2016-04-08
March 2016
70
34-77255
http://www.sec.gov/litigation/admin/2016/34-77255.pdf
2016-07-07
Lazare Kaplan International, Inc.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77257
http://www.sec.gov/litigation/admin/2016/34-77257.pdf
2016-03-01
Metzler, Patricia Zajick
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Metzler, Daniel P.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Zajick, Donald C.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77258
http://www.sec.gov/litigation/admin/2016/34-77258.pdf
2016-03-01
Gincel, Lawrence M.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77259
http://www.sec.gov/litigation/admin/2016/34-77259.pdf
2016-03-01
Salamone, Craig N.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77260
http://www.sec.gov/litigation/admin/2016/34-77260.pdf
2016-03-01
Map IV Acquisition, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Med-Zone Biotechnologies Acquisition, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Millennium Direct, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77261
http://www.sec.gov/litigation/admin/2016/34-77261.pdf
2016-03-01
Qualcomm Incorporated
Mary Jo White
Not Participating
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77265
http://www.sec.gov/rules/exorders/2016/34-77265.pdf
2016-03-01
Order Granting Exemptions from Certain Provisions of Rule 613 Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77270
http://www.sec.gov/litigation/admin/2016/34-77270.pdf
2016-03-01
Rey, Janice D.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77271
http://www.sec.gov/litigation/admin/2016/34-77271.pdf
2016-03-01
McLean, Devon C.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77272
http://www.sec.gov/litigation/admin/2016/34-77272.pdf
2016-03-02
Natural Resources Corporation
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77273
http://www.sec.gov/litigation/admin/2016/34-77273.pdf
2016-03-02
Elsinore Capital II, Ltd.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
EPS Solutions Corp.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Free DA Connection Systems, Inc. (a/k/a Free DA Connection Services, Inc., a/k/a Earthshine Interational Ltd.)
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
ia-4348
http://www.sec.gov/litigation/admin/2016/ia-4348.pdf
2016-03-02
Marco Investment Management, LLC
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Marco, Steven S.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77278
http://www.sec.gov/litigation/admin/2016/34-77278.pdf
2016-03-03
Reid, Joseph Denard (a/k/a Reid Joseph Denard)
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Shared 1, Inc.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Vanport Acquisition I, Corp.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Westview Acquisition Corp.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Wi-Net Communications Inc.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Wisdom Holdings, Inc.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Yang Holding Company
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Youngheart Production Holding Co, Inc.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10050
http://www.sec.gov/litigation/admin/2016/33-10050.pdf
2016-03-07
Parisi, Francis
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77300
http://www.sec.gov/litigation/admin/2016/34-77300.pdf
2016-03-07
First Southwest Company, LLC
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77313
http://www.sec.gov/litigation/admin/2016/34-77313.pdf
2016-03-08
eCareer Holdings, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10051
http://www.sec.gov/litigation/admin/2016/33-10051.pdf
2016-03-08
EquityStar Capital Management, LLC
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Zoernack, Steven
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77323
http://www.sec.gov/rules/sro/nms/2016/34-77323.pdf
2016-03-08
Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options to Add ISE Mercury, LLC as a Plan Sponsor
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77324
http://www.sec.gov/rules/sro/nms/2016/34-77324.pdf
2016-03-08
Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan to Add ISE Mercury LLC, as a Participant
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77325
http://www.sec.gov/litigation/admin/2016/34-77325.pdf
2016-03-08
Davis, Steven H. Esq.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77326
http://www.sec.gov/litigation/admin/2016/34-77326.pdf
2016-03-08
Geo Global Group Ltd. (f/k/a Geo Genesis Group, Ltd.)
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10053
http://www.sec.gov/litigation/admin/2016/33-10053.pdf
2016-03-09
Westlands Water District
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Birmingham, Thomas W.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Ciapponi, Louie David
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77342
http://www.sec.gov/litigation/admin/2016/34-77342.pdf
2016-03-10
Allred, Joseph R. CPA
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77343
http://www.sec.gov/litigation/admin/2016/34-77343.pdf
2016-03-10
Gray, Wayne CPA
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77344
http://www.sec.gov/litigation/admin/2016/34-77344.pdf
2016-03-10
Krueger, David S. CPA
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77345
http://www.sec.gov/litigation/admin/2016/34-77345.pdf
2016-03-10
Magnum Hunter Resources Corporation
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved with Exception
Approved except as to the corporate penalty.
34-77346
http://www.sec.gov/litigation/admin/2016/34-77346.pdf
2016-03-10
Ormand, Ronald D.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
SIPA-175
http://www.sec.gov/rules/other/2016/sipa-175.pdf
2016-03-14
Securities Investor Protection Corporation; Final rule
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77362
http://www.sec.gov/litigation/admin/2016/34-77362.pdf
2016-03-14
Royal Alliance Associates, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
SagePoint Financial Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
FSC Securities Corporation
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77369
http://www.sec.gov/litigation/admin/2016/34-77369.pdf
2016-03-15
Central States Capital Markets, LLC
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Detter, Mark R.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Malone, David K.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Stepp, John D.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10055
http://www.sec.gov/litigation/admin/2016/33-10055.pdf
2016-03-15
ModusLink Global Solutions, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved with Exception
Approved except as to the corporate penalty.
Lawler, Joseph C.
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.
Crane, Steven G.
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.
Venable, Catherine L.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77373
http://www.sec.gov/litigation/admin/2016/34-77373.pdf
2016-03-15
Clare, Barry B.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77382
http://www.sec.gov/rules/other/2016/34-77382.pdf
2016-03-16
Gardiner, Koch, Weisberg & Wrona
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Koch, James
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Raynolds, Katherine Lynn
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77383
http://www.sec.gov/litigation/admin/2016/34-77383.pdf
2016-03-16
Wolff, Eric J.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77393
http://www.sec.gov/litigation/admin/2016/34-77393.pdf
2016-03-17
Dowd, Kevin L.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77397
http://www.sec.gov/litigation/admin/2016/34-77397.pdf
2016-03-17
CONCERTSBYU.COM, INC.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Freedom Bancshares, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
MetaMorphix Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77375
http://www.sec.gov/litigation/opinions/2016/34-77375.pdf
2016-03-15
McCune, Michael Earl
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77396
http://www.sec.gov/litigation/opinions/2016/34-77396.pdf
2016-03-17
Dratel, William M.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
The Dratel Group, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77398
http://www.sec.gov/litigation/opinions/2016/34-77398.pdf
2016-03-17
DiPietro, Michael Albert
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77399
http://www.sec.gov/litigation/opinions/2016/34-77399.pdf
2016-03-17
Gundaker/Jordan American Holdings (a/k/a Jordan American Holdings, Inc.)
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77411
http://www.sec.gov/litigation/opinions/2016/34-77411.pdf
2016-03-21
Wulf, David R.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77414
http://www.sec.gov/litigation/opinions/2016/34-77414.pdf
2016-03-21
Crucible Capital Group, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77431
http://www.sec.gov/litigation/admin/2016/34-77431.pdf
2016-03-23
Novartis AG
Mary Jo White
Not Participating
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10059
http://www.sec.gov/litigation/admin/2016/33-10059.pdf
2016-03-24
Canaccord Genuity Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77439
http://www.sec.gov/litigation/admin/2016/34-77439.pdf
2016-03-24
Akel, Philip
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10060
http://www.sec.gov/litigation/opinions/2016/33-10060.pdf
2016-03-24
Young, Bernerd E.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77447
http://www.sec.gov/litigation/admin/2016/34-77447.pdf
2016-03-25
Berman & Company, P.A.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Berman, Elliot R. CPA
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77452
http://www.sec.gov/litigation/opinions/2016/34-77452.pdf
2016-03-25
John Vincent Ballard
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77453
http://www.sec.gov/litigation/admin/2016/34-77453.pdf
2016-03-25
Han, Yue
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77462
http://www.sec.gov/litigation/admin/2016/34-77462.pdf
2016-03-28
Maxwell, William
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77277
http://www.sec.gov/rules/sro/nms/2016/34-77277.pdf
2016-03-03
Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan to Implement a Tick Size Pilot Program to Add National Stock Exchange, Inc. as a Participant
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77387
http://www.sec.gov/litigation/suspensions/2016/34-77387.pdf
2016-03-17
Broke Out, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10056
http://www.sec.gov/rules/other/2016/33-10056.pdf
2016-03-18
Regulatory Flexibility Agenda; Notice of semiannual regulatory agenda
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77400
http://www.sec.gov/rules/exorders/2016/34-77400.pdf
2016-03-18
Order Granting a Temporary Exemption Pursuant to Section 36 of the Securities Exchange Act of 1934 from Compliance with Rules 13n-1 to 13n-12 under the Securities Exchange Act of 1934
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77406
http://www.sec.gov/rules/other/2016/34-77406.pdf
2016-03-18
Investors’ Exchange LLC; Notice of Filing of Amendment Nos. 2, 3, and 4 to, and Order Instituting
Proceedings to Determine Whether to Grant or Deny, and Notice of Designation of Longer Period
for Commission Action on Proceedings to Determine Whether to Grant or Deny, an Application
for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange
Act of 1934, as Modified by Amendment Nos. 1, 2, 3, and 4 Thereto
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77407
http://www.sec.gov/rules/interp/2016/34-77407.pdf
2016-03-18
Notice of Proposed Commission Interpretation Regarding Automated Quotations Under Regulation NMS
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77459
http://www.sec.gov/litigation/admin/2016/34-77459.pdf
2016-03-28
Yoo, Linda
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77466
http://www.sec.gov/litigation/admin/2016/34-77466.pdf
2016-03-29
Gibson, Christopher M.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77467
http://www.sec.gov/litigation/admin/2016/34-77467.pdf
2016-03-29
Rings To Dine For, Inc.
Mary Jo White
Approved
Luis A. Aguilar
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77470
http://www.sec.gov/litigation/opinions/2016/34-77470.pdf
2016-03-29
Grivas, Stephen
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77473
http://www.sec.gov/litigation/admin/2016/34-77473.pdf
2016-03-30
Burrill Capital Management, LLC
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Burrill, G. Steven CPA
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Hebert, Victor A. Esq.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Sen, Helena C. CPA
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
SIPA-176
http://www.sec.gov/rules/other/2016/sipa-176.pdf
2016-03-30
Securities Investor Protection Corporation; Order Approving the Determination of the Board of Directors of the Securities Investor Protection Corporation not to Adjust for Inflation the Standard Maximum Cash Advance Amount and Notice of the Standard Maximum Cash Advance Amount
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77482
http://www.sec.gov/litigation/admin/2016/34-77482.pdf
2016-03-31
Lenco Mobile, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77486
http://www.sec.gov/litigation/admin/2016/34-77486.pdf
2016-03-31
Neilsen, James E.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77288
http://www.sec.gov/litigation/admin/2016/34-77288.pdf
2016-03-03
Gourevitch, Mikhail
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77290
http://www.sec.gov/litigation/admin/2016/34-77290.pdf
2016-03-03
Nordion (Canada) Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77347
http://www.sec.gov/litigation/admin/2016/34-77347.pdf
2016-03-10
Stephens, Steele V.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10054
http://www.sec.gov/rules/other/2016/33-10054.pdf
2016-03-14
Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee For Calendar Year 2016
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Not Approved
33-10061
http://www.sec.gov/litigation/admin/2016/33-10061.pdf
2016-03-31
Navistar International Corporation
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Not Approved
34-77496
http://www.sec.gov/litigation/admin/2016/34-77496.pdf
2016-03-31
Clubhouse Videos, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
GLX.com, Inc. (f/k/a American Environmental, Inc., a/k/a GLX, Inc.)
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Mortgage Shakers, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Newbridge Mortgage Corp.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Newcourt Holdings, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved