2017-07-12 April 2017 60 34-80366 https://www.sec.gov/litigation/suspensions/2017/34-80366.pdf https://www.sec.gov/litigation/suspensions/2017/34-80366-o.pdf 2017-04-04 eMedia Group, Inc. Piwowar Approved Stein Approved 34-80367 https://www.sec.gov/litigation/suspensions/2017/34-80367.pdf https://www.sec.gov/litigation/suspensions/2017/34-80367-o.pdf 2017-04-04 AgriEuro Corp. Piwowar Approved Stein Approved 34-80368 https://www.sec.gov/litigation/suspensions/2017/34-80368.pdf https://www.sec.gov/litigation/suspensions/2017/34-80368-o.pdf 2017-04-04 Immage Biotherapeutics Corp. Piwowar Approved Stein Approved 34-80507 https://www.sec.gov/litigation/admin/2017/34-80507.pdf 2017-04-21 McKinnies, Mark CPA Piwowar Approved Stein Approved 34-80557 https://www.sec.gov/litigation/admin/2017/34-80557.pdf 2017-04-28 Lebenthal & Co., LLC Piwowar Approved Stein Approved 34-80511 https://www.sec.gov/rules/sro/batsbzx/2017/34-80511.pdf 2017-04-24 Bats BZX Exchange, Inc. Michael S. Piwowar Approved Kara M. Stein Approved 34-80513 https://www.sec.gov/litigation/admin/2017/34-80513.pdf 2017-04-24 Galanis, Jared M. Michael S. Piwowar Approved Kara M. Stein Approved 34-80518 https://www.sec.gov/litigation/suspensions/2017/34-80518.pdf https://www.sec.gov/litigation/suspensions/2017/34-80518-o.pdf 2017-04-24 Axesstel, Inc. Michael S. Piwowar Approved Kara M. Stein Approved 34-80519 https://www.sec.gov/litigation/admin/2017/34-80519.pdf 2017-04-24 Axesstel, Inc. Michael S. Piwowar Approved Kara M. Stein Approved 33-10351 https://www.sec.gov/litigation/opinions/2017/33-10351.pdf 2017-04-25 Bennett, Dawn J. Michael S. Piwowar Approved Kara M. Stein Approved Bennett Group Financial Services, LLC Michael S. Piwowar Approved Kara M. Stein Approved 34-80520 https://www.sec.gov/rules/sro/ficc-an/2017/34-80520.pdf 2017-04-25 Fixed Income Clearing Corporation; Notice of Extension of Review Period of Advance Notice to Implement the Capped Contingency Liquidity Facility in the Government Securities Division Rulebook Michael S. Piwowar Approved Kara M. Stein Approved 34-80527 https://www.sec.gov/litigation/admin/2017/34-80527.pdf 2017-04-25 Smith, Harold Ray Michael S. Piwowar Approved Kara M. Stein Approved IC-32613 https://www.sec.gov/litigation/admin/2017/ic-32613.pdf 2017-04-25 BlackRock Fund Advisors Michael S. Piwowar Approved Kara M. Stein Approved 34-80532 https://www.sec.gov/litigation/admin/2017/34-80532.pdf 2017-04-26 Prospect Ventures, Inc. Michael S. Piwowar Approved Kara M. Stein Approved StarNet Pacific Co. Ltd. Michael S. Piwowar Approved Kara M. Stein Approved Sunburst Acquisitions V, Inc. Michael S. Piwowar Approved Kara M. Stein Approved Sunburst Acquisitions VI, Inc. Michael S. Piwowar Approved Kara M. Stein Approved 34-80533 https://www.sec.gov/litigation/admin/2017/34-80533.pdf 2017-04-26 Wilson-Davis & Company, Inc. Michael S. Piwowar Approved Kara M. Stein Approved 34-80536 https://www.sec.gov/rules/exorders/2017/34-80536.pdf 2017-04-27 Order Granting Application by New York Stock Exchange LLC, NYSE MKT LLC, NYSE Arca, Inc., and NYSE National, Inc., Respectively, for a Conditional Exemption Pursuant to Section 36(a) of the Exchange Act from Certain Requirements of Rule 6a-2 under the Exchange Act Michael S. Piwowar Approved Kara M. Stein Approved 34-80537 https://www.sec.gov/rules/sro/occ-an/2017/34-80537.pdf 2017-04-27 The Options Clearing Corporation; Notice of No Objection to Advance Notice Filing Concerning The Options Clearing Corporation’s Enhancements to OCC’s Stock Loan Programs Michael S. Piwowar Approved Kara M. Stein Approved 34-80543 https://www.sec.gov/litigation/admin/2017/34-80543.pdf 2017-04-27 Bear, Stearns & Co., Inc. Michael S. Piwowar Approved Kara M. Stein Approved Bear, Stearns Securities Corp. Michael S. Piwowar Approved Kara M. Stein Approved 34-80546 https://www.sec.gov/rules/sro/ficc-an/2017/34-80546.pdf 2017-04-27 Fixed Income Clearing Corporation; Notice of No Objection to Advance Notice Filing to Establish the Centrally Cleared Institutional Triparty Service and Make Other Changes Michael S. Piwowar Approved Kara M. Stein Approved IA-4693 https://www.sec.gov/litigation/admin/2017/ia-4693.pdf 2017-04-27 Pinto Ayala, Yul L. Michael S. Piwowar Approved Kara M. Stein Approved 34-80547 https://www.sec.gov/litigation/admin/2017/34-80547.pdf 2017-04-28 Wentlent, Mark Michael S. Piwowar Approved Kara M. Stein Approved 34-80548 https://www.sec.gov/litigation/admin/2017/34-80548.pdf 2017-04-28 Pruitt, David CPA Michael S. Piwowar Approved Kara M. Stein Approved 34-80549 https://www.sec.gov/rules/sro/nms/2017/34-80549.pdf 2017-04-28 Notice of Filing and Immediate Effectiveness of the Fourteenth Amendment to the National Market System Plan to Address Extraordinary Market Volatility by Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., Bats EDGA Exchange, Inc., Bats EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc Michael S. Piwowar Approved Kara M. Stein Approved 33-10349 https://www.sec.gov/rules/other/2017/33-10349.pdf 2017-04-18 Request for Comment on Possible Changes to Industry Guide 3 (Statistical Disclosure by Bank Holding Companies; Extension of comment period Michael S. Piwowar Approved Kara M. Stein Approved 34-80480 https://www.sec.gov/litigation/admin/2017/34-80480.pdf 2017-04-18 Shumway, Michael D. Michael S. Piwowar Approved Kara M. Stein Approved 34-80493 https://www.sec.gov/litigation/admin/2017/34-80493.pdf 2017-04-20 Biovest International, Inc. Michael S. Piwowar Approved Kara M. Stein Approved Olie, Inc. (n/k/a Syndicate Business Development Corp.) Michael S. Piwowar Approved Kara M. Stein Approved StarGate Entertainment, Inc. Michael S. Piwowar Approved Kara M. Stein Approved Three Sigma Ventures, Inc. Michael S. Piwowar Approved Kara M. Stein Approved 34-80509 https://www.sec.gov/litigation/opinions/2017/34-80509.pdf 2017-04-21 Gibson, Christopher M. Michael S. Piwowar Approved Kara M. Stein Approved 33-10336 https://www.sec.gov/litigation/admin/2017/33-10336.pdf 2017-04-10 Corenman, Joel Michael S. Piwowar Approved Kara M. Stein Approved 33-10337 https://www.sec.gov/litigation/admin/2017/33-10337.pdf 2017-04-10 Galena Biopharma, Inc. Michael S. Piwowar Approved Kara M. Stein Approved Ahn, Mark J. Michael S. Piwowar Approved Kara M. Stein Approved 33-10338 https://www.sec.gov/litigation/admin/2017/33-10338.pdf 2017-04-10 ImmunoCellular Therapeutics, Ltd. Michael S. Piwowar Approved Kara M. Stein Approved 33-10339 https://www.sec.gov/litigation/admin/2017/33-10339.pdf 2017-04-10 Keolanui, Craig Michael S. Piwowar Approved Kara M. Stein Approved 33-10340 https://www.sec.gov/litigation/admin/2017/33-10340.pdf 2017-04-10 Lion Biotechnologies, Inc. Michael S. Piwowar Approved Kara M. Stein Approved 33-10341 https://www.sec.gov/litigation/admin/2017/33-10341.pdf 2017-04-10 Dunedin, Inc. Michael S. Piwowar Approved Kara M. Stein Approved Borrelli, Edward Michael S. Piwowar Approved Kara M. Stein Approved 33-10342 https://www.sec.gov/litigation/admin/2017/33-10342.pdf 2017-04-10 Ramey, Stephen Michael S. Piwowar Approved Kara M. Stein Approved 33-10343 https://www.sec.gov/litigation/admin/2017/33-10343.pdf 2017-04-10 The DreamTeam Group, LLC Michael S. Piwowar Approved Kara M. Stein Approved Mission Investor Relations, LLC Michael S. Piwowar Approved Kara M. Stein Approved QualityStocks, LLC Michael S. Piwowar Approved Kara M. Stein Approved McCarthy, Michael A. Michael S. Piwowar Approved Kara M. Stein Approved 33-10344 https://www.sec.gov/litigation/admin/2017/33-10344.pdf 2017-04-10 Thornton, Ciaran Michael S. Piwowar Approved Kara M. Stein Approved 33-10345 https://www.sec.gov/litigation/admin/2017/33-10345.pdf 2017-04-10 CytRx Corporation Michael S. Piwowar Approved Kara M. Stein Approved 33-10346 https://www.sec.gov/litigation/admin/2017/33-10346.pdf 2017-04-10 Lavos, LLC Michael S. Piwowar Approved Kara M. Stein Approved Singh, Manish Michael S. Piwowar Approved Kara M. Stein Approved 33-10347 https://www.sec.gov/litigation/admin/2017/33-10347.pdf 2017-04-10 French, Christopher Michael S. Piwowar Approved Kara M. Stein Approved 34-80424 https://www.sec.gov/litigation/admin/2017/34-80424.pdf 2017-04-10 Tricarico, Robert N. Michael S. Piwowar Approved Kara M. Stein Approved 34-80426 https://www.sec.gov/litigation/admin/2017/34-80426.pdf 2017-04-11 Powell, Andrew C. Michael S. Piwowar Approved Kara M. Stein Approved IA-4683 https://www.sec.gov/litigation/admin/2017/ia-4683.pdf 2017-04-11 Cohn, Clayton A. Michael S. Piwowar Approved Kara M. Stein Approved 34-80435 https://www.sec.gov/litigation/suspensions/2017/34-80435.pdf https://www.sec.gov/litigation/suspensions/2017/34-80435-o.pdf 2017-04-12 Sunshine Capital, Inc. Michael S. Piwowar Approved Kara M. Stein Approved 34-80442 https://www.sec.gov/litigation/admin/2017/34-80442.pdf 2017-04-12 Wetzel, Travis A. Michael S. Piwowar Approved Kara M. Stein Approved 34-80444 https://www.sec.gov/litigation/admin/2017/34-80444.pdf 2017-04-12 Sciarra, Anthony G. Michael S. Piwowar Approved Kara M. Stein Approved 34-80445 https://www.sec.gov/litigation/suspensions/2017/34-80445.pdf https://www.sec.gov/litigation/suspensions/2017/34-80445-o.pdf 2017-04-12 Bingo Nation Inc. Michael S. Piwowar Approved Kara M. Stein Approved 34-80446 https://www.sec.gov/litigation/admin/2017/34-80446.pdf 2017-04-13 Solar Shore One, Inc. Michael S. Piwowar Approved Kara M. Stein Approved Solar Shore Two, Inc. Michael S. Piwowar Approved Kara M. Stein Approved Soular Energy, Inc. Michael S. Piwowar Approved Kara M. Stein Approved University General Health System, Inc. Michael S. Piwowar Approved Kara M. Stein Approved 34-80459 https://www.sec.gov/litigation/admin/2017/34-80459.pdf 2017-04-13 Holt, Mark D. (a/k/a Mark D. Holthusen) Michael S. Piwowar Approved Kara M. Stein Approved 34-80361 https://www.sec.gov/rules/sro/ficc-an/2017/34-80361.pdf 2017-04-03 Fixed Income Clearing Corporation; Notice of Filing of Advance Notice to Establish the Centrally Cleared Institutional Triparty Service and Make Other Changes Michael S. Piwowar Approved Kara M. Stein Approved 34-80365 https://www.sec.gov/litigation/admin/2017/34-80365.pdf 2017-04-03 International Building Concepts Ltd. (n/k/a Home Builders International, Inc.) Michael S. Piwowar Approved Kara M. Stein Approved RXBAZAAR, Inc. Michael S. Piwowar Approved Kara M. Stein Approved Victory Park Acquisition Corp. I Michael S. Piwowar Approved Kara M. Stein Approved Worldwide Data, Inc. Michael S. Piwowar Approved Kara M. Stein Approved 34-80370 https://www.sec.gov/litigation/admin/2017/34-80370.pdf 2017-04-04 Kouser, Jr., William Joseph CPA Michael S. Piwowar Approved Kara M. Stein Approved Dougherty, Ryan James CPA Michael S. Piwowar Approved Kara M. Stein Approved 34-80373 https://www.sec.gov/litigation/admin/2017/34-80373.pdf 2017-04-04 Credit Suisse Securities (USA) LLC Michael S. Piwowar Approved Kara M. Stein Approved IA-4679 https://www.sec.gov/litigation/admin/2017/ia-4679.pdf 2017-04-04 Katz, Sanford Michael Michael S. Piwowar Approved Kara M. Stein Approved 33-10334 https://www.sec.gov/litigation/admin/2017/33-10334.pdf 2017-04-05 Lawson Financial Corporation Michael S. Piwowar Approved Kara M. Stein Approved Lawson, Robert Michael S. Piwowar Approved Kara M. Stein Approved 33-10335 https://www.sec.gov/litigation/admin/2017/33-10335.pdf 2017-04-05 Lynch, John T. Jr. Michael S. Piwowar Approved Kara M. Stein Approved 34-80378 https://www.sec.gov/rules/exorders/2017/34-80378.pdf 2017-04-05 Order Granting a Temporary Exemption to Covered Clearing Agencies from Compliance with Rule 17Ad-22(e)(3)(ii) and Certain Requirements in Rules 17Ad-22(e)(15)(i) and (ii) under the Securities Exchange Act of 1934 Michael S. Piwowar Approved Kara M. Stein Approved 34-80394 2017-04-07 The Depository Trust Company Michael S. Piwowar Approved Kara M. Stein Approved 34-80395 https://www.sec.gov/rules/sro/ficc-an/2017/34-80395.pdf 2017-04-07 Fixed Income Clearing Corporation Michael S. Piwowar Approved Kara M. Stein Approved 34-80396 https://www.sec.gov/rules/sro/nscc-an/2017/34-80396.pdf 2017-04-07 National Securities Clearing Corporation; Notice of Filing of Advance Notice to Enhance the Credit Risk Rating Matrix and Make Other Changes Michael S. Piwowar Approved Kara M. Stein Approved 34-80405 https://www.sec.gov/litigation/suspensions/2017/34-80405.pdf https://www.sec.gov/litigation/suspensions/2017/34-80405-o.pdf 2017-04-07 Algeta ASA Michael S. Piwowar Approved Kara M. Stein Approved American Media Systems Co. Michael S. Piwowar Approved Kara M. Stein Approved Apextalk Holdings, Inc. Michael S. Piwowar Approved Kara M. Stein Approved Art Boutique, Inc. Michael S. Piwowar Approved Kara M. Stein Approved Avatar Systems, Inc. Michael S. Piwowar Approved Kara M. Stein Approved Billet Finder Inc. Michael S. Piwowar Approved Kara M. Stein Approved Bookkeeper International Equities Corp. Michael S. Piwowar Approved Kara M. Stein Approved Brandt, Inc. Michael S. Piwowar Approved Kara M. Stein Approved CallKey International, Inc. Michael S. Piwowar Approved Kara M. Stein Approved Cardiac Network, Inc. Michael S. Piwowar Approved Kara M. Stein Approved Carolyn River Projects, Ltd. Michael S. Piwowar Approved Kara M. Stein Approved China National Appliance of N. America Corp. Michael S. Piwowar Approved Kara M. Stein Approved China Polypeptide Group, Inc. Michael S. Piwowar Approved Kara M. Stein Approved China Redstone Group, Inc. Michael S. Piwowar Approved Kara M. Stein Approved Clean Transportation Group Inc. Michael S. Piwowar Approved Kara M. Stein Approved Colonial Mirror & Glass Corp. Michael S. Piwowar Approved Kara M. Stein Approved Connected Media Technologies, Inc. Michael S. Piwowar Approved Kara M. Stein Approved Cotton & Western Mining, Inc. Michael S. Piwowar Approved Kara M. Stein Approved Cross Atlantic Commodities, Inc. Michael S. Piwowar Approved Kara M. Stein Approved Cryopak Industries Inc. Michael S. Piwowar Approved Kara M. Stein Approved Cyclon Capital Corp. Michael S. Piwowar Approved Kara M. Stein Approved Dongsheng Pharmaceutical Int’l Co. Ltd. Michael S. Piwowar Approved Kara M. Stein Approved Duravest, Inc. Michael S. Piwowar Approved Kara M. Stein Approved Eastern Security & Protection Services, Inc. Michael S. Piwowar Approved Kara M. Stein Approved Easy Scripts Inc. Michael S. Piwowar Approved Kara M. Stein Approved Emporia, Inc. Michael S. Piwowar Approved Kara M. Stein Approved Enable TS, Inc. Michael S. Piwowar Approved Kara M. Stein Approved Enzyme Environmental Solutions, Inc. Michael S. Piwowar Approved Kara M. Stein Approved FileWarden.com Michael S. Piwowar Approved Kara M. Stein Approved Forever Enterprises, Inc. Michael S. Piwowar Approved Kara M. Stein Approved Gambit Energy, Inc. Michael S. Piwowar Approved Kara M. Stein Approved Goldenway, Inc. Michael S. Piwowar Approved Kara M. Stein Approved Good Life China Corp. Michael S. Piwowar Approved Kara M. Stein Approved GSM Fund Group Inc. Michael S. Piwowar Approved Kara M. Stein Approved Hall of Fame Beverages, Inc. Michael S. Piwowar Approved Kara M. Stein Approved Hammett (J.L.) Co. Michael S. Piwowar Approved Kara M. Stein Approved Harrison-Ross Group, Inc Michael S. Piwowar Approved Kara M. Stein Approved Heathrow Natural Food and Beverage, Inc. Michael S. Piwowar Approved Kara M. Stein Approved Henry County Bancshares, Inc. Michael S. Piwowar Approved Kara M. Stein Approved Holiday-Gulf Homes, Inc. Michael S. Piwowar Approved Kara M. Stein Approved Homeowners Financial Corp Michael S. Piwowar Approved Kara M. Stein Approved Stevens International, Inc. Michael S. Piwowar Approved Kara M. Stein Approved