings, Inc. Clear Channel Outdoor Holdings, Inc. Gensler Approved Peirce Approved with Exception Approved except as to the disgorgement and penalty Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98619 https://www.sec.gov/litigation/admin/2023/34-98619.pdf 2023-09-28 SW Financial Salomon Whitney LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6437 https://www.sec.gov/litigation/admin/2023/ia-6437.pdf 2023-09-28 Apexium Financial LP Apexium Financial LP Gensler Approved Peirce Approved with Exception Approved except as to the Section 206(4) charge Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6438 https://www.sec.gov/litigation/admin/2023/ia-6438.pdf 2023-09-28 Forepont Capital LLC Forepont Capital LLC Gensler Approved Peirce Approved with Exception Approved except as to the Section 206(4) charge Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6441 https://www.sec.gov/litigation/admin/2023/ia-6441.pdf 2023-09-28 Advisor Group, Inc. FSC Securities Corporation Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6442 https://www.sec.gov/litigation/admin/2023/ia-6442.pdf 2023-09-28 Advisor Group, Inc. Osaic Wealth, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6443 https://www.sec.gov/litigation/admin/2023/ia-6443.pdf 2023-09-28 Advisor Group, Inc. SagePoint Financial, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6444 https://www.sec.gov/litigation/admin/2023/ia-6444.pdf 2023-09-28 Advisor Group, Inc. Woodbury Financial Services, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6445 https://www.sec.gov/litigation/admin/2023/ia-6445.pdf 2023-09-28 Never Tired You, LLC Rocha, Jose D. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11249 https://www.sec.gov/files/rules/other/2023/33-11249.pdf 2023-09-29 Certain Broker Dealer Practices, et al. Robert W. Baird & Co. Incorporated Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Fifth Third Securities, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Interactive Brokers Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Nuveen Securities, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Perella Weinberg Partners LP Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Tudor, Pickering, Holt & Co. Securities, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Perella Weinberg Partners Capital Management LP Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved William Blair & Company, L.L.C. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved William Blair Investment Management, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Interactive Brokers LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11250 https://www.sec.gov/rules/proposed/2023/33-11250.pdf 2023-09-29 Registration for Index-Linked Annuities; Amendments to Form N-4 for Index-Linked and Variable Annuities Registration for Index-Linked Annuities; Amendments to Form N-4 for Index-Linked and Variable Annuities Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11251 https://www.sec.gov/litigation/admin/2023/33-11251.pdf 2023-09-29 Newell Brands Inc. Newell Brands Inc. Gensler Approved Peirce Approved with Exception Approved except as to the penalty Crenshaw Approved Uyeda Approved with Exception Approved except as to the penalty Lizárraga Approved Polk, Michael B. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98605 https://www.sec.gov/litigation/admin/2023/34-98605.pdf 2023-09-29 Maxim Group, LLC Maxim Group, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98608 https://www.sec.gov/litigation/admin/2023/34-98608.pdf 2023-09-29 SEC vs. Brian Lam, et al. Nguyen, Nathan N. Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98622 https://www.sec.gov/litigation/admin/2023/34-98622.pdf 2023-09-29 Albemarle Corporation Albemarle Corporation Gensler Approved Peirce Approved with Exception Approved except as to the disgorgement and prejudgment interest Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98626 https://www.sec.gov/litigation/admin/2023/34-98626.pdf 2023-09-29 Certain Broker Dealer Practices, et al. William Blair & Company, L.L.C. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved William Blair Investment Management, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98627 https://www.sec.gov/litigation/admin/2023/34-98627.pdf 2023-09-29 Certain Broker Dealer Practices, et al. Fifth Third Securities, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98630 https://www.sec.gov/litigation/admin/2023/34-98630.pdf 2023-09-29 Certain Broker Dealer Practices, et al. Nuveen Securities, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98631 https://www.sec.gov/litigation/admin/2023/34-98631.pdf 2023-09-29 Certain Broker Dealer Practices, et al. Robert W. Baird & Co. Incorporated Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98632 https://www.sec.gov/litigation/admin/2023/34-98632.pdf 2023-09-29 Certain Broker Dealer Practices, et al. Perella Weinberg Partners LP Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Tudor, Pickering, Holt & Co. Securities LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Perella Weinberg Partners Capital Management LP Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98633 https://www.sec.gov/litigation/admin/2023/34-98633.pdf 2023-09-29 Certain Broker Dealer Practices, et al. Interactive Brokers Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Interactive Brokers LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98634 https://www.sec.gov/litigation/opinions/2023/34-98634.pdf 2023-09-29 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Alpine Securities Corporation Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98636 https://www.sec.gov/litigation/admin/2023/34-98636.pdf 2023-09-29 DBRS Morningstar CMBS Ratings DBRS, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98638 https://www.sec.gov/litigation/admin/2023/34-98638.pdf 2023-09-29 DBRS Morningstar CMBS Ratings DBRS, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98641 https://www.sec.gov/litigation/admin/2023/34-98641.pdf 2023-09-29 D. E. Shaw & Co., L.P. D. E. Shaw & Co., L.P. Gensler Approved Peirce Approved with Exception Approved except as to the penalty Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98654 https://www.sec.gov/litigation/admin/2023/34-98654.pdf 2023-09-29 Certain NRSRO Practices Kroll Bond Rating Agency, LLC Gensler Approved Peirce Approved with Exception Approved except as to the penalty Crenshaw Approved Uyeda Approved with Exception Approved except as to the penalty and undertakings Lizárraga Approved 34-98667 https://www.sec.gov/litigation/admin/2023/34-98667.pdf 2023-09-29 Cigna Corp. Ferrie,Jonathan J. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98668 https://www.sec.gov/rules/other/2023/34-98668.pdf 2023-09-29 The amended application of Jefferies Financial Services, Inc. to compute net capital charges for market and credit risk using internal models rather than standardized charges Jefferies Financial Services, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Not Approved IA-6439 https://www.sec.gov/litigation/admin/2023/ia-6439.pdf 2023-09-29 SEC vs. Brian Lam, et al. Lam, Brian Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6450 https://www.sec.gov/litigation/admin/2023/ia-6450.pdf 2023-09-29 Florence Capital Advisors, LLC Florence Capital Advisors, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Hersch, Gregory A. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98669 https://www.sec.gov/files/litigation/admin/2023/34-98669.pdf 2023-09-29 Florence Capital Advisors, LLC MacWright, Douglas Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98271 https://www.sec.gov/rules/sro/nms/2023/34-98271.pdf 2023-09-01 Amended order regarding the creation of a new consolidated market data plan for equity market data Amended Order Directing the Exchanges and Financial Industry Regulatory Authority, Inc. to File a National Market System Plan Regarding Consolidated Equity Market Data Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98272 https://www.sec.gov/litigation/admin/2023/34-98272.pdf 2023-09-01 SQN Capital Management, LLC SQN Capital Management, LLC Gensler Approved Peirce Approved with Exception Approved except as to the Section 206(4) charge Crenshaw Approved Uyeda Approved Lizárraga Not Participating Silkowski, Jeremiah Gensler Approved Peirce Approved with Exception Approved except as to the Section 206(4) charge Crenshaw Approved Uyeda Approved Lizárraga Not Participating IA-6394 https://www.sec.gov/litigation/admin/2023/ia-6394.pdf 2023-09-05 Affinity Gold Corporation Nordlund, Jason Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6395 https://www.sec.gov/litigation/admin/2023/ia-6395.pdf 2023-09-05 Lloyd George Management (HK) Limited; Bluestone Capital Management, LLC; The Eideard Group, LLC; Disruptive Technology Advisers LLC; Apex Financial Advisors, Inc. Lloyd George Management (HK) Limited Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved Lizárraga Not Participating IA-6396 https://www.sec.gov/files/litigation/admin/2023/ia-6396_0.pdf 2023-09-05 Lloyd George Management (HK) Limited; Bluestone Capital Management, LLC; The Eideard Group, LLC; Disruptive Technology Advisers LLC; Apex Financial Advisors, Inc. Apex Financial Advisors, Inc. Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved Lizárraga Not Participating IA-6398 https://www.sec.gov/litigation/admin/2023/ia-6398.pdf 2023-09-05 Lloyd George Management (HK) Limited; Bluestone Capital Management, LLC; The Eideard Group, LLC; Disruptive Technology Advisers LLC; Apex Financial Advisors, Inc. Bluestone Capital Management, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Not Participating IA-6399 https://www.sec.gov/litigation/admin/2023/ia-6399.pdf 2023-09-05 Lloyd George Management (HK) Limited; Bluestone Capital Management, LLC; The Eideard Group, LLC; Disruptive Technology Advisers LLC; Apex Financial Advisors, Inc. The Eideard Group, LLC Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved Lizárraga Not Participating IA-6400 https://www.sec.gov/litigation/admin/2023/ia-6400.pdf 2023-09-05 Lloyd George Management (HK) Limited; Bluestone Capital Management, LLC; The Eideard Group, LLC; Disruptive Technology Advisers LLC; Apex Financial Advisors, Inc. Disruptive Technology Advisers LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Not Participating 34-98291 https://www.sec.gov/litigation/opinions/2023/34-98291.pdf 2023-09-06 Donald Howard Howard, Donald Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98292 https://www.sec.gov/litigation/admin/2023/34-98292.pdf 2023-09-06 Fluor Corporation Fluor Corporation Gensler Approved Peirce Approved with Exception Approved except as to the penalty Crenshaw Approved Uyeda Approved with Exception Approved except as to the penalty Lizárraga Approved 34-98293 https://www.sec.gov/litigation/admin/2023/34-98293.pdf 2023-09-06 Fluor Corporation Best, Jon Eric Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98294 https://www.sec.gov/litigation/admin/2023/34-98294.pdf 2023-09-06 Fluor Corporation Brittain, James F. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98295 https://www.sec.gov/litigation/admin/2023/34-98295.pdf 2023-09-06 Fluor Corporation Chopra, Robin K. CA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98296 https://www.sec.gov/litigation/admin/2023/34-98296.pdf 2023-09-06 Fluor Corporation Scott, Bradley R. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98297 https://www.sec.gov/litigation/admin/2023/34-98297.pdf 2023-09-06 Fluor Corporation Smith, Kent N. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98316 https://www.sec.gov/litigation/opinions/2023/34-98316.pdf 2023-09-06 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Wilson-Davis & Co. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Snow, James C. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Barkley, Byron B. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98290 2023-09-06 SQN Capital Management, LLC Order Approving an Amendment to the National Market System Plan Governing the Consolidated Audit Trail Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 33-11229 https://www.sec.gov/litigation/admin/2023/33-11229.pdf 2023-09-07 Linus Financial, Inc. Linus Financial, Inc. Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98306 https://www.sec.gov/litigation/admin/2023/34-98306.pdf 2023-09-07 Roadrunner Transportation Systems, Inc. Naggs, Bret CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98307 https://www.sec.gov/litigation/admin/2023/34-98307.pdf 2023-09-07 Roadrunner Transportation Systems, Inc. Wogsland, Mark CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11231 https://www.sec.gov/files/litigation/admin/2023/34-98323.pdf 2023-09-08 Jacob R. Orvidas Orvidas, Jacob R. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved with Exception Approved except as to the disgorgement Lizárraga Approved 34-98322 https://www.sec.gov/litigation/admin/2023/34-98322.pdf 2023-09-08 Monolith Corp. Monolith Resources, LLC Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved with Exception Approved except as to the penalty Lizárraga Approved 34-98324 https://www.sec.gov/litigation/admin/2023/34-98324.pdf 2023-09-08 The Church for the Healthy Self Ho, Luke Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98325 https://www.sec.gov/litigation/admin/2023/34-98325.pdf 2023-09-08 The Church for the Healthy Self Nguyen, Ngoc-Ha T. Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98326 https://www.sec.gov/litigation/admin/2023/34-98326.pdf 2023-09-08 The Church for the Healthy Self Whitney, Richard D. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98329 https://www.sec.gov/litigation/opinions/2023/34-98329.pdf 2023-09-08 Michelle L. Helterbran Cochran, CPA Helterbran Cochran, Michelle L. CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98331 https://www.sec.gov/rules/other/2023/34-98331.pdf 2023-09-08 Request by ICE Clear Europe, Limited to withdraw from registration as a clearing agency ICE Clear Europe, Limited Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98336 https://www.sec.gov/litigation/opinions/2023/34-98336.pdf 2023-09-08 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Tweed, Robert R. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98342 https://www.sec.gov/litigation/opinions/2023/34-98342.pdf 2023-09-11 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Cantone Research Group, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Anthony Cantone Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Christine Cantone Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98343 https://www.sec.gov/litigation/admin/2023/34-98343.pdf 2023-09-11 CRP Fund Levin, Daniel E. Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98348 https://www.sec.gov/litigation/opinions/2023/34-98348.pdf 2023-09-11 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Logan, Matthew R. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98350 https://www.sec.gov/litigation/opinions/2023/34-98350.pdf 2023-09-11 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Silver Leaf Partners, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98351 https://www.sec.gov/litigation/admin/2023/34-98351.pdf 2023-09-11 Maximus, Inc. Maximus, Inc. Gensler Approved Peirce Approved with Exception Approved except as to the penalty Crenshaw Approved Uyeda Approved with Exception Approved except as to the penalty Lizárraga Approved IA-6404 https://www.sec.gov/litigation/admin/2023/ia-6404.pdf 2023-09-11 Certain Registered Investment Advisers Who Market Hypothetical Performance et al. Banorte Asset Management, Inc. Gensler Approved Peirce Approved with Exception Approved except as to the Section 206(4) charge Crenshaw Approved Uyeda Not Approved Lizárraga Approved IA-6405 https://www.sec.gov/litigation/admin/2023/ia-6405.pdf 2023-09-11 Certain Registered Investment Advisers Who Market Hypothetical Performance et al. BTS Asset Management Inc. Gensler Approved Peirce Approved with Exception Approved except as to the Section 206(4) charge Crenshaw Approved Uyeda Not Approved Lizárraga Approved IA-6406 https://www.sec.gov/litigation/admin/2023/ia-6406.pdf 2023-09-11 Certain Registered Investment Advisers Who Market Hypothetical Performance et al. Elm Partners Management LLC Gensler Approved Peirce Approved with Exception Approved except as to the Section 206(4) charge Crenshaw Approved Uyeda Not Approved Lizárraga Approved IA-6407 https://www.sec.gov/litigation/admin/2023/ia-6407.pdf 2023-09-11 Certain Registered Investment Advisers Who Market Hypothetical Performance et al. Hansen and Associates Financial Group Inc. Gensler Approved Peirce Approved with Exception Approved except as to the Section 206(4) charge Crenshaw Approved Uyeda Not Approved Lizárraga Approved IA-6408 https://www.sec.gov/litigation/admin/2023/ia-6408.pdf 2023-09-11 Certain Registered Investment Advisers Who Market Hypothetical Performance et al. Linden Thomas Advisory Services, LLC Gensler Approved Peirce Approved with Exception Approved except as to the Section 206(4) charge Crenshaw Approved Uyeda Not Approved Lizárraga Approved IA-6409 https://www.sec.gov/litigation/admin/2023/ia-6409.pdf 2023-09-11 Certain Registered Investment Advisers Who Market Hypothetical Performance et al. Macroclimate LLC Gensler Approved Peirce Approved with Exception Approved except as to the Section 206(4) charge Crenshaw Approved Uyeda Not Approved Lizárraga Approved IA-6410 https://www.sec.gov/litigation/admin/2023/ia-6410.pdf 2023-09-11 Certain Registered Investment Advisers Who Market Hypothetical Performance et al. McElhenny Sheffield Capital Management LLC Gensler Approved Peirce Approved with Exception Approved except as to the Section 206(4) charge Crenshaw Approved Uyeda Not Approved Lizárraga Approved IA-6411 https://www.sec.gov/litigation/admin/2023/ia-6411.pdf 2023-09-11 Certain Registered Investment Advisers Who Market Hypothetical Performance et al. MRA Advisory Group Gensler Approved Peirce Approved with Exception Approved except as to the Section 206(4) charge Crenshaw Approved Uyeda Not Approved Lizárraga Approved IA-6412 https://www.sec.gov/litigation/admin/2023/ia-6412.pdf 2023-09-11 Certain Registered Investment Advisers Who Market Hypothetical Performance et al. Trowbridge Capital Partners LLC Gensler Approved Peirce Approved with Exception Approved except as to the Section 206(4) charge Crenshaw Approved Uyeda Not Approved Lizárraga Approved IA-6413 https://www.sec.gov/litigation/admin/2023/ia-6413.pdf 2023-09-11 Mortgage Industry Advisory Corporation Mortgage Industry Advisory Corporation Gensler Approved Peirce Approved with Exception Approved except as to the Section 206(4) charge Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11230 https://www.sec.gov/litigation/admin/2023/33-11230.pdf 2023-09-12 YieldStreet Inc. YieldStreet Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved YieldStreet Management, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98352 https://www.sec.gov/litigation/admin/2023/34-98352.pdf 2023-09-12 Marcum LLP Giugliano, Alfonse Gregory CPA Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98354 https://www.sec.gov/litigation/admin/2023/34-98354.pdf 2023-09-12 True Capital Management, LLC True Capital Management, LLC Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11232 https://www.sec.gov/rules/final/2023/33-11232.pdf 2023-09-13 EDGAR Filer Access and Account Management 33 Act; 34 Act; 39 Act; IC Act; Rules 10-11, Reg S-T and Form ID Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11233 https://www.sec.gov/litigation/admin/2023/33-11233.pdf 2023-09-13 Stoner Cats 2, LLC Stoner Cats 2, LLC Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 34-98372 https://www.sec.gov/litigation/opinions/2023/34-98372.pdf 2023-09-13 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Lek Securities Corporation Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98374 https://www.sec.gov/litigation/admin/2023/34-98374.pdf 2023-09-13 Rand Heckler, Inc. Heckler, Rand Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98381 https://www.sec.gov/litigation/admin/2023/34-98381.pdf 2023-09-13 Artemis Wealth Advisors, LLC Artemis Wealth Advisors, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11234 https://www.sec.gov/litigation/admin/2023/33-11234.pdf 2023-09-14 Glenn Capital LLC GlennCap LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Glenn, Jonathan Vincent Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98391 https://www.sec.gov/litigation/admin/2023/34-98391.pdf 2023-09-14 Standard Oil Company, Inc. Mecham, Allen P. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98401 https://www.sec.gov/litigation/admin/2023/34-98401.pdf 2023-09-14 Coherent, Inc. Hong, Xia Gensler Approved Peirce Approved with Exception Approved except as to officer and diector bar, disgorgement and prejudgement interest Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98404 https://www.sec.gov/litigation/opinions/2023/34-98404.pdf 2023-09-15 Robert L. Bryant III Bryant, Robert L. III Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11235 https://www.sec.gov/files/rules/final/2023/33-11235.pdf 2023-09-18 Revisions to the Electronic Data Gathering, Analysis, and Retrieval system Filer Manual, Volume II, “EDGAR Filing” Adoption of Updated EDGAR Filer Manual Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11236 https://www.sec.gov/litigation/admin/2023/33-11236.pdf 2023-09-18 GGToor, Inc. GGToor, Inc. Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 34-98413 https://www.sec.gov/litigation/admin/2023/34-98413.pdf 2023-09-18 Lyft, Inc. Short Products Lyft, Inc. Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved with Exception Approved except as to the penalty Lizárraga Approved 34-98418 https://www.sec.gov/litigation/admin/2023/34-98418.pdf 2023-09-18 Cypress Semiconductor Corporation Economacos, Pierre Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 34-98421 https://www.sec.gov/litigation/opinions/2023/34-98421.pdf 2023-09-18 Richard G. Duncan Duncan, Richard G. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98424 https://www.sec.gov/litigation/admin/2023/34-98424.pdf 2023-09-18 TBG Holdings, Corp. Caputo, Vincent J. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98427 https://www.sec.gov/litigation/opinions/2023/34-98427.pdf 2023-09-18 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Zipper, Bruce Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Dakota Securities International, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98428 https://www.sec.gov/litigation/opinions/2023/34-98428.pdf 2023-09-18 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Titan Securities Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Brooks, Brad C. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6423 https://www.sec.gov/litigation/admin/2023/ia-6423.pdf 2023-09-18 Summit Planning Group, Inc. Summit Planning Group, Inc. Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved Urciuoli, Richard Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 33-11237 https://www.sec.gov/litigation/admin/2023/33-11237.pdf 2023-09-19 Red Oak Capital Group, LLC Reiner, Clark Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98429 https://www.sec.gov/litigation/admin/2023/34-98429.pdf 2023-09-19 CBRE, Inc. CBRE, Inc. Gensler Approved Peirce Approved with Exception Approved except as to the penalty Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11239 https://www.sec.gov/litigation/admin/2023/33-11239.pdf 2023-09-20 Starport Wines, James Michael Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 34-98437 https://www.sec.gov/rules/final/2023/34-98437.pdf 2023-09-20 The Commission’s Privacy Act Regulations The Commission’s Privacy Act Regulations Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98442 https://www.sec.gov/litigation/opinions/2023/34-98442.pdf 2023-09-20 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Southeast Investments Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Black, Frank Harmon Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11238 2023-09-20 Robert L. Bryant III Investment Company Name Rule Gensler Approved Peirce Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 33-11240 https://www.sec.gov/litigation/admin/2023/33-11240.pdf 2023-09-21 Kandi Technologies Group, Inc. Kandi Technologies Group, Inc. Gensler Approved Peirce Approved with Exception Approved except as to the penalty Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98468 https://www.sec.gov/litigation/opinions/2023/34-98468.pdf 2023-09-21 Zenosense, Inc. Zenosense, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98470 https://www.sec.gov/litigation/opinions/2023/34-98470.pdf 2023-09-21 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. DreamFunded Marketplace, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Fernandez, Manuel Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6426 https://www.sec.gov/litigation/admin/2023/ia-6426.pdf 2023-09-21 Ichioka Ventures Ichioka, William K. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98478 https://www.sec.gov/litigation/admin/2023/34-98478.pdf 2023-09-22 Carl M. Hennig, Inc. Carl M. Hennig, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98479 https://www.sec.gov/litigation/admin/2023/34-98479.pdf 2023-09-22 Deficient Bluesheet Filings Goldman Sachs & Co. LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98482 https://www.sec.gov/litigation/admin/2023/34-98482.pdf 2023-09-22 Citadel Securities, LLC Citadel Securities, LLC Gensler Approved Peirce Approved with Exception Approved except as to the undertakings Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98485 https://www.sec.gov/litigation/admin/2023/34-98485.pdf 2023-09-22 Douglas Hawkins Hawkins, Douglas, Esq. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6428 https://www.sec.gov/litigation/admin/2023/ia-6428.pdf 2023-09-22 American Infrastructure Funds, LLC American Infrastructure Funds, LLC Gensler Approved Peirce Approved with Exception Approved except as to the penalty Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6429 https://www.sec.gov/litigation/admin/2023/ia-6429.pdf 2023-09-22 Morgan Stanley Investment Management, Inc. Cross Trades Doyle, Elsa M. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11226 https://www.sec.gov/litigation/admin/2023/33-11226.pdf 2023-08-28 Impact Theory, LLC Impact Theory, LLC Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 33-11227 https://www.sec.gov/litigation/admin/2023/33-11227.pdf 2023-08-28 Legacy Hospitality II, LLC Legacy Hospitality II, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Legendary Capital REIT III, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Maple, Corey R. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98229 https://www.sec.gov/litigation/admin/2023/34-98229.pdf 2023-08-28 Roadrunner Transportation Systems, Inc. Armbruster, Peter CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98230 https://www.sec.gov/litigation/opinions/2023/34-98230.pdf 2023-08-28 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Felix, Wilfredo Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98234 https://www.sec.gov/litigation/admin/2023/34-98234.pdf 2023-08-29 Archipelago Trading Services, Inc. Archipelago Trading Services, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98238 https://www.sec.gov/litigation/admin/2023/34-98238.pdf 2023-08-29 Citigroup Global Markets, Inc. Citigroup Global Markets, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98243 https://www.sec.gov/litigation/admin/2023/34-98243.pdf 2023-08-30 Plug Power Inc. Plug Power Inc. Gensler Approved Peirce Approved with Exception Approved except as to the penalty Crenshaw Approved Uyeda Approved with Exception Approved except as to the penalty Lizárraga Approved 34-98244 https://www.sec.gov/litigation/admin/2023/34-98244.pdf 2023-08-30 Accanito Capital Group, LLC Cathey, Blake Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98245 https://www.sec.gov/litigation/opinions/2023/34-98245.pdf 2023-08-30 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Alpine Securities Corporation Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98246 https://www.sec.gov/litigation/admin/2023/34-98246.pdf 2023-08-30 Leroy King King, Leroy Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98248 https://www.sec.gov/litigation/admin/2023/34-98248.pdf 2023-08-30 Prosper Wealth Management, LLC Liddle, Anthony B. Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6391 https://www.sec.gov/litigation/admin/2023/ia-6391.pdf 2023-08-30 RSF Capital, LP Stickforth, Chad Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6379 https://www.sec.gov/files/litigation/admin/2023/ia-6379.pdf 2023-08-19 Chastain, Carla Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98186 https://www.sec.gov/litigation/admin/2023/34-98186.pdf 2023-08-21 MiMedx Group, Inc. Senken, Michael J. Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved IA-6380 https://www.sec.gov/litigation/admin/2023/ia-6380.pdf 2023-08-21 Titan Global Capital Management USA Inc. Titan Global Capital Management USA Inc. LLC Gensler Approved Peirce Approved with Exception Approved except as to the disgorgement Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98188 https://www.sec.gov/litigation/admin/2023/34-98188.pdf 2023-08-22 Form NT Enforcement Initiative Black Spade Acquisition Co Gensler Approved Peirce Approved with Exception Approved except as to the penalty Crenshaw Approved Uyeda Approved with Exception Approved except as to the penalty Lizárraga Approved 34-98190 https://www.sec.gov/litigation/admin/2023/34-98190.pdf 2023-08-22 Form NT Enforcement Initiative Alpine 4 Holdings Co. Gensler Approved Peirce Approved with Exception Approved except as to the penalty Crenshaw Approved Uyeda Approved with Exception Approved except as to the penalty Lizárraga Approved 34-98191 https://www.sec.gov/litigation/admin/2023/34-98191.pdf 2023-08-22 D. Brooks and Associates CPA’s P.A. Brooks, David D. CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98192 https://www.sec.gov/litigation/admin/2023/34-98192.pdf 2023-08-22 Form NT Enforcement Initiative Omnia Wellness Inc. Gensler Approved Peirce Approved with Exception Approved except as to the penalty Crenshaw Approved Uyeda Approved with Exception Approved except as to the penalty Lizárraga Approved 34-98193 https://www.sec.gov/litigation/admin/2023/34-98193.pdf 2023-08-22 Form NT Enforcement Initiative ReShape Lifesciences Inc. Gensler Approved Peirce Approved with Exception Approved except as to the penalty Crenshaw Approved Uyeda Approved with Exception Approved except as to the penalty Lizárraga Approved 34-98194 https://www.sec.gov/litigation/admin/2023/34-98194.pdf 2023-08-22 Form NT Enforcement Initiative Vivic Corp. Gensler Approved Peirce Approved with Exception Approved except as to the penalty Crenshaw Approved Uyeda Approved with Exception Approved except as to the penalty Lizárraga Approved IA-6381 https://www.sec.gov/litigation/admin/2023/ia-6381.pdf 2023-08-22 Fundrise Advisors, LLC Fundrise Advisors, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98203 https://www.sec.gov/litigation/opinions/2023/34-98203.pdf 2023-08-23 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Bryant, Robert L. III Gensler Peirce Crenshaw Uyeda Lizárraga 34-98210 https://www.sec.gov/litigation/opinions/2023/34-98210.pdf 2023-08-24 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Ingle, David W. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98218 https://www.sec.gov/litigation/admin/2023/34-98218.pdf 2023-08-24 Billings, Mac Wayne, CPA Billings, Mac Wayne CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11224 https://www.sec.gov/rules/other/2023/33-11224.pdf 2023-08-25 Order Making Fiscal Year 2024 Annual Adjustments to the Fee Rates Applicable Under Section 6(b) of the Securities Act of 1933 (“Securities Act”) and Sections 13(e) and 14(g) of the Securities Exchange Act of 1934 (“Exchange Act”). Order Making Fiscal Year 2024 Annual Adjustments to the Fee Rates Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11225 https://www.sec.gov/rules/other/2023/33-11225.pdf 2023-08-25 Regulatory Flexibility Act Agenda Regulatory Flexibility Act Agenda Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98222 https://www.sec.gov/litigation/admin/2023/34-98222.pdf 2023-08-25 3M Company 3M Company Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved with Exception Approved except as to the disgorgement and prejudgement interest Lizárraga Approved 34-98118 https://www.sec.gov/litigation/admin/2023/34-98118.pdf 2023-08-14 Akazoo S.A. Crowe U.K. LLP Gensler Approved Peirce Approved with Exception Approved except as to the Section 14(a) and Rule 14a-9 charges, and certain undertakings Crenshaw Approved Uyeda Approved Lizárraga Approved Bostock, Nigel D. FCA Gensler Approved Peirce Approved with Exception Approved except as to the Section 14(a) and Rule 14a-9 charges Crenshaw Approved Uyeda Approved Lizárraga Approved Stallabrass, Matthew C. FCA Gensler Approved Peirce Approved with Exception Approved except as to the Section 14(a) and Rule 14a-9 charges Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98120 https://www.sec.gov/litigation/opinions/2023/34-98120.pdf 2023-08-14 Nicholi Mandracken Mandracken, Nicholi Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98124 https://www.sec.gov/litigation/opinions/2023/34-98124.pdf 2023-08-14 Robert Marcus Lane Lane, Robert Marcus Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11222 https://www.sec.gov/litigation/admin/2023/33-11222.pdf 2023-08-15 DPW Holdings, Inc. Ault Alliance, Inc.f/k/a BitNile Holdings, Inc., Ault Global Holdings, Inc., DPW Holdings, Inc., and Digital Power Corporation Gensler Approved Peirce Approved with Exception Approved except as to the penalty Crenshaw Approved Uyeda Approved with Exception Approved except as to the penalty Lizárraga Approved Ault, Milton Charles III (“Todd”) Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Horne, William B. CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11223 https://www.sec.gov/litigation/admin/2023/33-11223.pdf 2023-08-15 Malvern Bancorp Malvern Bancorp, Inc. Gensler Approved Peirce Approved with Exception Approved except as to the penalty Crenshaw Approved Uyeda Approved with Exception Approved except as to the penalty Lizárraga Approved Gangemi, Joseph D. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98133 https://www.sec.gov/litigation/admin/2023/34-98133.pdf 2023-08-15 Certain Market Making Practices Involving Microcap Securities Anglim, James P. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98141 https://www.sec.gov/litigation/admin/2023/34-98141.pdf 2023-08-16 Secured Income Group, Inc. Porter, Stacey Marie Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98153 https://www.sec.gov/files/litigation/admin/2023/ap-34-98153.pdf 2023-08-17 DST Asset Manager Solutions, Inc. DST Asset Manager Solutions, Inc. Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 34-98154 https://www.sec.gov/litigation/admin/2023/34-98154.pdf 2023-08-17 Joseph Michael Todd Todd, Joseph Michael Gensler Approved Peirce Approved with Exception Approved except as to the penny stock and officer and director bars Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98166 https://www.sec.gov/litigation/admin/2023/34-98166.pdf 2023-08-18 Ronald D. Swanson Swanson, Ronald D. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98202 2023-08-23 Ronald D. Swanson Exemption for Certain Exchange Members Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved IA-6383 2023-08-23 Ronald D. Swanson Private Fund Advisers; Documentaiton of Registerd Investement Adviser Compliance Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved IA-6384 2023-08-23 Ronald D. Swanson Safeguarding Advisory Client Assets; Reopening of Comment Period Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11218 https://www.sec.gov/litigation/admin/2023/33-11218.pdf 2023-08-07 EIA All Weather Alpha Fund Partners, LLC Theorem Fund Services, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11219 https://www.sec.gov/litigation/admin/2023/33-11219.pdf 2023-08-07 Outstanding Real Estate Solutions, Inc. White, Lawrence K., CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11220 https://www.sec.gov/litigation/admin/2023/33-11220.pdf 2023-08-07 CS Manager, LLC CS Manager, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Sica Wealth Management, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Circle Squared Alternative Investments, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Sica, Jeffrey C. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Costa, Cheryl Lynne Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98067 https://www.sec.gov/litigation/opinions/2023/34-98067.pdf 2023-08-07 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Wilson-Davis & Co. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Snow, James C. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Barkley, Bryon B. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11221 https://www.sec.gov/litigation/admin/2023/33-11221.pdf 2023-08-08 Certain Broker Dealer Practices and Wells Fargo Record Retention BNP Paribas Securities Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Houlihan Lokey Capital, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Mizuho Securities USA LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Moelis & Company LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved SG Americas Securities, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved SMBC Nikko Securities America, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Wedbush Securities Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved BMO Capital Markets Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Wells Fargo Securities, LLC, Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Wells Fargo Clearing Services, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Wells Fargo Advisors Financial Network, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98074 https://www.sec.gov/litigation/admin/2023/34-98074.pdf 2023-08-08 Certain Broker Dealer Practices and Wells Fargo Record Retention Wedbush Securities Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98075 https://www.sec.gov/litigation/admin/2023/34-98075.pdf 2023-08-08 Certain Broker Dealer Practices and Wells Fargo Record Retention SMBC Nikko Securities America, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98076 https://www.sec.gov/litigation/admin/2023/34-98076.pdf 2023-08-08 Certain Broker Dealer Practices and Wells Fargo Record Retention Wells Fargo Securities, LLC, Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Wells Fargo Clearing Services, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Wells Fargo Advisors Financial Network, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98077 https://www.sec.gov/litigation/admin/2023/34-98077.pdf 2023-08-08 Certain Broker Dealer Practices and Wells Fargo Record Retention Houlihan Lokey Capital, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98078 https://www.sec.gov/litigation/admin/2023/34-98078.pdf 2023-08-08 Certain Broker Dealer Practices and Wells Fargo Record Retention Moelis & Company LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98079 https://www.sec.gov/litigation/admin/2023/34-98079.pdf 2023-08-08 Certain Broker Dealer Practices and Wells Fargo Record Retention BNP Paribas Securities Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98080 https://www.sec.gov/litigation/admin/2023/34-98080.pdf 2023-08-08 Certain Broker Dealer Practices and Wells Fargo Record Retention BMO Capital Markets Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98081 https://www.sec.gov/litigation/admin/2023/34-98081.pdf 2023-08-08 Certain Broker Dealer Practices and Wells Fargo Record Retention Mizuho Securities USA LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98082 https://www.sec.gov/litigation/admin/2023/34-98082.pdf 2023-08-08 Certain Broker Dealer Practices and Wells Fargo Record Retention SG Americas Securities, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98098 https://www.sec.gov/litigation/opinions/2023/34-98098.pdf 2023-08-09 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Tweed, Robert R. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98100 https://www.sec.gov/litigation/opinions/2023/34-98100.pdf 2023-08-10 Noble Vici Group, Inc. Noble Vici Group, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98102 https://www.sec.gov/litigation/opinions/2023/34-98102.pdf 2023-08-10 Sandeep Varma Varma, Sandeep Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98103 https://www.sec.gov/litigation/admin/2023/34-98103.pdf 2023-08-10 Grupo Aval SA Grupo Aval Acciones y Valores S.A. Gensler Approved Peirce Approved with Exception Approved except as to the disgorgement and prejudgment interest Crenshaw Approved Uyeda Approved Lizárraga Approved Corporación Financiera Colombiana S.A. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98117 https://www.sec.gov/rules/other/2023/34-98117.pdf 2023-08-11 Extension of Withdrawal from Registration as a Broker-Dealer by Monmouth Capital Management LLC Monmouth Capital Management LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98030 https://www.sec.gov/files/litigation/admin/2023/34-98030.pdf 2023-08-01 MusclePharm Corporation Browne, John R. CPA Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98031 https://www.sec.gov/files/litigation/admin/2023/34-98031.pdf 2023-08-01 Southport Capital, Inc. Woods, John J. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98034 https://www.sec.gov/files/litigation/admin/2023/34-98034.pdf 2023-08-01 ETF Managers Group LLC ETF Managers Group LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Exchange Traded Managers Group LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Masucci, Samuel R. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6361 https://www.sec.gov/files/litigation/admin/2023/ia-6361.pdf 2023-08-01 SEC v. Woodard Woodard, Steven Keith Sr. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11217 https://www.sec.gov/files/litigation/admin/2023/33-11217.pdf 2023-08-04 Canoo Inc. Canoo, Inc. Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved with Exception Approved except as to the civil penalty Lizárraga Approved 34-98054 https://www.sec.gov/files/rules/other/2023/34-98054.pdf 2023-08-04 Claims for Award 2020-078 Claimant 1 Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Claimant 2 Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Claimant 3 Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Claimant 4 Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Claimant 5 Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Claimant 6 Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Claimant 7 Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Claimant 8 Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Claimant 10 Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98064 https://www.sec.gov/files/rules/sro/nscc/2023/34-98064.pdf 2023-08-04 Advance Notice Filed with the Commission Pursuant to the Payment, Clearing, and Settlement Supervision Act of 2010 by the National Securities Clearing Corporation Regarding Certain Enhancements to the Gap Risk Measure and the VaR Charge National Securities Clearing Corporation Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6363 https://www.sec.gov/files/litigation/admin/2023/ia-6363.pdf 2023-08-04 Standard Advisory Services Limited Herwig, Christopher Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98027 https://www.sec.gov/files/litigation/opinions/2023/34-98027.pdf 2023-07-31 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Alpine Securities Corporation Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6358 https://www.sec.gov/files/rules/ia/2023/ia-6358.pdf 2023-07-31 Platinum Management (NY) LLC Huberfeld, Murray A. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6359 https://www.sec.gov/files/rules/ia/2023/ia-6359.pdf 2023-07-31 Platinum Management (NY) LLC Feuer, Moshe aka “Mark” Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Taylor, Scott A. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97965 https://www.sec.gov/litigation/opinions/2023/34-97965.pdf 2023-07-24 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley Bryant, Robert L., III Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97966 https://www.sec.gov/litigation/opinions/2023/34-97966.pdf 2023-07-24 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley Kielczewski, William Joseph Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97967 https://www.sec.gov/litigation/opinions/2023/34-97967.pdf 2023-07-24 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley Lonske, Jonathan William Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6355 https://www.sec.gov/litigation/admin/2023/ia-6355.pdf 2023-07-26 Safeguard Metals LLC Ikahn, Jeffrey (f/k/a Jeffrey S. Santulan) Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98003 https://www.sec.gov/rules/sro/finra/2023/34-98003.pdf 2023-07-27 Petition for the Commission to review the Division’s action by delegated authority approving a proposed rule change by the Financial Industry Regulatory Authority, Inc. to Amend the Requirements for Covered Agency Transactions under FINRA Rule 4210 (Margin Requirements) as Approved Pursuant to SR-FINRA-2015-036, Securities Exchange Act of 1934 Release No. 94013 (Jan. 20, 2022). Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Setting Aside Action by Delegated Authority and Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Requirements for Covered Agency Transactions under FINRA Rule 4210 (Margin Requirements) as Approved Pursuant to SR-FINRA-2015-036 Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-98023 https://www.sec.gov/files/rules/exorders/2023/34-98023.pdf 2023-07-28 Publication of Order Granting Temporary Conditional Exemption Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 and Rule 608(e) of Regulation NMS Under the Exchange Act, Relating to the Reporting of Certain Activities on the Floor of National Securities Exchanges and Certain Activities by Industry Members Off Exchange Floors, as Required by Section 6.4(d) of the National Market System Plan Governing the Consolidated Audit Trail Order Granting a Temporary Conditional Exemption Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 and Rule 608(e) of Regulation NMS Under the Exchange Act, Relating to the Reporting of Certain Activities on the Floor of National Securities Exchanges and Certain Activities by Industry Members Off Exchange Floors, as Required by Section 6.4(d) of the National Market System Plan Governing the Consolidated Audit Trail Gensler Approved Peirce Approved Crenshaw Not Approved Uyeda Approved Lizárraga Not Approved 34-97915 https://www.sec.gov/litigation/admin/2023/34-97915.pdf 2023-07-17 Pandion Therapeutics, Inc Jagota, Nirdosh Gensler Approved Peirce Approved with Exception Approved except as to the officer and director bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97917 https://www.sec.gov/litigation/opinions/2023/34-97917.pdf 2023-07-17 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley Lykos, Jr., Thomas John Jr. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97918 https://www.sec.gov/litigation/opinions/2023/34-97918.pdf 2023-07-17 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley Johnson, Thomas Lee Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11212 https://www.sec.gov/litigation/admin/2023/33-11212.pdf 2023-07-18 MusclePharm Corp. Harris, Kevin R. CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97931 https://www.sec.gov/litigation/admin/2023/34-97931.pdf 2023-07-18 Reinstatement Application of Theodore R. Maloney, Esq. Maloney, Theodore R. Esq. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97937 https://www.sec.gov/litigation/admin/2023/34-97937.pdf 2023-07-18 Fifth Third Securities, Inc. Fifth Third Securities, Inc. Gensler Approved Peirce Approved with Exception Approved except as to the disgorgement and prejudgment interest Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97941 https://www.sec.gov/litigation/opinions/2023/34-97941.pdf 2023-07-18 Michelle L. Helterbran Cochran, CPA Helterbran Cochran, Michelle L. CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97949 https://www.sec.gov/litigation/admin/2023/34-97949.pdf 2023-07-19 Value Line, Inc., et al. Value Line, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Value Line Securities, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Buttner, Jean Bernhard Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizarraga Approved Henigson, David Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11213 https://www.sec.gov/litigation/admin/2023/33-11213.pdf 2023-07-20 Digital World Acquisition Corp. Digital World Acquisition Corp. Gensler Approved Peirce Approved with Exception Approved except as to the penalty Crenshaw Approved Uyeda Not Approved Lizárraga Approved 34-97954 https://www.sec.gov/litigation/opinions/2023/34-97954.pdf 2023-07-20 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley Southeast Investments, N.C., Inc Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Black, Frank Harmon Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97957 https://www.sec.gov/litigation/admin/2023/34-97957.pdf 2023-07-20 Certain Private Fund Advisers Involved in SPACs Monroe Capital Management Advisors, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11215 https://www.sec.gov/litigation/admin/2023/33-11215.pdf 2023-07-21 Quantstamp, Inc. Quantstamp, Inc. Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 34-97963 https://www.sec.gov/litigation/opinions/2023/34-97963.pdf 2023-07-21 Hughe Duwayne Graham Graham, Hughe Duwayne Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11216 https://www.sec.gov/rules/final/2023/33-11216.pdf 2023-07-26 Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 34-97990 https://www.sec.gov/rules/proposed/2023/34-97990.pdf 2023-07-26 Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved IA-6354 https://www.sec.gov/rules/proposed/2023/ia-6354.pdf 2023-07-26 Exemption for Certain Investment Advisers Operating Through the Internet Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97860 https://www.sec.gov/litigation/opinions/2023/34-97860.pdf 2023-07-10 Michael Joseph Clarke Clarke, Michael Joseph Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97863 https://www.sec.gov/litigation/opinions/2023/34-97863.pdf 2023-07-10 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley Johnston, Jennifer Anne Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97864 https://www.sec.gov/litigation/opinions/2023/34-97864.pdf 2023-07-10 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley Smith, Eric S. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97865 https://www.sec.gov/litigation/opinions/2023/34-97865.pdf 2023-07-10 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley Tweed, Robert R. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97866 https://www.sec.gov/litigation/opinions/2023/34-97866.pdf 2023-07-10 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley Eyecity.com, Inc. (n/k/a Carex Blockchain Platform, Inc.) Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97867 https://www.sec.gov/litigation/opinions/2023/34-97867.pdf 2023-07-10 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley Gray, Michele Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97868 https://www.sec.gov/litigation/opinions/2023/34-97868.pdf 2023-07-10 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley Jones, Robbi J. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Kipling Jones & Co., Ltd. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97872 https://www.sec.gov/litigation/admin/2023/34-97872.pdf 2023-07-11 Merrill Lynch, Pierce, Fenner & Smith Incorporated Merrill Lynch, Pierce, Fenner & Smith Incorporated Gensler Approved Peirce Approved Crenshaw Not Participating Uyeda Approved Lizárraga Approved BAC North America Holding Co. Gensler Approved Peirce Approved Crenshaw Not Participating Uyeda Approved Lizárraga Approved IA-6341 https://www.sec.gov/litigation/admin/2023/ia-6341.pdf 2023-07-11 Ramas Capital Management, LLC Betanabhatla, Ganesh H. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97878 https://www.sec.gov/litigation/admin/2023/34-97878.pdf 2023-07-12 RSE Markets, Inc. RSE Markets, Inc. Gensler Approved Peirce Approved with Exception Aproved except as to the penalty Crenshaw Not Participating Uyeda Approved Lizárraga Approved 34-97886 https://www.sec.gov/litigation/admin/2023/34-97886.pdf 2023-07-12 Criterion Wealth Management Insurance Services, Inc. Gravette, Robert Allen Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6348 https://www.sec.gov/litigation/opinions/2023/ia-6348.pdf 2023-07-13 Dean Mustaphalli Mustaphalli, Dean Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97906 https://www.sec.gov/litigation/admin/2023/34-97906.pdf 2023-07-14 Cantor Fitzgerald & Co. Cantor Fitzgerald & Co. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97911 https://www.sec.gov/litigation/opinions/2023/34-97911.pdf 2023-07-14 Calmare Therapeutics Inc. Calmare Therapeutics Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11206 https://www.sec.gov/litigation/admin/2023/33-11206.pdf 2023-07-03 Future FinTech Group Inc. Future FinTech Group Inc. Gensler Approved Peirce Approved with Exception Approved except as to the penalty Crenshaw Approved Uyeda Approved with Exception Approved except as to the penalty Lizárraga Approved 33-11208 https://www.sec.gov/litigation/admin/2023/33-11208.pdf 2023-07-03 View, Inc. View, Inc. Gensler Approved Peirce Approved Crenshaw Not Participating Uyeda Approved Lizárraga Approved 34-97834 https://www.sec.gov/litigation/admin/2023/34-97834.pdf 2023-07-05 Co-Diagnostics, Inc. Benson, Andrew B. Gensler Approved Peirce Approved with Exception Approved except as to Section 17(a)(2) and (3) charges and the penalty Crenshaw Approved Uyeda Approved with Exception Approved except as to the Section 17(a)(2) and(3) charges and the penalty Lizárraga Approved 34-97835 https://www.sec.gov/litigation/admin/2023/34-97835.pdf 2023-07-05 Co-Diagnostics, Inc. Benson, Reed L., CPA Gensler Approved Peirce Approved with Exception Approved except as to the penalty Crenshaw Approved Uyeda Approved with Exception Approved except as to the penalty Lizárraga Approved IC-34956 https://www.sec.gov/rules/ic/2023/ic-34956.pdf 2023-07-05 Application of Credit Suisse Asset Management, LLC, et al. Credit Suisse Asset Management, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Credit Suisse Asset Management Limited Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Credit Suisse Securities (USA) LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Credit Suisse First Boston Mortgage Securities Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved DLJ Mortgage Capital, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Credit Suisse AG Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97845 https://www.sec.gov/litigation/admin/2023/34-97845.pdf 2023-07-06 Jefferson Street Capital Pantofel, Bryan Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 34-97847 https://www.sec.gov/litigation/admin/2023/34-97847.pdf 2023-07-06 Jefferson Street Capital BHP Capital NY, Inc. Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 34-97852 https://www.sec.gov/litigation/admin/2023/34-97852.pdf 2023-07-07 Ranger Land & Minerals LLC Baker, William Glen Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97854 https://www.sec.gov/litigation/admin/2023/34-97854.pdf 2023-07-07 American Realty Capital Properties Inc. VEREIT, Inc.formerly known as American Realty Capital Properties Inc. (“ARCP”) Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97857 https://www.sec.gov/litigation/opinions/2023/34-97857.pdf 2023-07-07 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley Wilson-Davis & Co. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Snow, James C. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Barkley, Byron B. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97858 https://www.sec.gov/litigation/admin/2023/34-97858.pdf 2023-07-07 Sanomedics and Other Microcap Issuers Long, James Wayne Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97859 https://www.sec.gov/litigation/admin/2023/34-97859.pdf 2023-07-07 Sanomedics and Other Microcap Issuers Wheeler, Matthew William Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11211 https://www.sec.gov/rules/final/2023/33-11211.pdf 2023-07-12 Money Market Fund Reforms; Form PF Reporting Requirements for Large Liquidity Fund Advisers; Technical Amendments to Form N-CSR and Form N-1A Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 34-97877 https://www.sec.gov/rules/proposed/2023/34-97877.pdf 2023-07-12 Daily Computation of Customer and Broker-Dealer Reserve Requirements under the Broker-Dealer Customer Protection Rule Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97799 https://www.sec.gov/litigation/opinions/2023/34-97799.pdf 2023-06-26 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Metatron, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97806 https://www.sec.gov/litigation/opinions/2023/34-97806.pdf 2023-06-27 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Deep ATS, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97820 https://www.sec.gov/litigation/admin/2023/34-97820.pdf 2023-06-29 Coherent, Inc. Bhardwaj, Ashutosh Gensler Approved Peirce Approved with Exception Approved except as to disgorgement and prejudgment interest Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97821 https://www.sec.gov/litigation/opinions/2023/34-97821.pdf 2023-06-29 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Clarke, Michael Joseph Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97822 https://www.sec.gov/litigation/opinions/2023/34-97822.pdf 2023-06-29 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Alpine Securities Corporation Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97827 https://www.sec.gov/litigation/admin/2023/34-97827.pdf 2023-06-30 Mansfield-Martin Exploration Mining, Inc. & Certain Other Microcap Issuers Durante, Damon R. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97828 https://www.sec.gov/litigation/admin/2023/34-97828.pdf 2023-06-30 Benecke Economics Benecke, Robert L. dba Benecke Economics Gensler Approved Peirce Approved with Exception Approved except as to the MSRB Rule G-17 charge and prohibition under Investment Company Act Section 9(b) Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97753 https://www.sec.gov/litigation/opinions/2023/34-97753.pdf 2023-06-20 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Southeast Investments, N.C., Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Black, Frank Harmon Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97754 https://www.sec.gov/litigation/opinions/2023/34-97754.pdf 2023-06-20 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Titan Securities Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Brooks, Brad C. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97755 https://www.sec.gov/litigation/admin/2023/34-97755.pdf 2023-06-20 Vesta Advisors, LLC Coleman, Joshua W. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97758 https://www.sec.gov/litigation/opinions/2023/34-97758.pdf 2023-06-20 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Dakota Securities International, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Zipper, Bruce Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97760 https://www.sec.gov/litigation/admin/2023/34-97760.pdf 2023-06-20 Stanley Black & Decker, Inc. Ansell, Jeffery D. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97761 https://www.sec.gov/litigation/admin/2023/34-97761.pdf 2023-06-20 Stanley Black & Decker, Inc. Stanley Black & Decker, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6332 https://www.sec.gov/litigation/admin/2023/ia-6332.pdf 2023-06-20 Insight Venture Partners Insight Venture Management, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved IC-34945 https://www.sec.gov/rules/ic/2023/ic-34945.pdf 2023-06-20 Hearing request on the Notice of Application and Temporary Order under section 22(e)(3) of the Investment Company Act of 1940 issued on December 28, 2023 to VanEck ETF Trust, on behalf of its series, VanEck Russia ETF and VanEck Russia Small-Cap ETF, and to Van Eck Associates Corporation, the Funds’ investment adviser in Investment Company Act Release No. 34793 VanEck Russia ETF Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved VanEck Russia Small-Cap ETF, Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Series of VanEck ETF Trust Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Van Eck Associates Corporation Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97773 https://www.sec.gov/litigation/admin/2023/34-97773.pdf 2023-06-21 Marcum LLP Marcum LLP Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97776 https://www.sec.gov/litigation/opinions/2023/34-97776.pdf 2023-06-21 Mitchell B. Dow Dow, Mitchell B. Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97777 https://www.sec.gov/litigation/opinions/2023/34-97777.pdf 2023-06-21 Alexander Charles White White, Alexander Charles Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97778 https://www.sec.gov/litigation/opinions/2023/34-97778.pdf 2023-06-21 William Harper Minor, Jr. Minor, William Harper Jr. Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97779 https://www.sec.gov/litigation/opinions/2023/34-97779.pdf 2023-06-21 Steve G. Blasko Blasko, Steve G. Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6333 https://www.sec.gov/litigation/admin/2023/ia-6333.pdf 2023-06-21 Pratt Collard Advisory Partners Campbell, Jennifer Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97787 https://www.sec.gov/litigation/admin/2023/34-97787.pdf 2023-06-22 JP Morgan Securities LLC J.P. Morgan Securities LLC Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97791 https://www.sec.gov/litigation/opinions/2023/34-97791.pdf 2023-06-23 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Bryant, Robert L. III Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97796 https://www.sec.gov/litigation/opinions/2023/34-97796.pdf 2023-06-23 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. DreamFunded Marketplace, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Fernandez, Manuel Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97695 https://www.sec.gov/litigation/opinions/2023/34-97695.pdf 2023-06-12 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Cantone Research Group, Inc Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Acantone, Anthony Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Cantone, Christine Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97696 https://www.sec.gov/litigation/opinions/2023/34-97696.pdf 2023-06-12 CNS Pharmaceuticals, Inc., et al. WPD Pharmaceuticals, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Olejniczak, Mariusz Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97698 https://www.sec.gov/litigation/opinions/2023/34-97698.pdf 2023-06-12 CNS Pharmaceuticals, Inc., et al. CNS Pharmaceuticals, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Climaco, John M. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97700 https://www.sec.gov/litigation/opinions/2023/34-97700.pdf 2023-06-12 CNS Pharmaceuticals, Inc., et al. Lord Global Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97701 https://www.sec.gov/litigation/opinions/2023/34-97701.pdf 2023-06-12 Robert Juan Escobio Escobio, Robert Juan Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97702 https://www.sec.gov/litigation/opinions/2023/34-97702.pdf 2023-06-12 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Logan, Matthew R. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97703 https://www.sec.gov/litigation/opinions/2023/34-97703.pdf 2023-06-12 CNS Pharmaceuticals, Inc., et al. Moleculin Biotech, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Klemp, Walter V. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97704 https://www.sec.gov/litigation/opinions/2023/34-97704.pdf 2023-06-12 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Silver Leaf Partners, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97705 https://www.sec.gov/litigation/opinions/2023/34-97705.pdf 2023-06-12 CNS Pharmaceuticals, Inc., et al. Rising Biosciences, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97721 https://www.sec.gov/litigation/opinions/2023/34-97721.pdf 2023-06-14 Alton Theodore Davis, Jr. Davis, Alton Theodore Jr. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11205 https://www.sec.gov/rules/final/2023/33-11205.pdf 2023-06-15 Revisions to the Electronic Data Gathering, Analysis, and Retrieval system Filer Manual, Volume II Revisions to the Electronic Data Gathering, Analysis, and Retrieval system Filer Manual, Volume II Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97730 https://www.sec.gov/litigation/opinions/2023/34-97730.pdf 2023-06-15 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Lek Securities Corporation Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97740 https://www.sec.gov/litigation/admin/2023/34-97740.pdf 2023-06-16 McDermott International, Inc. Dickson, David Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved Spence, Stuart Andrew Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved IA-6328 https://www.sec.gov/litigation/admin/2023/ia-6328.pdf 2023-06-16 Pacific Investment Management Company, Closed-End Funds and Pacific Investment Management Company Fee Waiver Issues Pacific Investment Management Company, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6329 https://www.sec.gov/litigation/admin/2023/ia-6329.pdf 2023-06-16 Pacific Investment Management Company, Closed-End Funds and Pacific Investment Management Company Fee Waiver Issues Pacific Investment Management Company, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6330 https://www.sec.gov/litigation/admin/2023/ia-6330.pdf 2023-06-16 Adam Belardino Belardino, Adam Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97762 https://www.sec.gov/rules/proposed/2023/34-97762.pdf 2023-06-20 Reopening of Comment Period for Position Reporting of Large Security-Based Swap Positions Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11200 https://www.sec.gov/litigation/admin/2023/33-11200.pdf 2023-06-05 USA Technologies, Inc. Lawlor, Michael K. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11201 https://www.sec.gov/litigation/admin/2023/33-11201.pdf 2023-06-05 USA Technologies, Inc. Duska, Maeve McKenna Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11202 https://www.sec.gov/litigation/admin/2023/33-11202.pdf 2023-06-05 USA Technologies, Inc. Cantaloupe, Inc. formerly d/b/a USA Technologies, Gensler Approved Peirce Approved with Exception Approved except as to the penalty Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97655 https://www.sec.gov/litigation/admin/2023/34-97655.pdf 2023-06-06 Mark W. Heckele, Esq. Heckele, Mark W. Esq. Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97659 https://www.sec.gov/litigation/opinions/2023/34-97659.pdf 2023-06-07 American CryptoFed DAO LLC American CryptoFed DAO LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97660 https://www.sec.gov/litigation/admin/2023/34-97660.pdf 2023-06-07 Wellington Sports Club, LLC Ostertag, Damian Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97661 https://www.sec.gov/litigation/opinions/2023/34-97661.pdf 2023-06-07 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Wilson-Davis & Co Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Snow, James C. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Barkley, Byron B. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11203 https://www.sec.gov/litigation/admin/2023/33-11203.pdf 2023-06-08 Vitality Biopharma, Inc., and Other Issuers Martinez, Daniel V. Esq. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97670 https://www.sec.gov/litigation/admin/2023/34-97670.pdf 2023-06-08 William Andrew Stack Stack, William Andrew Esq. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6325 https://www.sec.gov/litigation/opinions/2023/ia-6325.pdf 2023-06-08 Richard Vu Nguyen Nguyen, Richard Vu Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11204 https://www.sec.gov/litigation/admin/2023/33-11204.pdf 2023-06-09 DiversyFund, Inc. DF Growth REIT II, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97680 https://www.sec.gov/litigation/opinions/2023/34-97680.pdf 2023-06-09 Ryan William Mummert Mummert, Ryan William Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97683 https://www.sec.gov/rules/other/2023/34-97683.pdf 2023-06-09 Claim for Award 2021-061 Claimant Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97684 https://www.sec.gov/litigation/opinions/2023/34-97684.pdf 2023-06-09 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Tweed, Robert R. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97685 https://www.sec.gov/litigation/admin/2023/34-97685.pdf 2023-06-09 Boyle CPA, LLC Boyle CPA, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Boyle, Robert Allan CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97634 https://www.sec.gov/litigation/opinions/2023/34-97634.pdf 2023-06-01 Curtis Richard Edmark Edmark, Curtis Richard Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6319 https://www.sec.gov/litigation/admin/2023/ia-6319.pdf 2023-06-01 RRBB Asset Management, LLC Schwartz, Carl S. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6320 https://www.sec.gov/litigation/admin/2023/ia-6320.pdf 2023-06-01 RRBB Asset Management, LLC Schwartz, Carl S., CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6321 https://www.sec.gov/litigation/opinions/2023/ia-6321.pdf 2023-06-01 Patrick Morgan Schiro Schiro, Patrick Morgan Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11198 https://www.sec.gov/litigation/opinions/2023/33-11198.pdf 2023-06-02 Resolution of Matters Named in the Control Deficiency Statement Stuck, Barton W. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Spectrascience, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved UBI Blockchain Internet Ltd. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Traqer Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Rystar Communications Ltd. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Spongetech Delivery Systems, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Globesat Holding Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Golden Goliath Resources Ltd. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Helterbran Cochran, Michelle L., CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Feathers, Mark Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved The Robare Group, Ltd. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Robare, Mark L. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Jones, Jack L., Jr. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Bebo, Laurie Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Clug, Alexandre S. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Carnahan, Timothy W. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved CYIOS Corporation Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Daspin, Edward M. (a/k/a "Edward (Ed) Michael") Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Kokesh, Charles R. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Gibson, Christopher M. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Winkelmann, James A., Sr. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Blue Ocean Portfolios LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Saving2Retire, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Young, Marian P. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Digital Brand Media & Marketing Group, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Intellicell Biosciences, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved INTREorg Systems, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Toda International Holdings Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Amundsen, Joseph S., CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Remus, Michael T., CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Rossi, Matthew R. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved SJL Capital, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved ERHC Energy, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Genoil Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Biovest International, Inc., Olie, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Olie, Inc. (n/k/a Syndicate Business Development Corp.) Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved StarGate Entertainment, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Atomic Paintball, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved North American Oil & Gas Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved VelaTel Global Communications, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved A.C. Simmonds and Sons, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Game Plan Holdings, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved HashingSpace Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved EliteSoft Global Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved StationDigital Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved New Western Energy Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Primco Management, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Evolucia, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved OSL Holdings, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Huixin Waste Water Solutions, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Wahl, Gregory A., CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Deutchman, Michael, CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Chung, Georgia, CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Wada, Jeffrey, CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Middendorf, David, CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved China Energy Technology Corp., Ltd. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Scarpino, Timothy C. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Wivolin, Heidi Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Johnson, Jennifer R. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Walker, Susan E. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Touizer, Daniel Joseph Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11199 https://www.sec.gov/litigation/opinions/2023/33-11199.pdf 2023-06-02 Resolution of Matters Named in the Control Deficiency Statement Levine, Dennis B. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Srebnik, Andrew A. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Blount, William B. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Rawitt, Stuart E. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved DeVito, Joseph Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Lyniuk, Roman Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Pinard, Dean Zinon Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Wanger, Eric David Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Gerasimowicz, Walter V. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Bruhn, Lyman J. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Cannon, Russell K. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Deal, Jon Harvey Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Zhou, Huakang Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Heiss, Lee Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Medvin, Jason Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Johnson, Michael H. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Miller, Everett C. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Dritsas, Demosthenes Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved MacDonald, Duncan J. III Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Crafton, Bill C. (Billy), Jr. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Salovay, Michael J. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Galemmo, Glen Allan Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Bergeron, Todd J. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Colangelo, Stephen A., Jr. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Brickman, Mark G. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Baratto, Mark E. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Hunter, Toby D. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Bied, Gregory Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Dorkan, Murat M. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Esposito, Dean A. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Becker, Shawn A. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Anisky, Douglas J. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Borg, Edward T. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Mulkeen, Brian J. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Goodland, James Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Arthur F. Jacob, CPA, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Brooks, Jonathan Warren Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Giordano, Joseph A. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Hartshorn, Bruce A. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Hurtado, Jose Alejandro Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Blount, John Steven Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Matthews, William Emery Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Nemeckay, Timothy A. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Hawkins, Brad R. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Watson, Pamella B. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Pincheira, Mario Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Kayatta, David Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Duban, Dennis, CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97656 https://www.sec.gov/rules/final/2023/34-97656.pdf 2023-06-07 Prohibition Against Fraud, Manipulation, or Deception in Connection with Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 34-97657 https://www.sec.gov/rules/final/2023/34-97657.pdf 2023-06-07 Removal of References to Credit Ratings from Regulation M Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97613 https://www.sec.gov/litigation/opinions/2023/34-97613.pdf 2023-05-30 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Start Scientific, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97614 https://www.sec.gov/litigation/opinions/2023/34-97614.pdf 2023-05-30 Certain Exchange Act Section 12(j) proceedings - less than 12 month delinquency Enigma MPC, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97615 https://www.sec.gov/litigation/opinions/2023/34-97615.pdf 2023-05-30 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Alpine Securities Corporation Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97617 https://www.sec.gov/litigation/opinions/2023/34-97617.pdf 2023-05-30 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Felix, Wilfredo Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97619 https://www.sec.gov/litigation/opinions/2023/34-97619.pdf 2023-05-30 Digital Brand Media & Marketing Group, Inc. Clarke, Michael Joseph Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97622 https://www.sec.gov/litigation/admin/2023/34-97622.pdf 2023-05-30 Certain Private Fund Advisers Involved in SPACs RTW Investments, LP Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97623 https://www.sec.gov/litigation/opinions/2023/34-97623.pdf 2023-05-31 Nancy Kimball Mellon Mellon, Nancy Kimball Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97625 https://www.sec.gov/litigation/admin/2023/34-97625.pdf 2023-05-31 American Realty Capital Properties Inc. VEREIT, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97631 https://www.sec.gov/litigation/admin/2023/34-97631.pdf 2023-05-31 First Guaranty Bancshares, Inc. First Guaranty Bancshares, Inc. Gensler Approved Peirce Approved with Exception Approved except as to the penalty Crenshaw Approved Uyeda Approved with Exception Approved except as to the penalty Lizárraga Approved 33-11195 https://www.sec.gov/litigation/admin/2023/33-11195.pdf 2023-05-22 Vitality Biopharma, Inc., and Other Issuers Jumani, Shirazali F. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97533 https://www.sec.gov/litigation/opinions/2023/34-97533.pdf 2023-05-22 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Basic Energy Services, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97534 https://www.sec.gov/litigation/opinions/2023/34-97534.pdf 2023-05-22 Certain Exchange Act Section 12(j) proceedings - less than 12 month delinquency Omphalos, Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97535 https://www.sec.gov/litigation/opinions/2023/34-97535.pdf 2023-05-22 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing WOD Retail Solutions, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97537 https://www.sec.gov/litigation/opinions/2023/34-97537.pdf 2023-05-22 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Flesche, Paul Eric Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97538 https://www.sec.gov/litigation/opinions/2023/34-97538.pdf 2023-05-22 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Wicker, Devin Lamarr Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6314 https://www.sec.gov/litigation/admin/2023/ia-6314.pdf 2023-05-22 BUYINS.NET, INC. Ronk, Thomas Carter Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11196 https://www.sec.gov/litigation/admin/2023/33-11196.pdf 2023-05-23 Gaia, Inc. Gaia, Inc. Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved with Exception Approved except as to the Rule 21F-17 charges Lizárraga Approved Tarell, Paul C. Jr., CPA Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97544 https://www.sec.gov/litigation/opinions/2023/34-97544.pdf 2023-05-23 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing BLGI, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97545 https://www.sec.gov/litigation/opinions/2023/34-97545.pdf 2023-05-23 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing FAB Universal Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97546 https://www.sec.gov/litigation/opinions/2023/34-97546.pdf 2023-05-23 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing NuGenerex Immuno-Oncology, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97555 https://www.sec.gov/litigation/opinions/2023/34-97555.pdf 2023-05-24 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Globe Photos, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97556 https://www.sec.gov/litigation/opinions/2023/34-97556.pdf 2023-05-24 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Original Source Music, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97557 https://www.sec.gov/litigation/opinions/2023/34-97557.pdf 2023-05-24 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Glohab, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97558 https://www.sec.gov/litigation/opinions/2023/34-97558.pdf 2023-05-24 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Bryant, Robert L. III Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6315 https://www.sec.gov/litigation/admin/2023/ia-6315.pdf 2023-05-24 Sciens Investment Management, LLC Sciens Diversified Managers, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Sciens Investment Management, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97572 https://www.sec.gov/litigation/opinions/2023/34-97572.pdf 2023-05-25 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Williamsville Sears Management, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97574 https://www.sec.gov/litigation/opinions/2023/34-97574.pdf 2023-05-25 John Doe Doe, John Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97577 https://www.sec.gov/litigation/opinions/2023/34-97577.pdf 2023-05-25 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Nerium Biotech., Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97578 https://www.sec.gov/litigation/opinions/2023/34-97578.pdf 2023-05-25 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Petrone Worldwide, Inc., Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97603 https://www.sec.gov/litigation/opinions/2023/34-97603.pdf 2023-05-26 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Ingle, David W. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97604 https://www.sec.gov/litigation/opinions/2023/34-97604.pdf 2023-05-26 Shaun Perry Nicholson Nicholson, Shaun Perry Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97606 https://www.sec.gov/litigation/opinions/2023/34-97606.pdf 2023-05-26 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing QMIS Finance Securities Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97609 https://www.sec.gov/litigation/admin/2023/34-97609.pdf 2023-05-26 Gartner, Inc. Gartner, Inc. Gensler Approved Peirce Approved with Exception Approved except for the Section 30A charge and the disgorgement and prejudgment interest Crenshaw Approved Uyeda Approved with Exception Approved except for the Section 30A charge and the disgorgement and prejudgment interest Lizárraga Approved 34-97500 https://www.sec.gov/litigation/opinions/2023/34-97500.pdf 2023-05-15 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Gibson, Christopher M. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97503 https://www.sec.gov/litigation/admin/2023/34-97503.pdf 2023-05-15 Quanta, Inc. Quanta, Inc. Gensler Approved Peirce Not Participating Crenshaw Approved Uyeda Not Participating Lizárraga Approved IA-6307 https://www.sec.gov/litigation/admin/2023/ia-6307.pdf 2023-05-15 Mustang Resources, Inc. Riley, Ryan R. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6308 https://www.sec.gov/litigation/opinions/2023/ia-6308.pdf 2023-05-15 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. The Robare Group, Ltd. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Robare, Mark L. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Jones, Jack L. Jr. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11184 https://www.sec.gov/litigation/admin/2023/33-11184.pdf 2023-05-16 CW Petroleum Corp., et al. DNA Brands, Inc. Gensler Approved Peirce Not Participating Crenshaw Approved Uyeda Not Participating Lizárraga Approved 33-11185 https://www.sec.gov/litigation/admin/2023/33-11185.pdf 2023-05-16 CW Petroleum Corp., et al. LiveWire Ergogenics, Inc. Gensler Approved Peirce Not Participating Crenshaw Approved Uyeda Not Participating Lizárraga Approved 33-11186 https://www.sec.gov/litigation/admin/2023/33-11186.pdf 2023-05-16 CW Petroleum Corp., et al. Graystone Company Inc. Gensler Approved Peirce Not Participating Crenshaw Approved Uyeda Not Participating Lizárraga Approved 33-11187 https://www.sec.gov/litigation/admin/2023/33-11187.pdf 2023-05-16 CW Petroleum Corp., et al. Principal Solar, Inc. Gensler Approved Peirce Not Participating Crenshaw Approved Uyeda Not Participating Lizárraga Approved 33-11188 https://www.sec.gov/litigation/admin/2023/33-11188.pdf 2023-05-16 CW Petroleum Corp., et al. SFLMaven Corp. Gensler Approved Peirce Not Participating Crenshaw Approved Uyeda Not Participating Lizárraga Approved 33-11189 https://www.sec.gov/litigation/admin/2023/33-11189.pdf 2023-05-16 CW Petroleum Corp., et al. Verde Bio Holdings, Inc. Gensler Approved Peirce Not Participating Crenshaw Approved Uyeda Not Participating Lizárraga Approved 33-11190 https://www.sec.gov/litigation/admin/2023/33-11190.pdf 2023-05-16 CW Petroleum Corp., et al. CW Petroleum Corp. Gensler Approved Peirce Not Participating Crenshaw Approved Uyeda Not Participating Lizárraga Approved 33-11191 https://www.sec.gov/litigation/admin/2023/33-11191.pdf 2023-05-16 CW Petroleum Corp., et al. The Marquie Group, Inc. Gensler Approved Peirce Not Participating Crenshaw Approved Uyeda Not Participating Lizárraga Approved 33-11192 https://www.sec.gov/litigation/admin/2023/33-11192.pdf 2023-05-16 CW Petroleum Corp., et al. Green Stream Holdings, Inc. Gensler Approved Peirce Not Participating Crenshaw Approved Uyeda Not Participating Lizárraga Approved 33-11193 https://www.sec.gov/litigation/admin/2023/33-11193.pdf 2023-05-16 CW Petroleum Corp., et al. Hemp Naturals, Inc. Gensler Approved Peirce Not Participating Crenshaw Approved Uyeda Not Participating Lizárraga Approved 34-97505 https://www.sec.gov/litigation/opinions/2023/34-97505.pdf 2023-05-16 Shaun Perry Nicholson Nicholson, Shaun Perry Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97507 https://www.sec.gov/litigation/admin/2023/34-97507.pdf 2023-05-16 Potential Identity Theft by Individuals Associated with a Broker-Dealer Ahmad, Alaa Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97508 https://www.sec.gov/litigation/admin/2023/34-97508.pdf 2023-05-16 Potential Identity Theft by Individuals Associated with a Broker-Dealer Ahmad, Abed Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97511 https://www.sec.gov/litigation/opinions/2023/34-97511.pdf 2023-05-16 Michael Andrew DeMaria DeMaria, Michael Andrew Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97514 https://www.sec.gov/rules/pcaob/2023/34-97514.pdf 2023-05-16 Public Company Accounting Oversight Board Rulemaking Public Company Accounting Oversight Board Rulemaking; Order Granting Approval of Proposed Amendments to Conform PCAOB Rule 6100 to the Consolidated Appropriations Act, 2023 Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97523 https://www.sec.gov/litigation/admin/2023/34-97523.pdf 2023-05-18 Increase Financial Strategies LLC Moon, Marcus Kovac Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Not Participating Lizárraga Approved IA-6310 https://www.sec.gov/litigation/admin/2023/ia-6310.pdf 2023-05-18 Moonwalkers Trading Kane, Michael Ross Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Not Participating 34-97529 https://www.sec.gov/rules/other/2023/34-97529.pdf 2023-05-19 Claim for Award 2015-70 Claimant Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97530 https://www.sec.gov/rules/exorders/2023/34-97530.pdf 2023-05-19 Order Granting Temporary Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 and Rule 608(e) of Regulation NMS under the Exchange Act, from Certain Requirements of the National Market System Plan Governing the Consolidated Audit Trail Order Granting Temporary Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 and Rule 608 (e) of Regulation NMS under the Exchange Act, from Certain Requirements of the National Market System Plan Governing the Consolidated Audit Trail Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97531 https://www.sec.gov/litigation/opinions/2023/34-97531.pdf 2023-05-19 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Southeast Investments, N.C., Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Black, Frank Harmon Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6312 https://www.sec.gov/litigation/admin/2023/ia-6312.pdf 2023-05-19 Diversified Global Investments (BVI), LP Callahan, Brian Raymond Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97449 https://www.sec.gov/rules/other/2023/34-97449.pdf 2023-05-08 Claim for Award 2017-074 Claimant Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97450 https://www.sec.gov/rules/other/2023/34-97450.pdf 2023-05-08 Claim for Award 2018-041 Claimant Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97451 https://www.sec.gov/litigation/opinions/2023/34-97451.pdf 2023-05-08 Kent Vincent Pearce Pearce, Kent Vincent Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97453 https://www.sec.gov/litigation/opinions/2023/34-97453.pdf 2023-05-08 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Wilson-Davis & Co. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Snow, James C. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Barkley, Byron B. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97458 https://www.sec.gov/litigation/opinions/2023/34-97458.pdf 2023-05-08 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Varma, Sandeep Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6305 https://www.sec.gov/litigation/admin/2023/ia-6305.pdf 2023-05-08 Infinity Capital Group, LLC Greenberg, Stuart Joel Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97463 https://www.sec.gov/litigation/admin/2023/34-97463.pdf 2023-05-09 CKB168 Holdings Limited Lin, Yao Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97474 https://www.sec.gov/litigation/opinions/2023/34-97474.pdf 2023-05-09 Conrad A. Coggeshall Coggeshall, Conrad A. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97470 https://www.sec.gov/litigation/admin/2023/34-97470.pdf 2023-05-10 MagnaChip Semiconductor Corporation, et al., MagnaChip Semiconductor Corporation Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Sakai, Margaret Hye-Ryoung CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97472 https://www.sec.gov/litigation/opinions/2023/34-97472.pdf 2023-05-10 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley, et al. Tweed, Robert R. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11182 https://www.sec.gov/rules/other/2023/33-11182.pdf 2023-05-11 Certain Broker Dealer Practices HSBC Securities (USA) Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Scotia Capital (USA) Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11183 https://www.sec.gov/litigation/admin/2023/33-11183.pdf 2023-05-11 Corporate Universe, Inc. Sutton, Isaac H. Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97476 https://www.sec.gov/litigation/admin/2023/34-97476.pdf 2023-05-11 Certain Broker Dealer Practices HSBC Securities (USA) Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97477 https://www.sec.gov/litigation/admin/2023/34-97477.pdf 2023-05-11 Certain Broker Dealer Practices Scotia Capital (USA) Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97479 https://www.sec.gov/litigation/admin/2023/34-97479.pdf 2023-05-11 Koninklijke Philips N.V. Koninklijke Philips N.V. Gensler Approved Peirce Not Participating Crenshaw Approved Uyeda Not Participating Lizárraga Approved 34-97485 https://www.sec.gov/litigation/opinions/2023/34-97485.pdf 2023-05-11 Roman Sledziejowski Sledziejowski, Roman Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97488 https://www.sec.gov/litigation/admin/2023/34-97488.pdf 2023-05-11 Matthew Eckstein Eckstein, Matthew Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97493 https://www.sec.gov/litigation/suspensions/2023/34-97493.pdf 2023-05-11 TOP Financial Group Ltd. TOP Financial Group Limited Gensler Approved Peirce Not Participating Crenshaw Approved Uyeda Not Participating Lizárraga Approved 34-97496 https://www.sec.gov/litigation/admin/2023/34-97496.pdf 2023-05-12 Arete, LLC Meissner, Kenneth C. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Scott, James Doug Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Tomich, Mark S. Mike Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97497 https://www.sec.gov/litigation/admin/2023/34-97497.pdf 2023-05-12 Trading in Certain Microcap Issuers Dillon, Alexander J. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97498 https://www.sec.gov/litigation/admin/2023/34-97498.pdf 2023-05-12 Trading in Certain Microcap Issuers Panait, Cosmin I. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97499 https://www.sec.gov/litigation/admin/2023/34-97499.pdf 2023-05-12 Vaxart, Inc. Dobberfuhl, Todd Gensler Approved Peirce Not Participating Crenshaw Approved Uyeda Not Participating Lizárraga Approved 34-97516 https://www.sec.gov/rules/proposed/2023/34-97516.pdf 2023-05-17 Covered Clearing Agency Resilience and Recovery and Wind-Down Plans Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11181 https://www.sec.gov/litigation/opinions/2023/33-11181.pdf 2023-05-01 Alpine Securities Corporation, et al. Winkelmann, James A. Sr. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Blue Ocean Portfolios LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97410 https://www.sec.gov/litigation/opinions/2023/34-97410.pdf 2023-05-01 Alpine Securities Corporation, et al. Davis, Alton Theodore, Jr. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97411 https://www.sec.gov/litigation/opinions/2023/34-97411.pdf 2023-05-01 Alpine Securities Corporation, et al. Remus, Michael T. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Michael Remus CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Amundsen, Joseph S. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97412 https://www.sec.gov/litigation/opinions/2023/34-97412.pdf 2023-05-01 Alpine Securities Corporation, et al. Pearce, Kent Vincent Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97413 https://www.sec.gov/litigation/opinions/2023/34-97413.pdf 2023-05-01 Alpine Securities Corporation, et al. Wahl, Gregory A., CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Deutchman, Michael, CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Chung, Georgia, CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97427 https://www.sec.gov/litigation/admin/2023/34-97427.pdf 2023-05-04 Classic Asset Management, LLC Classic Asset Management, LLC Gensler Approved Peirce Not Participating Crenshaw Approved Uyeda Approved Lizárraga Approved Schmitz, Douglas G. Gensler Approved Peirce Not Participating Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97433 https://www.sec.gov/litigation/admin/2023/34-97433.pdf 2023-05-04 Certain Unregistered Securities Transactions Stevenson,Ronald Frank Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6299 https://www.sec.gov/litigation/admin/2023/ia-6299.pdf 2023-05-04 Infinity Capital Group, LLC Bistritzky, Shlomo Mordechai Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97438 https://www.sec.gov/rules/other/2023/34-97438.pdf 2023-05-05 Claim for Award 2020-009 Claimant 1 Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Claimant 2 Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Claimant 3 Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97448 https://www.sec.gov/litigation/admin/2023/34-97448.pdf 2023-05-05 Pinnacle Investments, LLC Pinnacle Investments, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6303 https://www.sec.gov/litigation/admin/2023/ia-6303.pdf 2023-05-05 Pinnacle Investments, LLC Masella, Joseph Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97424 https://www.sec.gov/rules/final/2023/34-97424.pdf 2023-05-03 Reopening of Comment Period for Modernization of Beneficial Ownership Reporting Share Repurchase Disclosure Modernization Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved IA-6297 https://www.sec.gov/rules/final/2023/ia-6297.pdf 2023-05-03 Reopening of Comment Period for Modernization of Beneficial Ownership Reporting Amendments to Form PF to Require Event Reporting for Large Hedge Fund Advisers and Private Equity Fund Advisers and to Amend Reporting Requirements for Large Private Equity Fund Advisers Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 34-97355 https://www.sec.gov/litigation/opinions/2023/34-97355.pdf 2023-04-24 Alpine Securities Corporation, et al. Kielczewski, William Joseph Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97356 https://www.sec.gov/litigation/opinions/2023/34-97356.pdf 2023-04-24 Alpine Securities Corporation, et al. Lonske, Jonathan William Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97357 https://www.sec.gov/litigation/opinions/2023/34-97357.pdf 2023-04-24 Alpine Securities Corporation, et al. Bryant, Robert L. III Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6291 https://www.sec.gov/litigation/admin/2023/ia-6291.pdf 2023-04-24 Mining Capital Coin Nicholas, Joshua David Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97381 https://www.sec.gov/litigation/admin/2023/34-97381.pdf 2023-04-26 Frank’s International N.V. Frank’s International N.V. Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 34-97388 https://www.sec.gov/litigation/admin/2023/34-97388.pdf 2023-04-27 Taberna Capital Management, LLC, et al. Taberna Capital Management, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Fralin, Michael Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Licht, Raphael Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97389 https://www.sec.gov/litigation/admin/2023/34-97389.pdf 2023-04-27 ComScore, Inc. Comscore, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Matta, Serge Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11179 https://www.sec.gov/litigation/admin/2023/33-11179.pdf 2023-04-28 Coinme, Inc. Up, Global SEZC Gensler Approved Peirce Not Participating Crenshaw Approved Uyeda Not Approved Lizárraga Approved Coinme Inc. Gensler Approved Peirce Not Participating Crenshaw Approved Uyeda Not Approved Lizárraga Approved Bergquist, Neil Gensler Approved Peirce Not Participating Crenshaw Approved Uyeda Not Approved Lizárraga Approved 34-97402 https://www.sec.gov/litigation/opinions/2023/34-97402.pdf 2023-04-28 Alpine Securities Corporation, et al. Alpine Securities Corporation Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97407 https://www.sec.gov/litigation/admin/2023/34-97407.pdf 2023-04-28 MJ Capital Funding, LLC Ruiz, Pavel Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11180 https://www.sec.gov/rules/proposed/2023/33-11180.pdf 2023-04-28 Reopening of Comment Period for Modernization of Beneficial Ownership Reporting Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97313 https://www.sec.gov/litigation/opinions/2023/34-97313.pdf 2023-04-17 Alpine Securities Corporation, et al. Edmark, Curtis Richard Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97314 https://www.sec.gov/litigation/opinions/2023/34-97314.pdf 2023-04-17 Alpine Securities Corporation, et al. Johnson, Thomas Lee Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97315 https://www.sec.gov/litigation/opinions/2023/34-97315.pdf 2023-04-17 Alpine Securities Corporation, et al. Bebo, Laurie Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Buono, John, CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97316 https://www.sec.gov/litigation/opinions/2023/34-97316.pdf 2023-04-17 Alpine Securities Corporation, et al. Lykos, Thomas J., Jr. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97317 https://www.sec.gov/litigation/admin/2023/34-97317.pdf 2023-04-17 Illumina, Inc. Bustos, Martha Patricia, CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6288 https://www.sec.gov/litigation/admin/2023/ia-6288.pdf 2023-04-18 Betterment LLC Betterment LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Not Participating Lizárraga Approved 34-97321 https://www.sec.gov/litigation/opinions/2023/34-97321.pdf 2023-04-19 Alpine Securities Corporation, et al. Southeast Investments, N.C., Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Black, Frank Harmon Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97325 https://www.sec.gov/litigation/opinions/2023/34-97325.pdf 2023-04-19 Edward Beyn and Craig Scott Taddonio Beyn, Edward Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Taddonio, Craig S. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97347 https://www.sec.gov/litigation/opinions/2023/34-97347.pdf 2023-04-21 Alpine Securities Corporation Alpine Securities Corporation Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97242 https://www.sec.gov/litigation/admin/2023/34-97242.pdf 2023-04-03 Merrill Lynch Foreign Currency Exchanges Merrill Lynch, Pierce, Fenner & Smith Incorporated Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved with Exception Approved except as to the Section 206(4) and Rule 206(4)-7 charges Lizárraga Approved IA-6270 https://www.sec.gov/litigation/admin/2023/ia-6270.pdf 2023-04-03 Seaport Global Securities LLC Chatham Asset Management, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Melchiorre, Anthony Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97243 https://www.sec.gov/litigation/admin/2023/34-97243.pdf 2023-04-04 CodeSmart Holdings, Inc. Morris, Michael T. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97244 https://www.sec.gov/litigation/admin/2023/34-97244.pdf 2023-04-04 Garcia and Associates LLC Kirkland,Joseph Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97245 https://www.sec.gov/litigation/admin/2023/34-97245.pdf 2023-04-04 CodeSmart Holdings, Inc. Ofsink, Darren L. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97248 https://www.sec.gov/litigation/opinions/2023/34-97248.pdf 2023-04-04 Consolidated Arbitration Applications Consolidated Arbitration Applications Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6272 https://www.sec.gov/litigation/admin/2023/ia-6272.pdf 2023-04-04 Garcia and Associates LLC Mejill-Tellado, Roberto Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97254 https://www.sec.gov/litigation/opinions/2023/34-97254.pdf 2023-04-05 Alpine Securities Corporation, et al. Alpine Securities Corporation Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97256 https://www.sec.gov/litigation/opinions/2023/34-97256.pdf 2023-04-06 Jeffrey Yokuty et al. Constantin, Joshua Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97258 https://www.sec.gov/litigation/admin/2023/34-97258.pdf 2023-04-06 Alexander Capital, L.P., et all. Alexander Capital, L.P. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Noto, Philip A., II Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Eisenberg, Barry T. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97259 https://www.sec.gov/litigation/admin/2023/34-97259.pdf 2023-04-06 Tandy Leather Factory, Inc. Fitts, James, CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Not Participating IA-6274 https://www.sec.gov/litigation/opinions/2023/ia-6274.pdf 2023-04-06 Jeffrey Yokuty et al. Bloom, Eric A. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6275 https://www.sec.gov/litigation/opinions/2023/ia-6275.pdf 2023-04-06 Jeffrey Yokuty et al. Yokuty, Jeffrey Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97265 https://www.sec.gov/litigation/opinions/2023/34-97265.pdf 2023-04-07 Alpine Securities Corporation, et al. Wilson-Davis & Co. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Snow, James C. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Barkley, Byron B. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97269 https://www.sec.gov/litigation/admin/2023/34-97269.pdf 2023-04-07 Celadon Group, Inc. Peavler, Bobby Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97270 https://www.sec.gov/litigation/admin/2023/34-97270.pdf 2023-04-07 Celadon Group, Inc. Meek, William Eric Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 33-11177 https://www.sec.gov/litigation/opinions/2023/33-11177.pdf 2023-04-10 Alpine Securities Corporation, et al. Carnahan, Timothy W. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved CYIOS Corporation Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97272 https://www.sec.gov/litigation/opinions/2023/34-97272.pdf 2023-04-10 Alpine Securities Corporation, et al. Gray, Michele Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97274 https://www.sec.gov/litigation/opinions/2023/34-97274.pdf 2023-04-10 Alpine Securities Corporation, et al. Jones, Robbi J. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Kipling Jones & Co., Ltd. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97276 https://www.sec.gov/litigation/opinions/2023/34-97276.pdf 2023-04-10 Alpine Securities Corporation, et al. Good Vibration Shoes, Inc. (n/k/a Allied Corp.) Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97277 https://www.sec.gov/litigation/opinions/2023/34-97277.pdf 2023-04-10 Alpine Securities Corporation, et al. Eyecity.com, Inc. (n/k/a Carex Blockchain Platform, Inc.) Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97278 https://www.sec.gov/litigation/opinions/2023/34-97278.pdf 2023-04-10 Alpine Securities Corporation, et al. Tweed, Robert R. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6277 https://www.sec.gov/litigation/opinions/2023/ia-6277.pdf 2023-04-10 Alpine Securities Corporation, et al. Saving2Retire, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Young, Marian P. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11178 https://www.sec.gov/rules/other/2023/33-11178.pdf 2023-04-11 Regulatory Flexibility Act Agenda Regulatory Flexibility Act Agenda Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97292 https://www.sec.gov/litigation/admin/2023/34-97292.pdf 2023-04-12 Industry Source Consulting, Inc. Molen, Michael K. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6282 https://www.sec.gov/litigation/admin/2023/ia-6282.pdf 2023-04-12 ARO Equity, LLC Allcott, Timothy Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97298 https://www.sec.gov/litigation/admin/2023/34-97298.pdf 2023-04-13 Potential Misappropriation of Investor Funds by Executor Schmidt, George A. Jr. Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97299 https://www.sec.gov/litigation/admin/2023/34-97299.pdf 2023-04-13 Irvine Management Transfers and Holdings Corp. Austin, Jerome Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6283 https://www.sec.gov/litigation/admin/2023/ia-6283.pdf 2023-04-13 Cmelik, Douglas F. Cmelik, Douglas F. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97312 https://www.sec.gov/litigation/admin/2023/34-97312.pdf 2023-04-14 Premium Point Structured Finance Valuations Majidi, Amin Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6284 https://www.sec.gov/litigation/admin/2023/ia-6284.pdf 2023-04-14 Certain Private Fund Advisers Involved in SPACs Corvex Management LP Gensler Approved Peirce Approved Crenshaw Approved Uyeda Not Participating Lizárraga Approved IA-6286 https://www.sec.gov/litigation/admin/2023/ia-6286.pdf 2023-04-14 Premium Point Structured Finance Valuations Dole, Ashish Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97242 https://www.sec.gov/litigation/admin/2023/34-97242.pdf 2023-04-03 Merrill Lynch Foreign Currency Exchanges Merrill Lynch, Pierce, Fenner & Smith Incorporated Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved with Exception Approved except as to the Section 206(4) and Rule 206(4)-7 charges Lizárraga Approved IA-6270 https://www.sec.gov/litigation/admin/2023/ia-6270.pdf 2023-04-03 Seaport Global Securities LLC Chatham Asset Management, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Melchiorre, Anthony Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97243 https://www.sec.gov/litigation/admin/2023/34-97243.pdf 2023-04-04 CodeSmart Holdings, Inc. Morris, Michael T. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97244 https://www.sec.gov/litigation/admin/2023/34-97244.pdf 2023-04-04 Garcia and Associates LLC Kirkland,Joseph Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97245 https://www.sec.gov/litigation/admin/2023/34-97245.pdf 2023-04-04 CodeSmart Holdings, Inc. Ofsink, Darren L. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97248 https://www.sec.gov/litigation/opinions/2023/34-97248.pdf 2023-04-04 Consolidated Arbitration Applications Consolidated Arbitration Applications Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6272 https://www.sec.gov/litigation/admin/2023/ia-6272.pdf 2023-04-04 Garcia and Associates LLC Mejill-Tellado, Roberto Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97254 https://www.sec.gov/litigation/opinions/2023/34-97254.pdf 2023-04-05 Alpine Securities Corporation, et al. Alpine Securities Corporation Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97256 https://www.sec.gov/litigation/opinions/2023/34-97256.pdf 2023-04-06 Jeffrey Yokuty et al. Constantin, Joshua Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97258 https://www.sec.gov/litigation/admin/2023/34-97258.pdf 2023-04-06 Alexander Capital, L.P., et all. Alexander Capital, L.P. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Noto, Philip A., II Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Eisenberg, Barry T. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97259 https://www.sec.gov/litigation/admin/2023/34-97259.pdf 2023-04-06 Tandy Leather Factory, Inc. Fitts, James, CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Not Participating IA-6274 https://www.sec.gov/litigation/opinions/2023/ia-6274.pdf 2023-04-06 Jeffrey Yokuty et al. Bloom, Eric A. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6275 https://www.sec.gov/litigation/opinions/2023/ia-6275.pdf 2023-04-06 Jeffrey Yokuty et al. Yokuty, Jeffrey Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97265 https://www.sec.gov/litigation/opinions/2023/34-97265.pdf 2023-04-07 Alpine Securities Corporation, et al. Wilson-Davis & Co. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Snow, James C. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Barkley, Byron B. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97269 https://www.sec.gov/litigation/admin/2023/34-97269.pdf 2023-04-07 Celadon Group, Inc. Peavler, Bobby Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97270 https://www.sec.gov/litigation/admin/2023/34-97270.pdf 2023-04-07 Celadon Group, Inc. Meek, William Eric Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97309 https://www.sec.gov/rules/proposed/2023/34-97309.pdf 2023-04-14 Rule 3b-16 Reopening of Comment Period Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 34-97202 https://www.sec.gov/rules/other/2023/34-97202.pdf 2023-03-27 Claim for Award 2015-036 Claimant 1 Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Claimant 2 Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Claimant 3 Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Claimant 4 Gensler Approved Peirce Approved Crenshaw Not Approved Uyeda Approved Lizárraga Not Approved 34-97203 https://www.sec.gov/litigation/admin/2023/34-97203.pdf 2023-03-27 Diversified Financial Group Dicken, Shawn K. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97204 https://www.sec.gov/litigation/opinions/2023/34-97204.pdf 2023-03-27 Digital Brand Media & Marketing Group, Inc., et al. Mummert, Ryan William Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97207 https://www.sec.gov/litigation/opinions/2023/34-97207.pdf 2023-03-27 Digital Brand Media & Marketing Group, Inc., et al. Metatron, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97212 2023-03-28 Proposed Amendment to the National Market System Plan Governing the Consolidated Audit Trail Relating to the Funding Model and Participant Fees, as Modified by a Partial Amendment of the Proposed Amendment and a Subsequent Partial Amendment of the Proposed Amendment, as Modified by Partial Amendment No. 1 Joint Industry Plan; Notice of Withdrawal of Proposed Amendment to the National Market System Plan Governing the Consolidated Audit Trail, as Modified by Partial Amendment Nos. 1 and 2 Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97213 https://www.sec.gov/litigation/admin/2023/34-97213.pdf 2023-03-28 Certain Transfers from Wells Fargo Accounts Rivero, Mario E. Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97215 https://www.sec.gov/litigation/opinions/2023/34-97215.pdf 2023-03-29 Digital Brand Media & Marketing Group, Inc., et al. Deep ATS, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97216 https://www.sec.gov/litigation/admin/2023/34-97216.pdf 2023-03-29 Ibex Investors, LLC Spicer Jeffries LLP Gensler Approved Peirce Approved with Exception Approved except as to certain undertakings Crenshaw Approved Uyeda Approved Lizárraga Approved Tafaro, Sean P., CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97217 https://www.sec.gov/litigation/opinions/2023/34-97217.pdf 2023-03-29 Digital Brand Media & Marketing Group, Inc., et al. Alpine Securities Corporation Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97219 https://www.sec.gov/litigation/admin/2023/34-97219.pdf 2023-03-29 Greenblum, Justin A. Greenblum, Justin A. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6267 https://www.sec.gov/litigation/opinions/2023/ia-6267.pdf 2023-03-29 Reginald Buddy Ringgold, III, aka Rasool Abdul Rahim El Ringgold, Reginald Buddy, III, aka Rasool Abdul Rahim El Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97221 https://www.sec.gov/litigation/admin/2023/34-97221.pdf 2023-03-30 Barclays PLC and Barclays Bank PLC Barclays PLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Barclays Bank PLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11168 https://www.sec.gov/rules/final/2023/33-11168.pdf 2023-03-20 Revisions to the Electronic Data Gathering, Analysis, and Retrieval system Filer Manual Volume II Adoption of Updated EDGAR Filer Manual Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97162 https://www.sec.gov/litigation/opinions/2023/34-97162.pdf 2023-03-20 Digital Brand Media & Marketing Group, Inc., et al. Southeast Investments, N.C., Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Black, Frank Harmon Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97164 https://www.sec.gov/litigation/opinions/2023/34-97164.pdf 2023-03-20 Digital Brand Media & Marketing Group, Inc., et al. Zipper, Bruce Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Dakota Securities International, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97165 https://www.sec.gov/litigation/opinions/2023/34-97165.pdf 2023-03-20 Digital Brand Media & Marketing Group, Inc., et al. Titan Securities Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Brooks, Brad C. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97172 https://www.sec.gov/litigation/admin/2023/34-97172.pdf 2023-03-20 BNY Mellon Securities LLC BNY Mellon Securities LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Shaw, Mark Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97179 https://www.sec.gov/litigation/opinions/2023/34-97179.pdf 2023-03-21 Cynthia Mary Couyoumjian Couyoumjian, Cynthia Mary Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97180 https://www.sec.gov/litigation/opinions/2023/34-97180.pdf 2023-03-21 Daniel Paul Motherway Motherway, Daniel Paul Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11170 https://www.sec.gov/litigation/admin/2023/33-11170.pdf 2023-03-22 Certain Digital Asset Offerings Smith, Shaffer Chimere Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 33-11171 https://www.sec.gov/litigation/admin/2023/33-11171.pdf 2023-03-22 Certain Digital Asset Offerings Paul, Jake Joseph Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 33-11172 https://www.sec.gov/litigation/admin/2023/33-11172.pdf 2023-03-22 Certain Digital Asset Offerings Thiam, Aliaune Damla Badara Akon Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 33-11173 https://www.sec.gov/litigation/admin/2023/33-11173.pdf 2023-03-22 Certain Digital Asset Offerings Lohan, Lindsay Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 33-11174 https://www.sec.gov/litigation/admin/2023/33-11174.pdf 2023-03-22 Certain Digital Asset Offerings Mason, Michele Anne Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 33-11175 https://www.sec.gov/litigation/admin/2023/33-11175.pdf 2023-03-22 Certain Digital Asset Offerings McCollum, Miles Parks Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 34-97193 https://www.sec.gov/rules/sro/nms/2023/34-97193.pdf 2023-03-24 Publication of Order Approving an Amendment to the National Market System Plan Governing the Consolidated Audit Trail Joint Industry Plan; Order Approving an Amendment to the National Market System Plan Governing the Consolidated Audit Trail Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97198 https://www.sec.gov/litigation/opinions/2023/34-97198.pdf 2023-03-24 Digital Brand Media & Marketing Group, Inc., et al. Beyn, Edward Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Taddonio, Craig S. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97114 https://www.sec.gov/litigation/admin/2023/34-97114.pdf 2023-03-13 E. Magnus Oppenheim & Co. Inc. E. Magnus Oppenheim & Co. Inc. Gensler Approved Peirce Approved with Exception Approved except as to certain undertakings and the cease-and-desist preceeding Crenshaw Approved Uyeda Approved with Exception Approved except as to certain undertakings Lizárraga Approved 34-97115 https://www.sec.gov/litigation/opinions/2023/34-97115.pdf 2023-03-13 Digital Brand Media & Marketing Group, Inc., et al. Cantone Research Group, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Cantone, Anthony Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Cantone, Christine Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97116 https://www.sec.gov/litigation/opinions/2023/34-97116.pdf 2023-03-13 Digital Brand Media & Marketing Group, Inc., et al. Silver Leaf Partners, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6260 https://www.sec.gov/litigation/admin/2023/ia-6260.pdf 2023-03-13 Steven Xigoros Xigoros, Steven Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11166 https://www.sec.gov/litigation/admin/2023/33-11166.pdf 2023-03-14 DXC Technology Company DXC Technology Company Gensler Approved Peirce Approved with Exception Approved except as to the penalty Crenshaw Approved Uyeda Approved with Exception Approved except as to the penalty Lizárraga Approved 34-97132 https://www.sec.gov/litigation/opinions/2023/34-97132.pdf 2023-03-14 Digital Brand Media & Marketing Group, Inc., et al. Consolidated Arbitration Applications Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97154 https://www.sec.gov/litigation/admin/2023/34-97154.pdf 2023-03-16 Advanced BioEnergy LLC et al. Almost Never Films Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97155 https://www.sec.gov/litigation/admin/2023/34-97155.pdf 2023-03-17 John Cucinella Cucinella, John Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11176 https://www.sec.gov/rules/proposed/2023/33-11176.pdf 2023-03-22 Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97044 https://www.sec.gov/litigation/admin/2023/34-97044.pdf 2023-03-06 The Stars Group, Inc. Flutter Entertainment, plc as successor-in-interest to The Stars Group, Inc. (f/k/a Amaya, Inc.) Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97045 https://www.sec.gov/litigation/admin/2023/34-97045.pdf 2023-03-06 Spyr, Inc. Thompson, James R. Esq. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97046 https://www.sec.gov/litigation/opinions/2023/34-97046.pdf 2023-03-06 Certain Exchange Act Section 12(j) proceedings Theron Resource Group Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97047 https://www.sec.gov/litigation/opinions/2023/34-97047.pdf 2023-03-06 Digital Brand Media & Marketing Group, Inc., et al. Digital Brand Media & Marketing Group, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97049 https://www.sec.gov/litigation/admin/2023/34-97049.pdf 2023-03-06 Rio Tinto Ltd. Rio Tinto plc Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97050 https://www.sec.gov/litigation/admin/2023/34-97050.pdf 2023-03-06 Spyr, Inc. Loveless, Barry D. CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97064 https://www.sec.gov/litigation/admin/2023/34-97064.pdf 2023-03-07 KeyBanc Capital Markets Inc. KeyBanc Capital Markets Inc. Gensler Approved Peirce Approved with Exception Approved except as to the disgorgement and prejudgment interest Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97066 https://www.sec.gov/litigation/opinions/2023/34-97066.pdf 2023-03-08 Certain Exchange Act Section 12(j) proceedings Alanco Technologies, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97067 https://www.sec.gov/litigation/opinions/2023/34-97067.pdf 2023-03-08 Certain Exchange Act Section 12(j) proceedings Insulcrete, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97068 https://www.sec.gov/litigation/opinions/2023/34-97068.pdf 2023-03-08 Certain Exchange Act Section 12(j) proceedings Shearson American REIT, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97069 https://www.sec.gov/litigation/opinions/2023/34-97069.pdf 2023-03-08 Certain Exchange Act Section 12(j) proceedings ParagonCoin, Limited Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97070 https://www.sec.gov/litigation/opinions/2023/34-97070.pdf 2023-03-08 Certain Exchange Act Section 12(j) proceedings Lescarden Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97071 https://www.sec.gov/litigation/opinions/2023/34-97071.pdf 2023-03-08 Digital Brand Media & Marketing Group, Inc., et al. Wilson-Davis & Co. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Snow, James C. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Barkley, Byron B. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97072 https://www.sec.gov/litigation/opinions/2023/34-97072.pdf 2023-03-08 Certain Exchange Act Section 12(j) proceedings ANDES 7, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97073 https://www.sec.gov/litigation/opinions/2023/34-97073.pdf 2023-03-08 Certain Exchange Act Section 12(j) proceedings Tara Gold Resources Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11165 https://www.sec.gov/litigation/admin/2023/33-11165.pdf 2023-03-09 Blackbaud, Inc. Blackbaud Gensler Approved Peirce Approved with Exception Approved except as to the Section 17(a)(2) and (3) charges and the penalty Crenshaw Approved Uyeda Approved with Exception Approved except as to the penalty Lizárraga Approved 34-97084 https://www.sec.gov/litigation/admin/2023/34-97084.pdf 2023-03-09 Wilhelmina International, Inc. Bartel, Ralph Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 34-97085 https://www.sec.gov/litigation/opinions/2023/34-97085.pdf 2023-03-09 Certain Exchange Act Section 12(j) proceedings Vu1 Corporation Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97086 https://www.sec.gov/litigation/opinions/2023/34-97086.pdf 2023-03-09 Certain Exchange Act Section 12(j) proceedings Corporate Resource Servs., Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97087 https://www.sec.gov/litigation/opinions/2023/34-97087.pdf 2023-03-09 Certain Exchange Act Section 12(j) proceedings Novelion Therapeutics Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97089 https://www.sec.gov/litigation/opinions/2023/34-97089.pdf 2023-03-09 Certain Exchange Act Section 12(j) proceedings VeriTeQ Corporation Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97090 https://www.sec.gov/litigation/opinions/2023/34-97090.pdf 2023-03-09 Certain Exchange Act Section 12(j) proceedings DirectView Holdings, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97091 https://www.sec.gov/litigation/opinions/2023/34-97091.pdf 2023-03-09 Certain Exchange Act Section 12(j) proceedings Tasa Products Limited Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97092 https://www.sec.gov/litigation/opinions/2023/34-97092.pdf 2023-03-09 Certain Exchange Act Section 12(j) proceedings Northern Power Systems Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97096 https://www.sec.gov/litigation/admin/2023/34-97096.pdf 2023-03-09 Certain Unregistered Securities Transactions Wootten, Jason P. Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97107 https://www.sec.gov/litigation/opinions/2023/34-97107.pdf 2023-03-09 Certain Exchange Act Section 12(j) proceedings Fuquan Financial Company Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97101 https://www.sec.gov/litigation/opinions/2023/34-97101.pdf 2023-03-10 Certain Exchange Act Section 12(j) proceedings Guozi Zhongyu Capital Holdings Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97102 https://www.sec.gov/rules/sro/cboebzx/2023/34-97102.pdf 2023-03-10 Proposed rule change by Cboe BZX Exchange, Inc. to list and trade shares of the VanEck Bitcoin Trust under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares Cboe BZX Exchange, Inc. Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 34-97103 https://www.sec.gov/litigation/opinions/2023/34-97103.pdf 2023-03-10 Certain Exchange Act Section 12(j) proceedings TC Acquisition Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97105 https://www.sec.gov/litigation/opinions/2023/34-97105.pdf 2023-03-10 Certain Exchange Act Section 12(j) proceedings Sleepaid Holding Co.N/K/A QDM, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97110 https://www.sec.gov/litigation/opinions/2023/34-97110.pdf 2023-03-10 Certain Exchange Act Section 12(j) proceedings Earth Search Sciences, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97111 https://www.sec.gov/litigation/opinions/2023/34-97111.pdf 2023-03-10 Certain Exchange Act Section 12(j) proceedings Van Nuys Studios, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97112 https://www.sec.gov/litigation/opinions/2023/34-97112.pdf 2023-03-10 Certain Exchange Act Section 12(j) proceedings AngioGenex, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97141 https://www.sec.gov/rules/proposed/2023/34-97141.pdf 2023-03-15 Certain Exchange Act Section 12(j) proceedings Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97142 https://www.sec.gov/rules/proposed/2023/34-97142.pdf 2023-03-15 Certain Exchange Act Section 12(j) proceedings Cybersecurity Risk Management Rule for Broker-Dealers, Clearing Agencies, Major Security-Based Swap Participants, the Municipal Securities Rulemaking Board, National Securities Associations, National Securities Exchanges, Security-Based Swap Data Repositories, Security-Based Swap Dealers, and Transfer Agents Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 34-97143 https://www.sec.gov/rules/proposed/2023/34-97143.pdf 2023-03-15 Certain Exchange Act Section 12(j) proceedings Regulation Systems Compliance and Integrity Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 33-11167 https://www.sec.gov/rules/proposed/2023/33-11167.pdf 2023-03-15 Certain Exchange Act Section 12(j) proceedings Reopening the Comment Period for the Cybersecurity Risk Management for Registered Investment Advisers, Registered Investment Companies, and Business Development Companies Proposal Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96999 https://www.sec.gov/litigation/admin/2023/34-96999.pdf 2023-03-01 Brian C. Doherty Doherty, Brian C. Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97003 https://www.sec.gov/litigation/admin/2023/34-97003.pdf 2023-03-01 Mark L. Hopkins Hopkins, Mark L. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 33-11161 https://www.sec.gov/litigation/admin/2023/33-11161.pdf 2023-03-02 The Greenbrier Companies, Inc. Furman, William A. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11162 https://www.sec.gov/litigation/admin/2023/33-11162.pdf 2023-03-02 The Greenbrier Companies, Inc. The Greenbrier Companies, Inc. Gensler Approved Peirce Approved with Exception Approved except as to the penalty Crenshaw Approved Uyeda Approved with Exception Approved except ast to the penalty Lizárraga Approved 33-11163 https://www.sec.gov/litigation/admin/2023/33-11163.pdf 2023-03-02 Chembio Diagnostics, Inc. Chembio Diagnostics, Inc. Gensler Approved Peirce Approved with Exception Approved except as to the penalty Crenshaw Approved Uyeda Approved with Exception Approved except as to the penalty Lizárraga Approved 34-97020 https://www.sec.gov/litigation/admin/2023/34-97020.pdf 2023-03-02 Cambria Capital, LLC Cambria Capital, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97027 https://www.sec.gov/litigation/opinions/2023/34-97027.pdf 2023-03-02 BlackBook Capital, Inc., and Franklin Ogele BlackBook Capital, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Ogele, Franklin Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97030 https://www.sec.gov/litigation/admin/2023/34-97030.pdf 2023-03-03 Silver Edge Financial LLC Simmons, Joshua Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97031 https://www.sec.gov/litigation/admin/2023/34-97031.pdf 2023-03-03 Silver Edge Financial LLC Valentino, Daniel Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97032 https://www.sec.gov/litigation/admin/2023/34-97032.pdf 2023-03-03 Silver Edge Financial LLC Louis, Robert Daniel Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97033 https://www.sec.gov/litigation/admin/2023/34-97033.pdf 2023-03-03 Silver Edge Financial LLC Nicolas,Dave Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97034 https://www.sec.gov/litigation/admin/2023/34-97034.pdf 2023-03-03 Silver Edge Financial LLC Silver Edge Financial LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Mackle, Daniel J., Sr. Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97035 https://www.sec.gov/litigation/admin/2023/34-97035.pdf 2023-03-03 Silver Edge Financial LLC Equity Acquisition Company Ltd. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Klein, Carsten Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97036 https://www.sec.gov/litigation/admin/2023/34-97036.pdf 2023-03-03 Silver Edge Financial LLC Esposito, Scott Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bars Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97037 https://www.sec.gov/litigation/admin/2023/34-97037.pdf 2023-03-03 Silver Edge Financial LLC Konopka, Richard Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bars Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97038 https://www.sec.gov/litigation/admin/2023/34-97038.pdf 2023-03-03 Petroleum Resources of Texas Prince, Todd J. Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-97043 https://www.sec.gov/rules/other/2023/34-97043.pdf 2023-03-03 Publication of Notice of Withdrawal of Application by 24X National Exchange LLC for registration as a national securities exchange under Section 6 of the Securities Exchange Act of 1934 24X National Exchange LLC; Notice of Withdrawal of Application for Registration as a National Securities Exchange under Section 6 of the Securities Exchange Act of 1934 Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11160 https://www.sec.gov/litigation/admin/2023/33-11160.pdf 2023-02-27 Foresight Wealth Management LLC Foresight Wealth Management, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Nugent, Adam E. Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96984 https://www.sec.gov/litigation/opinions/2023/34-96984.pdf 2023-02-27 Sandeep Varma, et al. Alpine Securities Corporation Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96985 https://www.sec.gov/litigation/opinions/2023/34-96985.pdf 2023-02-27 Sandeep Varma, et al. Felix, Wilfredo Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96986 https://www.sec.gov/litigation/opinions/2023/34-96986.pdf 2023-02-27 Sandeep Varma, et al. Clarke, Michael Joseph Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96988 https://www.sec.gov/litigation/admin/2023/34-96988.pdf 2023-02-27 Shawn Edward Good Good, Shawn E. Gensler Approved Peirce Approved with Exception Approved except as to penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96991 https://www.sec.gov/litigation/admin/2023/34-96991.pdf 2023-02-27 Credit Suisse Securities (USA) LLC, et al. Credit Suisse Securities (USA) LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved DLJ Mortgage Capital, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Credit Suisse First Boston Mortgage Acceptance Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Credit Suisse First Boston Mortgage Securities Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Asset Backed Securities Corporation Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96992 https://www.sec.gov/litigation/admin/2023/34-96992.pdf 2023-02-27 Credit Suisse Securities (USA) LLC, et al. Credit Suisse Securities (USA) LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved DLJ Mortgage Capital, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Credit Suisse First Boston Mortgage Acceptance Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Credit Suisse First Boston Mortgage Securities Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Asset Backed Securities Corporation Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6251 https://www.sec.gov/litigation/admin/2023/ia-6251.pdf 2023-02-27 Huntleigh Advisors, Inc. Huntleigh Advisors, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Datatex Investment Services, Inc. Gensler Approved Peirce Approve Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11158 https://www.sec.gov/litigation/opinions/2023/33-11158.pdf 2023-02-21 Sandeep Varma, et al. Daspin, Edward M. , (a/k/a Edward (ED) Michael) Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96951 https://www.sec.gov/litigation/admin/2023/34-96951.pdf 2023-02-21 Corporation of the President of the Church of Jesus Christ of Latter-day Saints Ensign Peak Advisors, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved The Church of Jesus Christ of Latter-day Saints Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96952 https://www.sec.gov/litigation/admin/2023/34-96952.pdf 2023-02-21 Candlestick Capital Management LP Candlestick Capital Management LP Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96953 https://www.sec.gov/litigation/admin/2023/34-96953.pdf 2023-02-21 HITE Hedge Asset Management LLC HITE Hedge Asset Management LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96955 https://www.sec.gov/litigation/opinions/2023/34-96955.pdf 2023-02-21 Sandeep Varma, et al. Flesche, Paul Eric Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96957 https://www.sec.gov/litigation/opinions/2023/34-96957.pdf 2023-02-21 Sandeep Varma, et al. Wicker, Devin Lamarr Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96958 https://www.sec.gov/litigation/opinions/2023/34-96958.pdf 2023-02-21 Sandeep Varma, et al. Couyoumjian, Cynthia Mary Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96960 https://www.sec.gov/litigation/admin/2023/34-96960.pdf 2023-02-22 African Gold Acquisition Corp. African Gold Acquisition Corp. Gensler Approved Peirce Approved with Exception Approved except as to the penalty Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96961 https://www.sec.gov/litigation/admin/2023/34-96961.pdf 2023-02-22 Industry Source Consulting, Inc. Tucker, Alan A. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96962 https://www.sec.gov/litigation/opinions/2023/34-96962.pdf 2023-02-22 Sandeep Varma, et al. Beyn, Edward Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Taddonio, Craig S. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96964 https://www.sec.gov/litigation/admin/2023/34-96964.pdf 2023-02-22 UBS Financial Services Incorporated of Puerto Rico, et al. UBS Financial Services Incorporated of Puerto Rico Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Colon, Ramiro L. III Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96891 https://www.sec.gov/litigation/opinions/2023/34-96891.pdf 2023-02-13 Sandeep Varma, et al. Gibson, Christopher M. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96893 https://www.sec.gov/litigation/opinions/2023/34-96893.pdf 2023-02-13 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing CannAwake Corporation Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96894 https://www.sec.gov/litigation/opinions/2023/34-96894.pdf 2023-02-13 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing China XD Plastics Company Limited Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96895 https://www.sec.gov/litigation/opinions/2023/34-96895.pdf 2023-02-13 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing GlyEco, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96896 https://www.sec.gov/litigation/opinions/2023/34-96896.pdf 2023-02-13 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Rock Creek Pharmaceuticals, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96897 https://www.sec.gov/litigation/opinions/2023/34-96897.pdf 2023-02-13 Sandeep Varma, et al. Nicholson, Shaun Perry Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96899 https://www.sec.gov/litigation/opinions/2023/34-96899.pdf 2023-02-13 Sandeep Varma, et al. Consolidated Arbitration Applications Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96900 https://www.sec.gov/litigation/admin/2023/34-96900.pdf 2023-02-13 CodeSmart Holdings, Inc. Josephberg, Craig L. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96901 https://www.sec.gov/litigation/admin/2023/34-96901.pdf 2023-02-13 Hughes Capital Management, LLC Sugarman, Jason Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6235 https://www.sec.gov/litigation/opinions/2023/ia-6235.pdf 2023-02-13 Sandeep Varma, et al. The Robare Group, et al. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Robare, Mark L. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Jones, Jack L. Jr. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11156 https://www.sec.gov/litigation/admin/2023/33-11156.pdf 2023-02-14 Roadrunner Transportation Systems, Inc. Roadrunner Transportation Systems, Inc. Gensler Approved Peirce Approved with Exception Approved except as to the disgorgement and prejudgment interest Crenshaw Approved Uyeda Approved with Exception Approved except as to the disgorgement and prejudgment interest Lizárraga Approved 33-11157 https://www.sec.gov/litigation/admin/2023/33-11157.pdf 2023-02-16 EthereumMax Pierce, Paul Anthony Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96945 https://www.sec.gov/litigation/admin/2023/34-96945.pdf 2023-02-16 The Options Clearing Corporation The Options Clearing Corporation Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96950 https://www.sec.gov/litigation/opinions/2023/34-96950.pdf 2023-02-17 Sandeep Varma, et al. Southeast Investments, N.C., Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Black, Frank Harmon Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11153 https://www.sec.gov/litigation/admin/2023/33-11153.pdf 2023-02-06 Certain Sales of Curve Steepener Securities Centaurus Financial, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Mantei, Ricky A. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Makharia, Atul Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96804 https://www.sec.gov/litigation/admin/2023/34-96804.pdf 2023-02-06 Satyajeet “Sunny” Mitra Mitra, Satyajeet “Sunny” Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96807 https://www.sec.gov/litigation/opinions/2023/34-96807.pdf 2023-02-06 Sandeep Varma, et al. Varma, Sandeep Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96808 https://www.sec.gov/litigation/opinions/2023/34-96808.pdf 2023-02-06 Sandeep Varma, et al. BlackBook Capital, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Ogele, Franklin Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96810 https://www.sec.gov/litigation/opinions/2023/34-96810.pdf 2023-02-06 Sandeep Varma, et al. Wilson-Davis & Co. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Snow, James C. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Barkley, Byron B. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96811 https://www.sec.gov/litigation/opinions/2023/34-96811.pdf 2023-02-06 Global Boatworks Holdings, Inc. Hygge Integrated Brands Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96812 https://www.sec.gov/litigation/opinions/2023/34-96812.pdf 2023-02-06 Global Boatworks Holdings, Inc. Bridgeway National Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96814 https://www.sec.gov/litigation/opinions/2023/34-96814.pdf 2023-02-06 Global Boatworks Holdings, Inc. Global Boatworks Holdings, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96815 https://www.sec.gov/litigation/admin/2023/34-96815.pdf 2023-02-06 Social Voucher.com, Inc. Assenza, Michael J. a/k/a "Michael Grimaldi" Gensler Approved Peirce Approved with Exception Approved except for penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96816 https://www.sec.gov/litigation/opinions/2023/34-96816.pdf 2023-02-06 Global Boatworks Holdings, Inc. Nanovation Microtech, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96819 https://www.sec.gov/litigation/admin/2023/34-96819.pdf 2023-02-07 Gentex Corp. Gentex Corporation Gensler Approved Peirce Approved with Exception Approved except as to the penalty Crenshaw Approved Uyeda Approved with Exception Approved except as to the penalty Lizárraga Approved Nash, Kevin C. Gensler Approved Peirce Approved with Exception Approved except as to the Exchange Act Section 13(b)(5) and Rule 13b2-1 charges Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96823 https://www.sec.gov/litigation/opinions/2023/34-96823.pdf 2023-02-07 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Bravo Enterprises Ltd. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96825 https://www.sec.gov/litigation/opinions/2023/34-96825.pdf 2023-02-07 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Destination Maternity Corporation Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96826 https://www.sec.gov/litigation/opinions/2023/34-96826.pdf 2023-02-07 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing ZYQC Group Holding Limited Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96828 https://www.sec.gov/litigation/opinions/2023/34-96828.pdf 2023-02-07 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Global Seed Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96831 https://www.sec.gov/litigation/opinions/2023/34-96831.pdf 2023-02-07 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing ZhongTai Biotechnology Pharmaceutical Group Co., Ltd. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96833 https://www.sec.gov/litigation/opinions/2023/34-96833.pdf 2023-02-07 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Champion Pain Care Corp. (f/k/a OICCO Acquisition I, Inc.) Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11154 https://www.sec.gov/litigation/admin/2023/33-11154.pdf 2023-02-08 SanDisk Corporation Kuprina, Olga Clayton Approved Peirce Not Approved Roisman Approved Lee Approved Crenshaw Approved 33-11155 https://www.sec.gov/rules/other/2023/33-11155.pdf 2023-02-08 Financial Accounting Standards Board 2023 Accounting Support Fee Order Regarding Review of FASB Accounting Support Fee For 2023 Under Section 109 of the Sarbanes-Oxley Act of 2002 Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96845 https://www.sec.gov/litigation/opinions/2023/34-96845.pdf 2023-02-08 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Findex.Com, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96846 https://www.sec.gov/litigation/opinions/2023/34-96846.pdf 2023-02-08 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing NMI Health, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96847 https://www.sec.gov/litigation/opinions/2023/34-96847.pdf 2023-02-08 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Taronis Technologies, Inc. (N/K/A BBHC, Inc.) Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96848 https://www.sec.gov/litigation/opinions/2023/34-96848.pdf 2023-02-08 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Dominion Minerals Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96849 https://www.sec.gov/litigation/opinions/2023/34-96849.pdf 2023-02-08 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Halo Companies, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96850 https://www.sec.gov/litigation/opinions/2023/34-96850.pdf 2023-02-08 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Union Bridge Holdings Limited Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96857 https://www.sec.gov/litigation/opinions/2023/34-96857.pdf 2023-02-09 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Glen Rose Petroleum Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96858 https://www.sec.gov/litigation/opinions/2023/34-96858.pdf 2023-02-09 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Adaptive Medias, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96859 https://www.sec.gov/litigation/opinions/2023/34-96859.pdf 2023-02-09 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing American Pacific Minerals Ltd. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96860 https://www.sec.gov/litigation/opinions/2023/34-96860.pdf 2023-02-09 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Enova Systems, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96862 https://www.sec.gov/litigation/opinions/2023/34-96862.pdf 2023-02-09 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Doers Education Asean Ltd. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96863 https://www.sec.gov/litigation/opinions/2023/34-96863.pdf 2023-02-09 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Gold Capital Corp. /CO/ Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96881 https://www.sec.gov/litigation/opinions/2023/34-96881.pdf 2023-02-10 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Axion International Holdings, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96882 https://www.sec.gov/litigation/opinions/2023/34-96882.pdf 2023-02-10 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Premier Holding Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96880 https://www.sec.gov/litigation/opinions/2023/34-96880.pdf 2023-02-10 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Sky Wolf Wind Turbine Corp. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96883 https://www.sec.gov/litigation/opinions/2023/34-96883.pdf 2023-02-10 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing 6D Global Technologies, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96884 https://www.sec.gov/litigation/opinions/2023/34-96884.pdf 2023-02-10 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Steele Oceanic Corporation Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96906 https://www.sec.gov/rules/proposed/2023/34-96906.pdf 2023-02-14 The Commission's Privacy Act Regulations Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96930 https://www.sec.gov/rules/final/2023/34-96930.pdf 2023-02-15 Shortening the Securities Transaction Settlement Cycle Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved IA-6240 https://www.sec.gov/rules/proposed/2023/ia-6240.pdf 2023-02-15 Safeguarding Advisory Client Assets Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96795 https://www.sec.gov/litigation/admin/2023/34-96795.pdf 2023-02-02 Laidlaw & Co. UK. Clay, Nathaniel Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96796 https://www.sec.gov/litigation/admin/2023/34-96796.pdf 2023-02-03 Activision Blizzard, Inc. Activision Blizzard, Inc. Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved with Exception Approved except as to the Exchange Act Rule 21F-17(a) charge and the penalty Lizárraga Approved 33-11159 https://www.sec.gov/rules/final/2023/33-11159.pdf 2023-02-21 Extending Form 144 EDGAR Filing Hours Extending Form 144 EDGAR Filing Hours Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 33-11152 https://www.sec.gov/litigation/opinions/2023/33-11152.pdf 2023-01-30 Saving2Retire, LLC, and Marian P. Young, et al. Winkelmann, James A. Sr. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Blue Ocean Portfolios, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96765 https://www.sec.gov/rules/other/2023/34-96765.pdf 2023-01-30 Claim for Award (2020-010) Claimant 1 Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Claimant 2 Gensler Approved Peirce Approved Crenshaw Not Approved Uyeda Approved Lizárraga Not Approved 34-96766 https://www.sec.gov/litigation/admin/2023/34-96766.pdf 2023-01-30 Steven E. Larson Larson, Steven E. Gensler Approved Peirce Approved with Exception Approved except at to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96767 https://www.sec.gov/rules/other/2023/34-96767.pdf 2023-01-30 Claim for Award (2017-093) Claimant Gensler Approved Peirce Approved Crenshaw Not Approved Uyeda Approved Lizárraga Not Approved 34-96769 https://www.sec.gov/litigation/opinions/2023/34-96769.pdf 2023-01-30 Thomas Christophe Prentice Prentice,Thomas Christophe Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96771 https://www.sec.gov/litigation/opinions/2023/34-96771.pdf 2023-01-30 Saving2Retire, LLC, and Marian P. Young, et al. Wahl, Gregory A. CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Deutchman, Michael CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Chung, Georgia CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96772 https://www.sec.gov/litigation/opinions/2023/34-96772.pdf 2023-01-30 Saving2Retire, LLC, and Marian P. Young, et al. Pearce, Kevin Vincent Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96774 https://www.sec.gov/litigation/opinions/2023/34-96774.pdf 2023-01-30 Saving2Retire, LLC, and Marian P. Young, et al. Amundsen, Joseph S. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Remus, Michael T. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Michael Remus CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96776 https://www.sec.gov/litigation/admin/2023/34-96776.pdf 2023-01-30 Asta Funding, Inc. Herschaft, Randy Gensler Approved Peirce Approved with Exception Approved except as to disgorgement and prejudgment interest Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96777 https://www.sec.gov/litigation/admin/2023/34-96777.pdf 2023-01-31 Citigroup Global Markets, Inc, et al. Citigroup Global Markets, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Morgan Stanley Smith Barney LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11150 https://www.sec.gov/litigation/admin/2023/33-11150.pdf 2023-01-23 Bloomberg’s Evaluated Pricing Service Bloomberg Finance L.P. Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 34-96724 https://www.sec.gov/rules/other/2023/34-96724.pdf 2023-01-23 Order Making Fiscal Year 2023 Annual Adjustments to Transaction Fee Rates Order Making Fiscal Year 2023 Annual Adjustments to Transaction Fee Rates Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96726 https://www.sec.gov/litigation/admin/2023/34-96726.pdf 2023-01-23 David S.Y. Chang Chang, David S.Y. Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96727 https://www.sec.gov/litigation/opinions/2023/34-96727.pdf 2023-01-23 Saving2Retire, LLC, and Marian P. Young, et al. Beyn, Edward Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Taddonio, Craig S. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96728 https://www.sec.gov/litigation/opinions/2023/34-96728.pdf 2023-01-23 Saving2Retire, LLC, and Marian P. Young, et al. Bryant, Robert L., III Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96729 https://www.sec.gov/litigation/opinions/2023/34-96729.pdf 2023-01-23 Saving2Retire, LLC, and Marian P. Young, et al. Kielczewski, William Joseph Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96730 https://www.sec.gov/litigation/opinions/2023/34-96730.pdf 2023-01-23 Saving2Retire, LLC, and Marian P. Young, et al. Lonske, Jonathan William Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96737 https://www.sec.gov/litigation/admin/2023/34-96737.pdf 2023-01-23 Orthofix International, N.V. Orthofix International, N.V. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Hammel, Jeffrey, CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved McCollum, Brian Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Mack, Kenneth Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved McMillan, Bryan Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96751 https://www.sec.gov/rules/sro/cboebzx/2023/34-96751.pdf 2023-01-26 Proposed Rule Change By Cboe BZX Exchange, Inc. To List and Trade Shares of the ARK 21Shares Bitcoin ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares (File No. SR-CboeBZX-2022-031) Cboe BZX Exchange, Inc.; Order Disapproving a Proposed Rule Change to List and Trade Shares of the ARK 21Shares Bitcoin ETF under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 34-96755 https://www.sec.gov/litigation/opinions/2023/34-96755.pdf 2023-01-26 Smartag International, Inc. Smartag International, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96757 https://www.sec.gov/litigation/admin/2023/34-96757.pdf 2023-01-26 Advanced Emissions Solutions, Inc. Advanced Emissions Solutions, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96759 https://www.sec.gov/litigation/admin/2023/34-96759.pdf 2023-01-27 Pandion Therapeutics, Inc. Matuizek, Donna L. Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96764 https://www.sec.gov/litigation/admin/2023/34-96764.pdf 2023-01-27 SEC v. Genovese, et al. Mirman, Abraham "Avi" Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96768 https://www.sec.gov/rules/proposed/2023/34-96768.pdf 2023-01-30 Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11146 https://www.sec.gov/litigation/admin/2023/33-11146.pdf 2023-01-17 Settlement Solutions National Pooled Trust National Trust and Fiduciary Services Company, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Armand, Glen V. Gensler Approved Peirce Approved with Exception Approved except as to the Section 17(a)(2) charge, the prohibition under Investment Company Act Section 9(b), and the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved Moreschi, Robert W. Gensler Approved Peirce Approved with Exception Approved except as to the prohibition under Investment Company Act Section 9(b) and the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96671 https://www.sec.gov/litigation/opinions/2023/34-96671.pdf 2023-01-17 Saving2Retire, LLC, and Marian P. Young, et al. Bebo, Laurie Gensler Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Buono, John CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96675 https://www.sec.gov/litigation/opinions/2023/34-96675.pdf 2023-01-17 Saving2Retire, LLC, and Marian P. Young, et al. Johnson, Thomas Lee Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96676 https://www.sec.gov/litigation/opinions/2023/34-96676.pdf 2023-01-17 Saving2Retire, LLC, and Marian P. Young, et al. Edmark, Curtis Richard Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6217 https://www.sec.gov/litigation/admin/2023/ia-6217.pdf 2023-01-17 Thomas Garnette Martin, Jr. Martin, Thomas Garnette Jr. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11148 https://www.sec.gov/litigation/opinions/2023/33-11148.pdf 2023-01-19 Andy Chin Fong Chen, CPA Chen, Andy Chin Fong Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11149 https://www.sec.gov/litigation/admin/2023/33-11149.pdf 2023-01-19 Nexo Financial LLC Nexo Capital Inc. Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Approved with Exception Approved except as to the penalty Lizárraga Approved 34-96719 https://www.sec.gov/litigation/admin/2023/34-96719.pdf 2023-01-19 Moors & Cabot, Inc. Moors & Cabot, Inc. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96721 https://www.sec.gov/litigation/admin/2023/34-96721.pdf 2023-01-20 Integral Transfer Agency USA, Inc. Adams, James Stuart Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96725 https://www.sec.gov/rules/sro/nms/2023/34-96725.pdf 2023-01-20 Proposed Amendment to the National Market System Plan Governing the Consolidated Audit Trail Relating to the Funding Model and Participant Fees, et al. Proposed Amendment to the National Market System Plan Governing the Consolidated Audit Trail Relating to the Funding Model and Participant Fees, et al. Gensler Approved Uyeda Approved Peirce Approved Crenshaw Approved Lizárraga Approved 33-11151 https://www.sec.gov/rules/proposed/2023/33-11151.pdf 2023-01-26 Proposed Amendment to the National Market System Plan Governing the Consolidated Audit Trail Relating to the Funding Model and Participant Fees, et al. Prohibition Against Conflicts of Interest in Certain Securitizations Gensler Approved Uyeda Approved Peirce Approved Crenshaw Approved Lizárraga Approved 33-11144 https://www.sec.gov/litigation/admin/2023/33-11144.pdf 2023-01-09 McDonald’s Corporation Executive Compensation McDonald’s Corporation Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved Easterbrook, Stephen J. Gensler Approved Peirce Not Approved Crenshaw Approved Uyeda Not Approved Lizárraga Approved 33-11145 https://www.sec.gov/litigation/opinions/2023/33-11145.pdf 2023-01-09 Saving2Retire, LLC, and Marian P. Young, et al. Carnahan, Timothy W. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Cyios Corporation Gensler Approved Peirce Approved Lizárraga Approved Crenshaw Approved Uyeda Approved 34-96612 https://www.sec.gov/litigation/opinions/2023/34-96612.pdf 2023-01-09 Saving2Retire, LLC, and Marian P. Young, et al. Johnston, Jennifer Anne Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96613 https://www.sec.gov/litigation/opinions/2023/34-96613.pdf 2023-01-09 Saving2Retire, LLC, and Marian P. Young, et al. Good Vibration Shoes, Inc. (n/k/a Allied Corp.) Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96614 https://www.sec.gov/litigation/opinions/2023/34-96614.pdf 2023-01-09 Saving2Retire, LLC, and Marian P. Young, et al. Motherway, Daniel Paul Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96615 https://www.sec.gov/litigation/opinions/2023/34-96615.pdf 2023-01-09 Saving2Retire, LLC, and Marian P. Young, et al. Smith, Eric S. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96616 https://www.sec.gov/litigation/opinions/2023/34-96616.pdf 2023-01-09 Saving2Retire, LLC, and Marian P. Young, et al. Gray, Michelle Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96618 https://www.sec.gov/litigation/opinions/2023/34-96618.pdf 2023-01-09 Saving2Retire, LLC, and Marian P. Young, et al. Tweed, Robert R. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96619 https://www.sec.gov/litigation/opinions/2023/34-96619.pdf 2023-01-09 Saving2Retire, LLC, and Marian P. Young, et al. Eyecity.com, Inc. (n/k/a Carex Blockchain Platform, Inc.) Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6214 https://www.sec.gov/litigation/opinions/2023/ia-6214.pdf 2023-01-09 Saving2Retire, LLC, and Marian P. Young, et al. Saving2Retire, LLC Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Young, Marian P. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96620 https://www.sec.gov/litigation/admin/2023/34-96620.pdf 2023-01-10 Wellington Sports Club, LLC Martin, Douglas Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96630 https://www.sec.gov/litigation/opinions/2023/34-96630.pdf 2023-01-10 Saving2Retire, LLC, and Marian P. Young, et al. Jones, Robbi J. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved Kipling Jones & Co., Ltd. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96643 https://www.sec.gov/litigation/admin/2023/34-96643.pdf 2023-01-12 Michael Roy Raynor Raynor, Michael Roy Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96650 https://www.sec.gov/litigation/admin/2023/34-96650.pdf 2023-01-12 Mozido and Medsis, Inc. Hess, Paul Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96651 https://www.sec.gov/litigation/admin/2023/34-96651.pdf 2023-01-12 Clarity Communications Group Mony Krampf, Yarden Moshe Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-96652 https://www.sec.gov/litigation/admin/2023/34-96652.pdf 2023-01-12 African Gold Acquisition Corp. Morgenthau, Cooper J. Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96653 https://www.sec.gov/litigation/admin/2023/34-96653.pdf 2023-01-12 United Bancshares Inc./PA United Bancshares Inc./PA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96659 https://www.sec.gov/litigation/admin/2023/34-96659.pdf 2023-01-13 Mobile Ltd. Streams,Kurt W., CPA Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96660 https://www.sec.gov/litigation/opinions/2023/34-96660.pdf 2023-01-13 Saving2Retire, LLC, and Marian P. Young, et al. Consolidated Arbitration Applications Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96661 https://www.sec.gov/litigation/admin/2023/34-96661.pdf 2023-01-13 Trade Coin Club Tetreault, Jonathan Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 34-96603 https://www.sec.gov/litigation/opinions/2023/34-96603.pdf 2023-01-05 Mark Feathers, et al. Alpine Securities Corporation Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved IA-6211 https://www.sec.gov/litigation/admin/2023/ia-6211.pdf 2023-01-05 Blackrock Multi-Sector Income Trust Robertson, Randy Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved 33-11143 https://www.sec.gov/rules/final/2023/33-11143.pdf 2023-01-06 Adjusting civil monetary penalties authorized by statutes administered by the Commission for inflation, as required by the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015 Adjustment to Civil Monetary Penalty Amounts Gensler Approved Peirce Approved Crenshaw Approved Uyeda Approved Lizárraga Approved