2017-05-03 February 2017 50 34-80083 https://www.sec.gov/litigation/admin/2017/34-80083.pdf 2017-02-22 Smith, Gregory J. Michael S. Piwowar Approved Kara M. Stein Approved 33-10313 https://www.sec.gov/litigation/admin/2017/33-10313.pdf 2017-02-27 Go EZ Corporation Michael S. Piwowar Approved Kara M. Stein Approved 33-10314 https://www.sec.gov/litigation/admin/2017/33-10314.pdf 2017-02-27 Arc Lifestyle Group Inc. Michael S. Piwowar Approved Kara M. Stein Approved 33-10315 https://www.sec.gov/litigation/admin/2017/33-10315.pdf 2017-02-27 Nova Smart Solutions Inc. Michael S. Piwowar Approved Kara M. Stein Approved 33-10316 https://www.sec.gov/litigation/admin/2017/33-10316.pdf https://www.sec.gov/litigation/admin/2017/33-10316-order.pdf 2017-02-28 Web Debt Solutions, LLC Michael S. Piwowar Approved Kara M. Stein Approved 34-80078 https://www.sec.gov/litigation/admin/2017/34-80078.pdf 2017-02-22 G-Trade Services LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Convergex Global Markets Limited Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Convergex Execution Solutions LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-80091 https://www.sec.gov/litigation/admin/2017/34-80091.pdf 2017-02-23 Hudnall, Brian S. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-80095 https://www.sec.gov/litigation/admin/2017/34-80095.pdf 2017-02-23 Gibson, John Austin Jr. Michael S. Piwowar Approved Kara M. Stein Approved 34-80103 https://www.sec.gov/litigation/admin/2017/34-80103.pdf 2017-02-24 Richardson, Edward Jr. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Richardson, Edward Jr., CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-80111 https://www.sec.gov/litigation/admin/2017/34-80111.pdf 2017-02-24 Sidewinder Explorations Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-80112 https://www.sec.gov/litigation/admin/2017/34-80112.pdf 2017-02-24 Prestige Financial Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Ross Technology, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Skylynx Communications, Inc. (a/k/a PawsPlus, Inc., n/k/a OPPL, Inc.) Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Upod, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-80113 https://www.sec.gov/litigation/admin/2017/34-80113.pdf 2017-02-24 Myriad Entertainment & Resorts, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved National Real Estate Limited Partnership VI Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Paradise Communications Services, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10307 https://www.sec.gov/litigation/admin/2017/33-10307.pdf 2017-02-13 Stanley, Thomas R. II Michael S. Piwowar Approved Kara M. Stein Approved 34-80026 https://www.sec.gov/litigation/admin/2017/34-80026.pdf 2017-02-13 Nelson, Joseph A. Mary Jo White Approved Luis Aguilar Not Participating Daniel Gallagher Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-80027 https://www.sec.gov/litigation/admin/2017/34-80027.pdf 2017-02-13 Sidoti & Company, LLC Michael S. Piwowar Approved Kara M. Stein Approved 34-80038 https://www.sec.gov/litigation/admin/2017/34-80038.pdf 2017-02-14 Eberwein, Jeffrey E. Michael S. Piwowar Approved Kara M. Stein Approved Lone Star Value Management, LLC Michael S. Piwowar Approved Kara M. Stein Approved Gillman, Charles M. Michael S. Piwowar Approved Kara M. Stein Approved Boston Avenue Capital, LLC Michael S. Piwowar Approved Kara M. Stein Approved Heartland Advisors, Inc. Michael S. Piwowar Approved Kara M. Stein Approved 34-80039 https://www.sec.gov/litigation/admin/2017/34-80039.pdf 2017-02-14 CVR Energy, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved ia-4649 https://www.sec.gov/litigation/admin/2017/ia-4649.pdf 2017-02-14 Morgan Stanley Smith Barney, LLC Michael S. Piwowar Approved Kara M. Stein Approved 34-80049 https://www.sec.gov/litigation/suspensions/2017/34-80049.pdf https://www.sec.gov/litigation/suspensions/2017/34-80049-o.pdf 2017-02-16 Platinum Pari-Mutuel Holdings, Inc. Michael S. Piwowar Approved Kara M. Stein Approved 34-80053 https://www.sec.gov/litigation/admin/2017/34-80053.pdf 2017-02-16 Angel Oak Capital Partners, LLC Michael S. Piwowar Approved Kara M. Stein Approved Peraza Capital & Investment, LLC Michael S. Piwowar Approved Kara M. Stein Approved Prabhu, Sreeniwas Michael S. Piwowar Approved Kara M. Stein Approved Wells, David W. Michael S. Piwowar Approved Kara M. Stein Approved 33-10309 https://www.sec.gov/litigation/admin/2017/33-10309.pdf 2017-02-17 Comeaux, Jay T. Michael S. Piwowar Approved Kara M. Stein Approved 34-80058 https://www.sec.gov/litigation/admin/2017/34-80058.pdf 2017-02-17 Hydrocarb Energy Corp. Michael S. Piwowar Approved Kara M. Stein Approved 34-80063 https://www.sec.gov/litigation/admin/2017/34-80063.pdf 2017-02-17 Pittera, Joseph L. Esq. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-80065 https://www.sec.gov/litigation/admin/2017/34-80065.pdf 2017-02-17 Cunningham, Christopher M. Michael S. Piwowar Approved Kara M. Stein Approved 33-10303 https://www.sec.gov/litigation/admin/2017/33-10303.pdf 2017-02-07 Olde Monmouth Stock Transfer Co., Inc. Michael S. Piwowar Approved Kara M. Stein Approved Troster, Matthew J. Michael S. Piwowar Approved Kara M. Stein Approved IA-4641 https://www.sec.gov/litigation/admin/2017/ia-4641.pdf 2017-02-07 SLRA, Inc. as successor entity to Liquid Realty Advisors III, LLC Michael S. Piwowar Approved Kara M. Stein Approved Landress, Scott M. Michael S. Piwowar Approved Kara M. Stein Approved IA-4643 https://www.sec.gov/litigation/admin/2017/ia-4643.pdf 2017-02-07 Herman, Rosalind Michael S. Piwowar Approved Kara M. Stein Approved IA-4644 https://www.sec.gov/litigation/admin/2017/ia-4644.pdf 2017-02-07 Caplitz, Gregg D. Michael S. Piwowar Approved Kara M. Stein Approved 33-10304 https://www.sec.gov/litigation/stoporders/2017/33-10304.pdf 2017-02-08 Oxford City Football Club, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79986 https://www.sec.gov/litigation/admin/2017/34-79986.pdf 2017-02-08 Oxford City Football Club, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79990 https://www.sec.gov/litigation/admin/2017/34-79990.pdf 2017-02-08 Goodrich, Darren Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79991 https://www.sec.gov/litigation/admin/2017/34-79991.pdf 2017-02-08 Narayan, Ash Michael S. Piwowar Approved Kara M. Stein Approved IA-4645 https://www.sec.gov/litigation/admin/2017/ia-4645.pdf 2017-02-08 Guerriero, Thomas A. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4647 https://www.sec.gov/litigation/admin/2017/ia-4647.pdf 2017-02-08 Jeffrey Slocum & Associates, Inc. Michael S. Piwowar Approved Kara M. Stein Approved Slocum, Jeffrey C. Michael S. Piwowar Approved Kara M. Stein Approved 34-79992 https://www.sec.gov/rules/other/2017/34-79992.pdf 2017-02-09 Equity Market Structure Advisory Committee; Notice of Federal Advisory Committee Renewal Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79997 https://www.sec.gov/litigation/admin/2017/34-79997.pdf 2017-02-09 Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.) Michael S. Piwowar Approved Kara M. Stein Approved Credit Suisse Asset Management, LLC Michael S. Piwowar Approved Kara M. Stein Approved Bhatt, Samir H. Michael S. Piwowar Approved Kara M. Stein Approved 34-80000 https://www.sec.gov/litigation/admin/2017/34-80000.pdf 2017-02-09 Barton, Raymond H. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-80001 https://www.sec.gov/litigation/admin/2017/34-80001.pdf 2017-02-09 Goode, William G. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-80005 https://www.sec.gov/litigation/admin/2017/34-80005.pdf 2017-02-09 Jaypee International, Inc. Michael S. Piwowar Approved Kara M. Stein Approved Arora, Sorabh Michael S. Piwowar Approved Kara M. Stein Approved 33-10305 https://www.sec.gov/rules/interim/2017/33-10305.pdf 2017-02-10 Exemptions for Security-Based Swaps; Interim final rule Michael S. Piwowar Approved Kara M. Stein Approved 34-80006 https://www.sec.gov/litigation/admin/2017/34-80006.pdf 2017-02-10 King, Sylvester Jr. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-80010 https://www.sec.gov/rules/exorders/2017/34-80010.pdf 2017-02-10 UBS Financial Services Inc.; UBS Securities LLC; Order Granting Limited Temporary Exemption From Exchange Act Section 12(j) Michael S. Piwowar Approved Kara M. Stein Approved 34-80016 https://www.sec.gov/litigation/admin/2017/34-80016.pdf 2017-02-10 Columbia Management Investment Services Corp. Michael S. Piwowar Approved Kara M. Stein Approved 34-79915 https://www.sec.gov/rules/sro/occ-an/2016/34-79915.pdf 2017-02-01 The Options Clearing Corporation; Notice of Filing of Advance Notice Concerning The Options Clearing Corporation’s Margin Coverage During Times of Increased Volatility Michael S. Piwowar Approved Kara M. Stein Approved 34-79939 https://www.sec.gov/litigation/admin/2017/34-79939.pdf 2017-02-02 Delverton Resorts International Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79941 https://www.sec.gov/litigation/admin/2017/34-79941.pdf 2017-02-02 AVT, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Jaguar Acquisition Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Liberty Group Holdings, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Med One Oak, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Ocean Power Corp. (n/k/a OPC Liquidation Corp.) Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79943 https://www.sec.gov/litigation/admin/2017/34-79943.pdf 2017-02-02 Fibercorp International, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Hygenics Pharmaceuticals, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Investors Trust, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79952 https://www.sec.gov/litigation/admin/2017/34-79952.pdf 2017-02-02 Caniford, Thomas H. Michael S. Piwowar Approved Kara M. Stein Approved 33-10302 https://www.sec.gov/litigation/admin/2017/33-10302.pdf 2017-02-03 Ixia, Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to authorizing cease-and-desist proceedings regarding Section 13(a) and Rules 12b-20 and 13a-1; and except as to accepting the offer of settlement. Alston, Victor Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to authorizing cease-and-desist proceedings regarding Sections 17(a)(3), 10(b) and Rules 10b-5(b) and 10b-5(c); and except for causing violations regarding Section 13(a) and Rules 12b-20 and 13a-1. 34-79968 https://www.sec.gov/litigation/admin/2017/34-79968.pdf 2017-02-03 Porter, Kirk D. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved