2026-02-27 2021 2021-01-08 Hoffman, Kerry ClaytonApproved JacksonNot Participating PeirceApproved with ExceptionApproved except as to the Section 206(1) and 206(2) charges RoismanApproved 2021-09-29 Lee, Yong GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-11-29 Liu, Vicky ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-12-08 American Renal Associates Holdings, Inc. GenslerApproved PeirceApproved with ExceptionApproved except as to the Penalty RoismanApproved LeeApproved CrenshawApproved 2021-06-15 Hussain, Saber ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-06-15 Kunadharaju, Ganapathi ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-06-15 Malempati, Prasad ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-09-07 Stegmayer, Joseph GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-11-15 NTV Financial Group, Inc. ClaytonApproved JacksonApproved PeirceApproved RoismanApproved 2021-03-23 Aman, Jose Angel ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-11-22 Malnik, Dov ClaytonApproved JacksonApproved PeirceApproved RoismanApprovedLeeApproved 2021-02-04 Esh, Todd A. ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-09-29 Torkan, Joubin GenslerApproved PeirceNot Approved RoismanApproved LeeApproved CrenshawApproved 2021-02-03 Shamoun, Peter K. ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-02-03 Pramana Capital, Inc. ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-09-23 Portalatin, Manuel GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-02-03 Zabala, Craig A. ClaytonApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-11-12 Amiran, Ran LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2021-04-15 Correia, David LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2021-12-28 Raynor, Michael Roy ClaytonApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-12-28 Sobel, Lee GenslerApproved PeirceApproved RoismanApproved LeeApproved 2021-09-02 Bae, Jae Hyeon GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-03-05 DSE Retail Limited ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-03-05 Piptastic Limited ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-01-28 Johnson, Anthony Todd ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-01-28 Johnson, Jeremy T. ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-11-24 Lloyd, Charles G. ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-01-14 Portillo, Richard A. ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-01-14 CIS Marketing, LLC ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-01-28 GPA Enterprises LLC ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-01-28 Green Bud Initiatives LLC ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-11-24 Lloyd Marketing, LLC ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-01-14 RJ Holdings Group, LLC ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-01-28 Smart Initiatives, LLC ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-01-28 Target Equity LLC ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-01-28 Valley View Enterprises LLC ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-01-28 Zabala Farms Group, LLC ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-09-23 Gity, Thomas Sr. ClaytonApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-05-03 Genesis E&P, Inc. ClaytonApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-06-27 Bannon, Marcus GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-06-27 Ramaiya, Naresh GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-06-27 Rauch, Matthew GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-06-27 Sood, Naveen GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-03-25 van Arem, John Alexander GenslerApproved PeirceApproved RoismanApproved LeeApproved 2021-07-13 Russell, Sonja Marie ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-10-21 Wright, William D. CPA ClaytonApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-11-12 Graham, Hughe Duwayne Sr. ClaytonApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-11-12 Howard, Donald W. LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2021-12-13 Clark, Christopher J. ClaytonApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-11-02 Black Lion Investment Partners, Inc. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-12-01 Simeo, Tom ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-12-01 Sperry, Kirk ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-12-01 Sperry and Sons Capital Investments, LLC ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-12-01 Pryor, Gary F. ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-12-01 Lendaily, Inc. ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-12-01 ZipRemit, Inc. ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-12-01 Pryor, Rebecca LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2021-12-15 Krcil, John L. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-12-15 Rose, Lee S. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-12-15 Wooten, Edward L. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-12-21 Walker, Matthew L. ClaytonApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-11-19 Rotter, Austin GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-11-12 Pereira, Gino M. ClaytonApproved JacksonApproved PeirceApproved RoismanApproved 2021-06-28 Jones, Erik Christian LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2021-11-24 Michael, David LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2021-11-24 Moleski, Stephen Scott LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2021-11-23 Ledbetter, Andrew Dale ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-11-02 Blue Rock Ventures, LLC GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-11-02 Windy City Accelerated Returns Venture I, LLC GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-10-27 Akazoo S.A. ClaytonApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-01-13 Russell, Sonja Marie ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-11-24 Austin Marketing Group, LLC LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2021-11-24 Austin Media Group, LLC LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2021-11-24 Austin Partners I, LLC LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2021-11-24 Austin Partners, LLC LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2021-10-22 Alliance Management Group, LLC LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2021-03-18 Renewable Technologies Solution, Inc. ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-05-03 SMRB, LLC ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-12-01 Sequential Brands Group, Inc. ClaytonApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-01-19 Starkweather, Michael J. ClaytonApproved JacksonNot Participating PeirceApproved RoismanApproved 2021-11-30 Andiamo Corporation ClaytonApproved JacksonNot Participating PeirceApproved RoismanApproved 2021-11-19 Cohen, Carol E. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-11-09 Prestige Global Trading, Ltd. ClaytonApproved JacksonApproved PeirceApproved RoismanApproved 2021-11-09 Sienna Business Group, Inc. ClaytonApproved JacksonApproved PeirceApproved RoismanApproved 2021-11-19 Griffithe, Guy Scott ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-11-19 Russell, Robert William ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-03-18 Green Acres Pharms, LLC ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-11-09 Oharriz, Elizabeth S. ClaytonApproved JacksonApproved PeirceApproved RoismanApproved 2021-11-09 Diversified Initiatives Consulting & Logistics, Inc. ClaytonApproved JacksonApproved PeirceApproved RoismanApproved 2021-11-15 New Summit Homes, Inc. ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-11-02 Gordon, Jefferey A. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-11-09 Baker, Peter J. ClaytonApproved JacksonApproved PeirceApproved RoismanApproved 2021-10-28 Fernandez, Andres ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-11-15 Farish, Jerry Lee ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-11-22 Boccara, Guillaume David GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-10-28 Denizard, Edison ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-10-27 Vick, Ann M. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-11-22 Goodman, Isaiah LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2021-09-22 Michael, Karen GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-10-07 Moleski, Stephen Scott ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-10-07 Wolfson, David Alan ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-10-07 Grossman, Stephen Kenneth ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-10-15 Trikantzopoulos, Vassilios ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-10-15 Navis Ventures LLC ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-10-15 Mazitova, Natalia Aleksandrovna ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-10-15 Sotnikov, Denis Georgiyevich ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-10-15 AGQ Business Group LLC ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-10-15 ATL Business Group LLC ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-10-15 Adaptive Technology LLC ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-10-15 BO&SA Corp. ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-10-15 DN Industrial LLC ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-10-15 Expert Digital LLC ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-10-15 Great Imperial LLC ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-10-15 HRC Clearing House LLC ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-10-15 Inteko Cargo LLC ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-10-21 Rafiq, Shamoon Omer ClaytonApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-10-21 Rowland, Alexander ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-10-22 Boggs, Marcus ClaytonApproved JacksonApproved PeirceApproved with ExceptionApproved except as to the Sections 206(1) and 206(2) charges RoismanApproved LeeApproved 2021-04-08 Becker, Thomas ClaytonApproved JacksonApproved PeirceApproved RoismanApproved 2021-04-08 Thomas, John F ClaytonApproved JacksonApproved PeirceApproved RoismanApproved 2021-10-04 OSTERTAG, DAMIEN ClaytonApproved JacksonApproved PeirceApproved RoismanApproved 2021-10-04 Martin, Douglas ClaytonApproved JacksonApproved PeirceApproved RoismanApproved 2021-10-08 Parkhurst, Robert Scott GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-10-08 Kleyman, Howard S., Esq. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-09-16 Nall, James Wallace, III JacksonApproved ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-09-22 Graham, Hughe Duwayne, Sr. ClaytonApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-04-09 Howard, Donald Lee ClaytonApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-09-22 Howard, Donald W. LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2021-09-13 Bauman, Frederick, Esq. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-09-08 Ahn, Mark ClaytonApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-09-03 Barr, Leonard R. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-04-14 Clark, Roberto J. ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-09-20 Randall, Richard GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-09-27 Sneed, Clifton Curtis, Jr. ClaytonApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-09-15 KRM Services, LLC ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-09-29 Huang, Crystal A. GenslerApproved PeirceApproved with ExceptionApproved except as to the conduct-based injunction on participating in the issuance, purchase, offer or sale of any security RoismanApproved LeeApproved CrenshawApproved 2021-09-29 ProSky, Inc. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-09-29 T and C Partnership, LLC GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-09-10 Kamensky, Daniel ClaytonApproved PeirceNot Approved RoismanApproved LeeApproved CrenshawApproved 2021-08-20 Lawrence, Marc ClaytonApproved JacksonApproved PeirceApproved RoismanApproved 2021-08-20 Wagner, David ClaytonApproved JacksonApproved PeirceApproved RoismanApproved 2021-09-08 Downing Digital Healthcare Group, LLC ClaytonApproved JacksonApproved PeirceApproved RoismanApproved 2021-09-08 Downing Investment Partners, LP ClaytonApproved JacksonApproved PeirceApproved RoismanApproved 2021-09-08 Downing Partners, LLC ClaytonApproved JacksonApproved PeirceApproved RoismanApproved 2021-09-09 Atlas, Jan Douglas, Esq. ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-09-09 Hofmann, Klaus ClaytonApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-09-21 DiChiara, Peter ClaytonApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-08-31 Elstun, Douglas E. LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2021-08-09 Ortiz, David P. LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2021-08-16 Marsoubian, Eric GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-08-13 Tajyar, Ahmad Haris GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-08-17 Garcia, Oscar GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-08-21 Loughran, Matthew GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-08-17 Uulala, Inc. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-08-24 Brown, Steven Fitzgerald ClaytonApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-08-23 Samel, Charles ClaytonApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-02-05 Mellon, Jennifer ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-08-17 Hansen, David H. ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-08-17 Yellowstone Partners, LLC ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-08-09 Schwartz, Steven A. ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-08-20 Francis, John C. ClaytonApproved JacksonNot Participating PeirceApproved RoismanApproved 2021-08-20 Potts, Robert C. ClaytonApproved JacksonNot Participating PeirceApproved RoismanApproved 2021-08-20 Thomas, Johnny R. ClaytonApproved JacksonNot Participating PeirceApproved RoismanApproved 2021-08-20 Woodard, Jonathan Brett ClaytonApproved JacksonNot Participating PeirceApproved RoismanApproved 2021-08-20 Megas, Thomas ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-07-30 Bannister, Natalie ClaytonApproved JacksonNot Participating PeirceApproved RoismanApproved 2021-07-30 Lawler, William Scott ClaytonApproved JacksonNot Participating PeirceApproved RoismanApproved 2021-07-09 Stow, Frederick M ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-07-09 Arena, Paul R. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-07-09 Bradley, Nathaniel T. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-07-09 Parallax Health Sciences, Inc. GenslerApproved PeirceApproved with ExceptionApproved except as to the penalty RoismanApproved LeeApproved CrenshawApproved 2021-07-20 Brickner, Steven Lawrence ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-07-27 Mixon, Todd W. ClaytonApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-07-13 Singal, Suneet ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-07-13 First Capital Real Estate Advisors, LP ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-07-13 First Capital Real Estate Investments LLC ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-07-13 First Capital Real Estate Trust Inc. ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-07-08 Szatmari, Peter ClaytonApproved JacksonApproved PeirceApproved RoismanApproved 2021-07-19 Radjabli, Edgar M. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-07-19 Apis Capital Management LLC GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-07-19 My Loan Doctor LLC GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-07-09 Boice, Daniel ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-07-09 Mellon, Jennifer ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-07-09 GoLean, Inc. ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-07-09 Trustify, Inc. ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-06-30 Carter, Michael B. ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-06-28 Phillips, Ronald ClaytonApproved SteinApproved PiwowarApproved JacksonApproved PeirceApproved 2021-06-23 Berko, Asante K. ClaytonNot Participating JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-06-22 Core Agents, Ltd. ClaytonApproved SteinApproved JacksonApproved PeirceApproved 2021-06-22 Gata-Aura, Savraj ClaytonApproved SteinApproved JacksonApproved PeirceApproved 2021-06-15 Batra, Abhi RoismanApproved PeirceApproved LeeApproved CrenshawApproved 2021-06-11 King, Matthew B. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-06-11 King, Randy R. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-06-11 Trout, Andrea S. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-06-11 Colorado Ventures I, LLC GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-06-11 Radiant Holdings, LLC GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-06-11 The Legacy Group, Inc. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-06-09 Calice, Chad GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-06-09 Hand, Holly GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-06-09 Wang, Songjiang ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-06-08 Lindner, Robert J. ClaytonApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-06-08 Lindner Capital Advisors, Inc. ClaytonApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-04-21 Burroughs, Lester W. ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-04-21 Beserglik, Gil ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-04-21 Beserglik, Raz ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-04-21 Petersen, Kai ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-04-21 Lembex Global Investments, Ltd. ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-04-21 Shraga Holdings, Ltd. ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-05-03 Seth, Robert Todd ClaytonApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-05-05 Cygnus Capital Management, LLC ClaytonApproved PeirceApproved with ExceptionApproved except as to the penalty RoismanApproved LeeApproved CrenshawApproved 2021-05-18 Gagaza, Roy Y. ClaytonApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-05-27 Bari, Mohammed A. M.D. ClaytonApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-04-02 Alford, Clarence Dean ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-04-19 Snyder, Jessica ClaytonApproved JacksonApproved PeirceApproved RoismanApproved 2021-04-20 Dang, Hai Khoa ClaytonApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-04-23 Jones, Corbyn W. Esq. LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2021-04-30 King, Rahsaan GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-04-30 Students of Strength, Inc. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-02-24 Fulco, Christopher ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-02-24 Milione, Jamie LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2021-02-24 JM Capital Holdings LLC ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-02-01 Wilson, Robert W. ClaytonApproved SteinApproved PiwowarApproved 2021-01-14 Goman, Daniel ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-01-14 OwnZones Media Network, Inc. ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-03-23 Ross, Ishmail Calvin ClaytonApproved JacksonApproved PeirceApproved RoismanApproved 2021-03-19 White, Andrew L. LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2021-03-19 Ventrilla, Richard ClaytonApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-03-04 Stewart, Glen A. LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2021-03-25 Nerren, Dike Boone ClaytonApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-03-17 Dantin, Chris A. LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2021-03-17 Dantin, Christopher D. LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2021-03-17 Goman, Joseph ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-03-31 Wendt, Jason M. LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2021-03-31 EarthSource Minerals International, LLC LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2021-03-31 Willingham, James Hurst Jr. ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-03-30 Costabile, Armando LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2021-03-30 Palermo, Michael J. LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2021-03-30 Abundant Resource Development, LLLP LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2021-03-30 Premier Minerals International, LLC LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2021-03-08 Renew Development Group, LLLP LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2021-03-08 Renew Forestry Group, LLC LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2021-03-08 Renew Holdings, LLC LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2021-03-08 Garrick, Craig C. Jr. LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2021-03-08 Miller, Brian A. LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2021-02-25 Bolton Securities Corporation ClaytonApproved JacksonApproved PeirceApproved with ExceptionApproved except as to Sections 206(2), 206(4), and Rule 206(4)-7 charges RoismanApproved LeeApproved 2021-02-19 Booth, James T. ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-02-16 Graetz, Kevin ClaytonApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-02-16 Hede, Minish ClaytonApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-02-12 Lundervold, Allan L. ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-02-12 Schena, Rene ClaytonApproved PeirceApproved RoismanApproved LeeApproved CrenshawNot Participating 2021-02-12 Arrayit Corporation ClaytonApproved PeirceApproved with ExceptionApproved except as to the penalty RoismanApproved LeeApproved CrenshawNot Participating 2021-02-04 Luckin Coffee Inc. ClaytonApproved PeirceApproved with ExceptionApproved except as to the penalty RoismanApproved LeeApproved CrenshawApproved 2021-01-21 Pittsenbargar, Brett ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-01-21 BP Financials, LLC ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2021-01-20 Fisher, Michael David ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-01-20 Montgomery, Paul Russell Jr. ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2021-01-20 Thompson, Geoffrey J. ClaytonApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2021-01-19 Beane, Stacey L. ClaytonApproved PeirceApproved with ExceptionApproved except as to the penalty RoismanApproved LeeApproved 2021-01-19 Laska, Travis M. ClaytonApproved PeirceApproved with ExceptionApproved except as to the penalty RoismanApproved LeeApproved 2021-01-13 Madsen, Clark J. RoismanApproved PeirceApproved LeeApproved CrenshawApproved 2021-01-13 Merriman, Daniel J. RoismanApproved PeirceApproved LeeApproved CrenshawApproved 2021-01-13 Robbins, Thomas J. RoismanApproved PeirceApproved LeeApproved CrenshawApproved 2021-01-13 Wiseman, Mark W. RoismanApproved PeirceApproved LeeApproved CrenshawApproved 2021-01-13 ConTXT, Inc. RoismanApproved PeirceApproved with ExceptionApproved except as to the disgorgement, prejudgment interest, and penalty LeeApproved CrenshawApproved 2021-01-05 White, William ClaytonApproved SteinApproved JacksonApproved PeirceApproved RoismanApproved