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