2017-05-17
January 2017
74
33-10286
https://www.sec.gov/litigation/admin/2017/33-10286.pdf
2017-01-23
Overseas Shipholding Group, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Itkin, Myles Robert
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10287
https://www.sec.gov/litigation/opinions/2017/33-10287.pdf
2017-01-23
Perres, Allen M.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79852
https://www.sec.gov/litigation/suspensions/2017/34-79852.pdf
https://www.sec.gov/litigation/suspensions/2017/34-79852-o.pdf
2017-01-23
PixarBio Corporation
Michael S. Piwowar
Approved
Kara M. Stein
Approved
34-79854
https://www.sec.gov/litigation/admin/2017/34-79854.pdf
2017-01-23
Plate, Ane
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79855
https://www.sec.gov/litigation/admin/2017/34-79855.pdf
2017-01-23
McGuire, Shelly R. CPA
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79856
https://www.sec.gov/litigation/admin/2017/34-79856.pdf
2017-01-23
Jones, Donald P. CPA
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10288
https://www.sec.gov/litigation/admin/2017/33-10288.pdf
2017-01-24
Citigroup Global Markets, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10289
https://www.sec.gov/rules/other/2017/33-10289.pdf
2017-01-24
Citigroup, Inc.
Mary Jo White
Approved
Kara M. Stein
Not Approved
Michael S. Piwowar
Approved
Citigroup Global Markets Holdings, Inc.
Mary Jo White
Approved
Kara M. Stein
Not Approved
Michael S. Piwowar
Approved
33-10290
https://www.sec.gov/litigation/admin/2017/33-10290.pdf
2017-01-24
Morgan Stanley Smith Barney LLC
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10291
https://www.sec.gov/litigation/admin/2017/33-10291.pdf
2017-01-24
Helen, Jan E.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79866
https://www.sec.gov/litigation/admin/2017/34-79866.pdf
2017-01-24
Sandra Dyche Fair Fund
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79867
https://www.sec.gov/litigation/admin/2017/34-79867.pdf
2017-01-24
Block, Geoffrey J.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10293
https://www.sec.gov/litigation/admin/2017/33-10293.pdf
2017-01-25
Windsor Street Capital, L.P. (f/k/a Meyers Associates, L.P.)
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Telfer, John David
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10294
https://www.sec.gov/litigation/admin/2017/33-10294.pdf
2017-01-25
Infeed Medica Corp.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79875
https://www.sec.gov/litigation/admin/2017/34-79875.pdf
2017-01-25
Medina, Richard Jr.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10295
https://www.sec.gov/rules/final/2017/33-10295.pdf
2017-01-26
Adoption of Updated EDGAR Filer Manual; Final rule
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79879
https://www.sec.gov/litigation/admin/2017/34-79879.pdf
2017-01-26
Palestra Capital Management LLC
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79880
https://www.sec.gov/litigation/admin/2017/34-79880.pdf
2017-01-26
Anderson Bradshaw PLLC
Mary Jo White
Approved
Kara M. Stein
Not Approved
Michael S. Piwowar
Approved
Anderson, Russell CPA
Mary Jo White
Approved
Kara M. Stein
Not Approved
Michael S. Piwowar
Approved
Chen, Sandra CPA
Mary Jo White
Approved
Kara M. Stein
Not Approved
Michael S. Piwowar
Approved
Denney, William CPA
Mary Jo White
Approved
Kara M. Stein
Not Approved
Michael S. Piwowar
Approved
34-79881
https://www.sec.gov/litigation/admin/2017/34-79881.pdf
2017-01-26
Sandra Dyche Fair Fund
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79882
https://www.sec.gov/litigation/admin/2017/34-79882.pdf
2017-01-26
Citigroup Global Markets Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Not Participating
34-79888
https://www.sec.gov/litigation/admin/2017/34-79888.pdf
2017-01-27
Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities LLC
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
McMurtry, Shawn Patrick
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79804
https://www.sec.gov/litigation/admin/2017/34-79804.pdf
2017-01-17
BlackRock, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved with Exception
Approved except as to the corporate penalty.
34-79813
https://www.sec.gov/litigation/admin/2017/34-79813.pdf
2017-01-17
Fisch, Abraham M. Esq.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79814
https://www.sec.gov/litigation/admin/2017/34-79814.pdf
2017-01-17
Allergan, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved with Exception
Approved except as to the corporate penalty.
ia-4608
https://www.sec.gov/litigation/admin/2017/ia-4608.pdf
2017-01-17
Pershing Square Capital Management, L.P.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Not Approved
ia-4609
https://www.sec.gov/litigation/admin/2017/ia-4609.pdf
2017-01-17
The Banc Funds Company, L.L.C.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Not Approved
ia-4610
https://www.sec.gov/litigation/admin/2017/ia-4610.pdf
2017-01-17
FFL Partners, LLC
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
ia-4611
https://www.sec.gov/litigation/admin/2017/ia-4611.pdf
2017-01-17
Lime Rock Management LP
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Not Approved
ia-4612
https://www.sec.gov/litigation/admin/2017/ia-4612.pdf
2017-01-17
NGN Capital LLC
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
ia-4613
https://www.sec.gov/litigation/admin/2017/ia-4613.pdf
2017-01-17
Cypress Advisors, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Not Approved
ia-4614
https://www.sec.gov/litigation/admin/2017/ia-4614.pdf
2017-01-17
Alta Communications, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Not Approved
ia-4615
https://www.sec.gov/litigation/admin/2017/ia-4615.pdf
2017-01-17
Commonwealth Venture Management Corp.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
ia-4616
https://www.sec.gov/litigation/admin/2017/ia-4616.pdf
2017-01-17
Aisling Capital LLC
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
ia-4617
https://www.sec.gov/litigation/admin/2017/ia-4617.pdf
2017-01-17
Adams Capital Management, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Not Approved
ia-4618
https://www.sec.gov/litigation/admin/2017/ia-4618.pdf
2017-01-17
Gray, Gregory W. Jr.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10281
https://www.sec.gov/litigation/admin/2017/33-10281.pdf
2017-01-18
Orthofix International N.V.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved with Exception
Approved except as to the corporate penalty.
33-10282
https://www.sec.gov/litigation/admin/2017/33-10282.pdf
2017-01-18
Hammel, Jeffrey CPA
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10283
https://www.sec.gov/litigation/admin/2017/33-10283.pdf
2017-01-18
MDC Partners Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved with Exception
Approved except as to the corporate penalty.
33-10284
https://www.sec.gov/litigation/admin/2017/33-10284.pdf
2017-01-18
Bar, Eytan
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10285
https://www.sec.gov/litigation/admin/2017/33-10285.pdf
2017-01-18
Mer Telemanagement Solutions Ltd
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved with Exception
Approved except as to the corporate penalty.
34-79819
https://www.sec.gov/litigation/admin/2017/34-79819.pdf
2017-01-18
McCollum, Brian
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79820
https://www.sec.gov/litigation/admin/2017/34-79820.pdf
2017-01-18
Mack, Kenneth
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
McMillian, Bryan
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79824
https://www.sec.gov/litigation/admin/2017/34-79824.pdf
2017-01-18
Bennett, Charles A.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79825
https://www.sec.gov/litigation/admin/2017/34-79825.pdf
2017-01-18
General Motors Company
Mary Jo White
Approved
Kara M. Stein
Not Approved
Michael S. Piwowar
Approved
34-79828
https://www.sec.gov/litigation/admin/2017/34-79828.pdf
2017-01-18
Orthofix International N.V.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79833
https://www.sec.gov/rules/exorders/2017/34-79833.pdf
2017-01-18
Order Extending Certain Temporary Exemptions under the Securities Exchange Act of 1934 in Connection with the Revision of the Definition of “Security” to Encompass Security-Based Swaps and Request for Comment
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79843
https://www.sec.gov/rules/sro/ficc-an/2017/34-79843.pdf
2017-01-19
Fixed Income Clearing Corporation; Notice of No Objection to Advance Notice Filing to Implement a Change to the Methodology Used in the MBSD VaR Model
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79844
https://www.sec.gov/litigation/admin/2017/34-79844.pdf
2017-01-19
HomeStreet, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved with Exception
Approved except as to the corporate penalty.
Amen, Darrell van
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79848
https://www.sec.gov/litigation/admin/2017/34-79848.pdf
2017-01-19
Diamond, Susan M.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79850
https://www.sec.gov/litigation/admin/2017/34-79850.pdf
2017-01-19
VCAP Securities, LLC, Fair Fund
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
ia-4620
https://www.sec.gov/litigation/admin/2017/ia-4620.pdf
2017-01-19
Bob Brakeman Enterprises, LLC
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Brakeman, Robert D.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79722
https://www.sec.gov/litigation/opinions/2017/34-79722.pdf
2017-01-03
Halali, Behnam
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79723
https://www.sec.gov/litigation/admin/2017/34-79723.pdf
2017-01-03
Berman, Elliot R. CPA
Mary Jo White
Approved
Kara M. Stein
Not Approved
Michael S. Piwowar
Approved
Berman & Company, P.A.
Mary Jo White
Approved
Kara M. Stein
Not Approved
Michael S. Piwowar
Approved
ic-32408
https://www.sec.gov/rules/ic/2017/ic-32408.pdf
2017-01-04
Stifel, Nicolaus & Co., Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Choice Financial Partners, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
1919 Investment Counsel, LLC
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Ziegler Capital Management, LLC
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10276
https://www.sec.gov/rules/final/2017/33-10276.pdf
2017-01-06
Adjustments to Civil Monetary Penalty Amounts; Final rule
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79753
https://www.sec.gov/litigation/admin/2017/34-79753.pdf
2017-01-06
Cadbury Limited
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Mondelez International, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79754
https://www.sec.gov/litigation/admin/2017/34-79754.pdf
2017-01-06
UBS Financial Services Inc. of Puerto Rico
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79755
https://www.sec.gov/litigation/admin/2017/34-79755.pdf
2017-01-09
Rafal, John W.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79756
https://www.sec.gov/litigation/admin/2017/34-79756.pdf
2017-01-09
Hershman, Peter Esq.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79757
https://www.sec.gov/litigation/admin/2017/34-79757.pdf
2017-01-09
Essex Financial Services, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79763
https://www.sec.gov/rules/sro/dtc-an/2017/34-79763.pdf
2017-01-09
The Depository Trust Company; Notice of No Objection to Advance Notice Filing Relating to Processing of Transactions in Money Market Instruments
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10278
https://www.sec.gov/litigation/admin/2017/33-10278.pdf
2017-01-10
The Port Authority of New York and New Jersey
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79765
https://www.sec.gov/litigation/admin/2017/34-79765.pdf
2017-01-10
Crawford, Larry Lee CPA
Mary Jo White
Approved
Kara M. Stein
Not Approved
Michael S. Piwowar
Approved
ia-4604
https://www.sec.gov/litigation/admin/2017/ia-4604.pdf
2017-01-10
Centre Partners Management, LLC
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79772
https://www.sec.gov/litigation/admin/2017/34-79772.pdf
2017-01-11
L-3 Communications Holdings, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved with Exception
Approved except as to the corporate penalty.
33-10279
https://www.sec.gov/litigation/admin/2017/33-10279.pdf
2017-01-12
ITG Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79777
https://www.sec.gov/litigation/admin/2017/34-79777.pdf
2017-01-12
The Bank of New York Mellon Corporation
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Not Approved
34-79780
https://www.sec.gov/litigation/admin/2017/34-79780.pdf
2017-01-12
Biomet, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10280
https://www.sec.gov/litigation/admin/2017/33-10280.pdf
2017-01-13
Citadel Securities LLC
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79794
https://www.sec.gov/litigation/admin/2017/34-79794.pdf
2017-01-13
Morgan Stanley Smith Barney, LLC
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Not Participating
34-79795
https://www.sec.gov/litigation/admin/2017/34-79795.pdf
2017-01-13
Sociedad Quimica y Minera de Chile, S.A.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79799
https://www.sec.gov/litigation/admin/2017/34-79799.pdf
2017-01-13
Mulholland, Gregg R.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10297
https://www.sec.gov/rules/other/2017/33-10297.pdf
2017-01-31
Order Regarding Review of FASB Accounting Support Fee for 2017 Under Section 109 of the Sarbanes-Oxley Act of 2002
Michael S. Piwowar
Approved
Kara M. Stein
Approved
34-79903
https://www.sec.gov/litigation/admin/2017/34-79903.pdf
2017-01-31
Aronson, David A. CPA
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved