2016-05-06
April 2016
71
34-77504
http://www.sec.gov/litigation/suspensions/2016/34-77504.pdf
2016-04-04
Go EZ Corp.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77497
http://www.sec.gov/litigation/admin/2016/34-77497.pdf
2016-04-01
Amerprise Financial, Inc., Fair Fund
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77498
http://www.sec.gov/litigation/admin/2016/34-77498.pdf
2016-04-01
Amerprise Financial, Inc., Fair Fund
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77503
http://www.sec.gov/litigation/opinions/2016/34-77503.pdf
2016-04-01
Jarkas, Rani T.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77525
http://www.sec.gov/litigation/admin/2016/34-77525.pdf
2016-04-05
Pappas, Steve
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
IA-4361
http://www.sec.gov/litigation/admin/2016/ia-4361.pdf
2016-04-05
Cambridge Investment Research Advisors, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77528
http://www.sec.gov/litigation/admin/2016/34-77528.pdf
2016-04-05
Bastron, Alexander R.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77531
http://www.sec.gov/litigation/admin/2016/34-77531.pdf
2016-04-05
Caughran, William H. Esq.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77532
http://www.sec.gov/litigation/admin/2016/34-77532.pdf
2016-04-05
White, James A.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77542
http://www.sec.gov/litigation/admin/2016/34-77542.pdf
2016-04-06
Thakkar CPA, PLLC
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Williford, Gregory Scott CPA
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Thakkar, Mahesh CPA
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Thakkar, Poovesh
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77544
http://www.sec.gov/litigation/admin/2016/34-77544.pdf
2016-04-06
Expleo Solutions, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Numida, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77546
http://www.sec.gov/litigation/admin/2016/34-77546.pdf
2016-04-06
Skypeck, Thomas E.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77555
http://www.sec.gov/litigation/admin/2016/34-77555.pdf
2016-04-07
Las Vegas Sands Corp.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77566
http://www.sec.gov/litigation/admin/2016/34-77566.pdf
2016-04-08
Ragas, Jabari W.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
IA-4363
http://www.sec.gov/litigation/admin/2016/ia-4363.pdf
2016-04-05
Rivera, Daniel
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77561
http://www.sec.gov/litigation/suspensions/2016/34-77561.pdf
2016-04-08
Royale Globe Holding Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77574
http://www.sec.gov/litigation/suspensions/2016/34-77574.pdf
2016-04-11
Business Marketing Services, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Diversified Corporate Resources, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Great Lakes Recreation Co.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Green Nature USA, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Green St. Energy, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
International Total Services, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
J.P. Cabot Realty, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Multicom Publishing
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Pan American Resources, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Printron, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Seaboard Associates, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Sona Mobile Holdings Group, Ltd.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Standard Holdings Group, Ltd.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
TraceGuard Technologies, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Tradings.net, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
US-Worldlink.com, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Versadial, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Voxcorp, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
W3OTC, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77584
http://www.sec.gov/rules/sro/nms/2016/34-77584.pdf
2016-04-12
Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend Certain Provisions of the OPRA's Fee Schedule
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77585
http://www.sec.gov/rules/sro/nms/2016/34-77585.pdf
2016-04-12
Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend the Professional Subscriber Device-Based Fees Set Forth in OPRA's Fee Schedule
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77586
http://www.sec.gov/rules/sro/nms/2016/34-77586.pdf
2016-04-12
Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend the Redistribution Fee Set Forth in OPRA's Fee Schedule
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77595
http://www.sec.gov/litigation/admin/2016/34-77595.pdf
2016-04-12
Craig Scott Capital, LLC
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Taddonio, Craig S.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Porges, Brent M.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77596
http://www.sec.gov/litigation/admin/2016/34-77596.pdf
2016-04-12
INTL FCStone Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved with Exception
Approved except as to the corporate penalty.
33-10064
http://www.sec.gov/rules/concept/2016/33-10064.pdf
2016-04-13
Business and Financial Disclosure Required by Regulation S-K; Concept release
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77617
http://www.sec.gov/rules/final/2016/34-77617.pdf
2016-04-14
Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants; Final rule
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Not Approved
34-77618
http://www.sec.gov/litigation/admin/2016/34-77618.pdf
2016-04-14
Innovative Business Solutions, LLC
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Jacob, Arthur F., CPA
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77622
http://www.sec.gov/litigation/admin/2016/34-77622.pdf
2016-04-14
Mondeo Investments, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
MPEG Super Site, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Myriad International, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10066
http://www.sec.gov/litigation/opinions/2016/33-10066.pdf
2016-04-14
Equity Trust Company
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77625
http://www.sec.gov/litigation/admin/2016/34-77625.pdf
2016-04-14
Johnson, Reid S.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77628
http://www.sec.gov/rules/sro/occ-an/2016/34-77628.pdf
2016-04-15
The Options Clearing Corporation; Notice of Filing of an Advance Notice Related to the Adoption of an Options Exchange Risk Control Standards Policy
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77630
http://www.sec.gov/litigation/admin/2016/34-77630.pdf
2016-04-15
White, Paul Leon, II
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10067
http://www.sec.gov/litigation/opinions/2016/33-10067.pdf
2016-04-18
Pierce, Gordon Brent
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77644
http://www.sec.gov/litigation/admin/2016/34-77644.pdf
2016-04-19
Logitech International, S.A.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved with Exception
Approved except as to the corporate penalty.
Doktorczyk, Michael
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Bolles, Sherralyn CPA
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10068
http://www.sec.gov/litigation/admin/2016/33-10068.pdf
2016-04-19
Ener1, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Gassenheimer, Charles L.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Seidel, Jeffrey A.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Kamischke, Robert R.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77646
http://www.sec.gov/litigation/admin/2016/34-77646.pdf
2016-04-19
Hesselgesser, Robert D. CPA
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77648
http://www.sec.gov/litigation/admin/2016/34-77648.pdf
2016-04-19
Hartshorn, Bruce A.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77649
http://www.sec.gov/litigation/admin/2016/34-77649.pdf
2016-04-19
TPG Advisors, LLC (d/b/a The Phillips Group Advisors)
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Phillips, Larry M.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77657
http://www.sec.gov/litigation/admin/2016/34-77657.pdf
2016-04-20
Messenbaugh, Laura P. CPA
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77663
http://www.sec.gov/litigation/admin/2016/34-77663.pdf
2016-04-20
Jackson, JoAnn
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77665
http://www.sec.gov/litigation/admin/2016/34-77665.pdf
2016-04-20
Zobrist, Gerry G. Esq.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77669
http://www.sec.gov/litigation/suspensions/2016/34-77669.pdf
http://www.sec.gov/litigation/suspensions/2016/34-77669-o.pdf
2016-04-21
CelLynx Group, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Dot VN, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Global Health Voyager, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77670
http://www.sec.gov/litigation/admin/2016/34-77670.pdf
2016-04-21
CelLynx Group, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Dot VN, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Global Health Voyager, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77671
http://www.sec.gov/litigation/suspensions/2016/34-77671.pdf
http://www.sec.gov/litigation/suspensions/2016/34-77671-o.pdf
2016-04-21
Gold Hills Mining, Ltd.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Massive Dynamics, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
MDU Communications International, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Medisafe 1 Technologies Corp.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77672
http://www.sec.gov/litigation/admin/2016/34-77672.pdf
2016-04-21
Gold Hills Mining, Ltd.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Massive Dynamics, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
MDU Communications International, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Medisafe 1 Technologies Corp.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77683
http://www.sec.gov/litigation/opinions/2016/34-77683.pdf
2016-04-21
Quintanilla, Timothy CPA
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77689
http://www.sec.gov/litigation/admin/2016/34-77689.pdf
2016-04-22
White, Caleb J.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77502
http://www.sec.gov/litigation/opinions/2016/34-77502.pdf
2016-04-01
AutoChina International Limited
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10062
http://www.sec.gov/rules/interp/2016/33-10062.pdf
2016-04-04
Certain Natural Gas and Electric Power Contracts; Proposed guidance
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10071
http://www.sec.gov/rules/final/2016/33-10071.pdf
2016-04-22
Adoption of Updated EDGAR Filer Manual; Final rule
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10073
http://www.sec.gov/rules/other/2016/33-10073.pdf
2016-04-22
Order Regarding Review of FASB Accounting Support Fee for 2016 Under Section 109 of the Sarbanes-Oxley Act of 2002
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77699
http://www.sec.gov/rules/other/2016/34-77699.pdf
2016-04-22
Security-Based Swap Data Repositories; ICE Trade Vault, LLC; Notice of Filing of Application for Registration as a Security-Based Swap Data Repository
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77712
http://www.sec.gov/litigation/admin/2016/34-77712.pdf
2016-04-26
North East Capital, LLC Fair Fund
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77717
http://www.sec.gov/litigation/admin/2016/34-77717.pdf
2016-04-26
Cabela's Incorporated
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved with Exception
Approved except as to the corporate penalty.
Castner, Ralph W. CPA
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77718
http://www.sec.gov/litigation/admin/2016/34-77718.pdf
2016-04-26
David S. Hall, P.C. d/b/a The Hall Group CPAs
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Hall, David S. CPA
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Helterbran Cochran, Michele L. CPA
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Cisneros, Susan A.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77724
http://www.sec.gov/rules/sro/nms/2016/34-77724.pdf
2016-04-27
Joint Industry Plan; Notice of Filing of the National Market System Plan Governing the Consolidated Audit Trail by BATS Exchange, Inc., BATS-Y Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, ISE Gemini, LLC, Miami International Securities Exchange LLC, 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
34-77725
http://www.sec.gov/litigation/admin/2016/34-77725.pdf
2016-04-27
Chinea, Benito
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77727
http://www.sec.gov/litigation/admin/2016/34-77727.pdf
2016-04-27
Bethancourt, Tomas Alberto Clarke
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77728
http://www.sec.gov/litigation/admin/2016/34-77728.pdf
2016-04-27
DeMeneses, Joseph Flores Jr.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77729
http://www.sec.gov/litigation/admin/2016/34-77729.pdf
2016-04-27
Hurtado, Jose Alejandro
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77730
http://www.sec.gov/litigation/admin/2016/34-77730.pdf
2016-04-27
Lujan, Ernesto
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
IA-4378
http://www.sec.gov/litigation/admin/2016/ia-4378.pdf
2016-04-27
Professional Investment Management, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
IA-4379
http://www.sec.gov/litigation/admin/2016/ia-4379.pdf
2016-04-27
Bliss, Roger S.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77735
http://www.sec.gov/litigation/suspensions/2016/34-77735.pdf
2016-04-28
Pineapple Express, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77738
http://www.sec.gov/litigation/suspensions/2016/34-77738.pdf
2016-04-29
Pioneer Exploration, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Premier Brands, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Private Media Group, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77739
http://www.sec.gov/litigation/admin/2016/34-77739.pdf
2016-04-29
Pioneer Exploration, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Premier Brands, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Private Media Group, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77740
http://www.sec.gov/litigation/suspensions/2016/34-77740.pdf
2016-04-29
Coyote Resources, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Harbor Island Development Corp.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Medical Makeover Corp. of America
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Shades Holdings, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77741
http://www.sec.gov/litigation/admin/2016/34-77741.pdf
2016-04-29
Coyote Resources, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Harbor Island Development Corp.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Medical Makeover Corp. of America
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Shades Holdings, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77745
http://www.sec.gov/litigation/admin/2016/34-77745.pdf
2016-04-29
Scolaro, Joseph A. CPA
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Santos, Postal & Co., P.C.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77746
http://www.sec.gov/rules/other/2016/34-77746.pdf
2016-04-29
In the Matter of the Application of the Financial Regulatory Authority, Inc. For an Order Granting the Approval of Steven Rattner As an Investment Banking Representative With Guggenheim Securities, LLC; Order Vacating Commission Approval Order
Mary Jo White
Not Participating
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77750
http://www.sec.gov/rules/sro/dtc-an/2016/34-77750.pdf
2016-04-29
The Depository Trust Company; National Securities Clearing Corporation; Notice of Filing of and No Objection to Advance Notices to Renew the Credit Facility
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
IA-4374
http://www.sec.gov/litigation/admin/2016/ia-4374.pdf
2016-04-20
Ginsparg, Daniel N.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-77704
http://www.sec.gov/litigation/suspensions/2016/34-77704.pdf
http://www.sec.gov/litigation/suspensions/2016/34-77704-o.pdf
2016-04-26
Valentine Beauty Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved