2016-03-02
February 2016
75
34-77005
http://www.sec.gov/litigation/admin/2016/34-77005.pdf
2016-02-01
SAP SE
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77010
http://www.sec.gov/litigation/admin/2016/34-77010.pdf
2016-02-01
RSL Communications Ltd.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Simplayer.com Ltd.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Six Diamond Resorts International
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Zimtu Technologies, Inc.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77011
http://www.sec.gov/litigation/admin/2016/34-77011.pdf
2016-02-01
DCI Telecommunications, Inc.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Helionetics, Inc.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
LDP-III, A California Limited Partnership
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Lyric International, Inc.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Q-Net Technologies, Inc.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Seiler Pollution Control Systems, Inc.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
The Mortgage Bancfund of America II, L.P.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77016
http://www.sec.gov/litigation/admin/2016/34-77016.pdf
2016-02-02
Omnibus Order Directing the Appointment of Tax Administrator in Adminstrative Proceedings that Establish Distribution Funds
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10016
http://www.sec.gov/litigation/admin/2016/33-10016.pdf
2016-02-02
Barclays Capital Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10017
http://www.sec.gov/litigation/admin/2016/33-10017.pdf
2016-02-02
First Midstate Incorporated
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10018
http://www.sec.gov/litigation/admin/2016/33-10018.pdf
2016-02-02
Boenning & Scattergood, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10019
http://www.sec.gov/litigation/admin/2016/33-10019.pdf
2016-02-02
D.A. Davidsonson & Co.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10020
http://www.sec.gov/litigation/admin/2016/33-10020.pdf
2016-02-02
Jefferies Group LLC
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10021
http://www.sec.gov/litigation/admin/2016/33-10021.pdf
2016-02-02
KeyBanc Capital Markets Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10022
http://www.sec.gov/litigation/admin/2016/33-10022.pdf
2016-02-02
Janney Montgomery Scott LLC
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10024
http://www.sec.gov/litigation/admin/2016/33-10024.pdf
2016-02-02
TD Securities (USA) LLC
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10025
http://www.sec.gov/litigation/admin/2016/33-10025.pdf
2016-02-02
Municipal Capital Markets Group, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10027
http://www.sec.gov/litigation/admin/2016/33-10027.pdf
2016-02-02
Roosevelt & Cross, Incorporated
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10028
http://www.sec.gov/litigation/admin/2016/33-10028.pdf
2016-02-02
Wells Fargo Bank, N.A. Municipal Products Group
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10029
http://www.sec.gov/litigation/admin/2016/33-10029.pdf
2016-02-02
United Bankers' Bank
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77052
http://www.sec.gov/litigation/admin/2016/34-77052.pdf
2016-02-04
Donnelly, Michael
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77056
http://www.sec.gov/litigation/admin/2016/34-77056.pdf
2016-02-04
E.S. Financial Services, Inc. n/k/a Brickell Global Markets, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77057
http://www.sec.gov/litigation/admin/2016/34-77057.pdf
2016-02-04
Plaza, Ignacio Cueto
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77058
http://www.sec.gov/litigation/admin/2016/34-77058.pdf
2016-02-04
SciClone Pharmaceuticals, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77062
http://www.sec.gov/litigation/opinions/2016/34-77062.pdf
2016-02-04
Ramcon Financial LLC
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77061
http://www.sec.gov/litigation/admin/2016/34-77061.pdf
2016-02-04
CBC Acquisition Corp. 1
Mary Jo White
Approved
Luis A. Aguilar
Approved
Daniel M. Gallagher
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
China Renewable Construction Material, Inc.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Daniel M. Gallagher
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Whoopass Poker Corp.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Daniel M. Gallagher
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
WNC Housing Tax Credit Fund VI, L.P., Series 12
Mary Jo White
Approved
Luis A. Aguilar
Approved
Daniel M. Gallagher
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77060
http://www.sec.gov/litigation/admin/2016/34-77060.pdf
2016-02-04
Bailey Frances Corp.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Daniel M. Gallagher
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Kingly Chateau Corp.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Daniel M. Gallagher
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Lucy's Water World, Inc.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Daniel M. Gallagher
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10035
http://www.sec.gov/litigation/opinions/2016/33-10035.pdf
2016-02-05
Cooper, Jacob Keith
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10036
http://www.sec.gov/litigation/admin/2016/33-10036.pdf
2016-02-05
BioElectronics Corp.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
IBEX, LLC
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
St. John's, LLC
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Whelan, Andrew J.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Whelan, Kelly A. CPA
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Bedwell, Robert P. CPA
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77075
http://www.sec.gov/litigation/admin/2016/34-77075.pdf
2016-02-05
Stilwell Value, LLC
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Stilwell, Joseph
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10023
http://www.sec.gov/litigation/admin/2016/33-10023.pdf
2016-02-02
Hilltop Securities Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10026
http://www.sec.gov/litigation/admin/2016/33-10026.pdf
2016-02-02
Mitsubishi UFJ Securities (USA), Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10030
http://www.sec.gov/rules/other/2016/33-10030.pdf
2016-02-02
Certain Underwriters Participating in the Municipalities Continuing Disclosure Cooperation Initiative
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10037
http://www.sec.gov/litigation/admin/2016/33-10037.pdf
2016-02-09
Monsanto Company
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved with Exception
Approved except as to the corporate penalty.
Brunnquell, Sara M. CPA
Mary Jo White
Approved
.
Kara M. Stein
Approved
.
Michael S. Piwowar
Approved
.
Hartke, Anthony P. CPA
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Nienas, Jonathan W.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
IA-4332
http://www.sec.gov/litigation/admin/2016/ia-4332.pdf
2016-02-09
Rowe, Nicholas
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77094
http://www.sec.gov/litigation/admin/2016/34-77094.pdf
2016-02-09
Spector, Jarrod L.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77099
http://www.sec.gov/litigation/admin/2016/34-77099.pdf
2016-02-09
Bay Peak, LLC
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Not Approved
Roberts, Phillip Cory
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Not Approved
34-77102
http://www.sec.gov/litigation/admin/2016/34-77102.pdf
2016-02-10
Disaster Preparedness Systems, Inc.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Daniel M. Gallagher
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Electric Moto Corp.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Daniel M. Gallagher
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
EMO Corp.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Daniel M. Gallagher
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77104
http://www.sec.gov/rules/final/2016/34-77104.pdf
2016-02-10
Security-Based Swap Transactions Connected with a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed By Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent; Security-Based Swap Dealer De Minimis Exception; Final rule
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77112
http://www.sec.gov/rules/other/2016/34-77112.pdf
2016-02-11
Order Setting Aside Action by Delegated Authority, Approving Proposed Rule Change Concerning The Options Clearing Corporation's Capital Plan and Denying Motions
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10039
http://www.sec.gov/litigation/admin/2016/33-10039.pdf
2016-02-11
Frazer Frost, LLP
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Woo, Susan CPA
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Suen, Miranda CPA
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77123
http://www.sec.gov/rules/sro/nms/2016/34-77123.pdf
2016-02-11
Notice of Filing of Amendment No. 3 to the National Market System Plan for the Selection and Reservation of Securities Symbols Submitted by Financial Industry Regulatory Authority, Inc., BATS Exchange, Inc., BOX Options Exchange, LLC, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., International Securities Exchange, LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange, LLC, NYSE MKT, LLC, and NYSE Arca, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77084
http://www.sec.gov/litigation/opinions/2016/34-77084.pdf
2016-02-08
Manzella, Aliza A.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10038
http://www.sec.gov/litigation/opinions/2016/33-10038.pdf
2016-02-09
Daspin, Edward M.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77109
http://www.sec.gov/litigation/admin/2016/34-77109.pdf
2016-02-10
Fadel, Abdallah
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77132
http://www.sec.gov/litigation/admin/2016/34-77132.pdf
2016-02-12
Wentworth IV, Inc.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Wentworth V, Inc.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Wentworth VI, Inc.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Wentworth VII, Inc.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Wentworth VIII, Inc.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
White Horse Resources, Inc.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Xtreme Healthcare Corporation
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Zylorain, Inc.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77133
http://www.sec.gov/litigation/admin/2016/34-77133.pdf
2016-02-12
Shearson Financial Network, Inc.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Shelby Acquisition I, Inc. (n/k/a Phoenix Capital Source, Inc.)
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Shelby Acquisition II, Inc.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Shelby Acquisition III, Inc.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Shelby Acquisition IV, Inc.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
US WATS Inc.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Western Hemisphere Investments Corporation
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Whirlwind Marketing, Inc.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77135
http://www.sec.gov/litigation/admin/2016/34-77135.pdf
2016-02-12
China Rongxin Chemical Holding Group, Inc.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Daniel M. Gallagher
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Ves Ventures & Holdings, Inc. (a/k/a Helios Energia, Inc., a/k/a Acclerated Acquisitions XXI, Inc.)
Mary Jo White
Approved
Luis A. Aguilar
Approved
Daniel M. Gallagher
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77136
http://www.sec.gov/litigation/admin/2016/34-77136.pdf
2016-02-12
Merrick, Gregory L.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77145
http://www.sec.gov/litigation/admin/2016/34-77145.pdf
2016-02-16
PTC Inc.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77150
http://www.sec.gov/litigation/admin/2016/34-77150.pdf
2016-02-17
Grom, Charles P.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Not Approved
34-77157
http://www.sec.gov/rules/proposed/2016/34-77157.pdf
2016-02-17
Covered Broker-Dealer Provisions under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act; Notice of proposed rulemaking
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77161
http://www.sec.gov/litigation/admin/2016/34-77161.pdf
2016-02-17
Glidewell, Donald J. CPA
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved with Exception
Approved except as to the Section 304 of the Sarbanes-Oxley Act of 2002 clawbacks.
34-77162
http://www.sec.gov/litigation/admin/2016/34-77162.pdf
2016-02-17
Barcenas, Julieta Favela
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77163
http://www.sec.gov/litigation/opinions/2016/34-77163.pdf
2016-02-17
Bebo, Laurie
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Buono, John CPA
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77166
http://www.sec.gov/litigation/admin/2016/34-77166.pdf
2016-02-17
Digiblue Media, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Morgain Minerals Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
New World Batteries, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
North Pacific GeoPower Corp.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Northern Canadian Uranium Inc. (f/k/a Northern Canadian Minerals Inc.)
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77167
http://www.sec.gov/litigation/admin/2016/34-77167.pdf
2016-02-17
Ceyoniq AG (n/k/a CEYONIQ, Inc.)
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Market Data Consultants, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Mentergy Ltd. (a/k/a Gilat Communications Ltd.)
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Mid-Am Systems, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Nu Energy Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10040
http://www.sec.gov/litigation/opinions/2016/33-10040.pdf
2016-02-18
Daspin, Edward M.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77172
http://www.sec.gov/rules/proposed/2016/34-77172.pdf
2016-02-18
Extension of Comment Period for Advance Notice of Proposed Rulemaking; Concept Release; Request for Comment
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77176
http://www.sec.gov/litigation/admin/2016/34-77176.pdf
2016-02-18
Moore, Charles
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10042
http://www.sec.gov/litigation/admin/2016/33-10042.pdf
2016-02-19
IBC Funds, LLC
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77178
http://www.sec.gov/litigation/suspensions/2016/34-77178.pdf
http://www.sec.gov/litigation/suspensions/2016/34-77178-o.pdf
2016-02-19
AI Document Services, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Creative Edge Nutrition, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Interactive Health Network
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77185
http://www.sec.gov/litigation/admin/2016/34-77185.pdf
2016-02-19
Prezioso, Nicholas A.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77205
https://www.sec.gov/rules/sro/nms/2016/34-77205.pdf
2016-02-22
Filing of the Tenth Amendment to the National Market System Plan to Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77204
http://www.sec.gov/litigation/opinions/2016/34-77204.pdf
2016-02-22
Bebo, Laurie
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Buono, John CPA
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77207
http://www.sec.gov/litigation/admin/2016/34-77207.pdf
2016-02-23
Maiher, Jason
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
IA-4338
http://www.sec.gov/litigation/admin/2016/ia-4338.pdf
2016-02-23
Cantella & Co.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
IA-4339
http://www.sec.gov/litigation/opinions/2016/ia-4339.pdf
2016-02-23
Goyal, Sandeep
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
IA-4343
http://www.sec.gov/litigation/admin/2016/ia-4343.pdf
2016-02-24
Sarris, Emanuel L. Sr.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77224
http://www.sec.gov/litigation/admin/2016/34-77224.pdf
2016-02-24
Lee, David S. CPA
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77225
http://www.sec.gov/litigation/admin/2016/34-77225.pdf
2016-02-24
Lopez, Mark A.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77227
http://www.sec.gov/litigation/admin/2016/34-77227.pdf
2016-02-24
Infrastructure International, Inc.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77228
http://www.sec.gov/litigation/admin/2016/34-77228.pdf
2016-02-24
TexStar Oil Corp.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Bonamour, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77231
http://www.sec.gov/litigation/admin/2016/34-77231.pdf
2016-02-25
Quintanilla, Timothy CPA
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77237
http://www.sec.gov/litigation/admin/2016/34-77237.pdf
2016-02-25
DE Acquisition 5, Inc.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
DE Acquisition 11, Inc.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
GimmeaBid.com, Inc. (a/k/a Gimmeabid Com Inc.)
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77238
http://www.sec.gov/litigation/admin/2016/34-77238.pdf
2016-02-25
Chardan China Acquisition Corp.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Garden Bay International, Ltd.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77253
http://www.sec.gov/litigation/admin/2016/34-77253.pdf
2016-02-29
Santos, Maximillian
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77254
http://www.sec.gov/litigation/admin/2016/34-77254.pdf
2016-02-29
KeyBanc Capital Markets Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved