2017-07-12 June 2017 57 34-80910 https://www.sec.gov/litigation/admin/2017/34-80910.pdf 2017-06-12 Palathinkal, George Joseph CPA White Approved Stein Approved Aguilar Approved Gallagher Not Participating Piwowar Approved 34-80908 https://www.sec.gov/litigation/admin/2017/34-80908.pdf 2017-06-12 Telfer, John David Clayton Approved Stein Approved Piwowar Approved 34-80918 https://www.sec.gov/litigation/admin/2017/34-80918.pdf 2017-06-14 Richardson, Edward Jr. Clayton Approved Stein Not Approved Piwowar Approved Edward Richardson Jr., CPA Clayton Approved Stein Not Approved Piwowar Approved 34-81054 https://www.sec.gov/rules/sro/ficc-an/2017/34-81054.pdf 2017-06-29 Fixed Income Clearing Corporation; Notice of No Objection to Advance Notice Filing to Implement the Capped Contingency Liquidity Facility in the Government Securities Division Rulebook Clayton Approved Stein Approved Piwowar Approved 34-81039 https://www.sec.gov/rules/sro/nscc-an/2017/34-81039.pdf 2017-06-28 National Securities Clearing Corporation Clayton Approved Stein Approved Piwowar Approved 34-81040 https://www.sec.gov/rules/sro/occ-an/2017/34-81040.pdf 2017-06-28 The Options Clearing Corporation; Notice of Filing of Advance Notice Concerning the Adoption of a New Stock Options and Futures Settlement Agreement Between The Options Clearing Corporation and the National Securities Clearing Corporation Clayton Approved Stein Approved Piwowar Approved 34-81025 https://www.sec.gov/litigation/admin/2017/34-81025.pdf 2017-06-26 Wm Smith & Co. Clayton Approved Stein Approved Piwowar Approved Smith, William S. Clayton Approved Stein Approved Piwowar Approved 34-81026 https://www.sec.gov/litigation/admin/2017/34-81026.pdf 2017-06-26 Ibex Advanced Mortgage Technology, Inc. Clayton Approved Stein Approved Piwowar Approved 34-81027 https://www.sec.gov/litigation/suspensions/2017/34-81027.pdf 2017-06-26 Ibex Advanced Mortgage Technology, Inc. Clayton Approved Stein Approved Piwowar Approved 34-81033 https://www.sec.gov/litigation/admin/2017/34-81033.pdf 2017-06-27 Hudson, Michael L. Clayton Approved Stein Not Participating Piwowar Approved 34-81036 https://www.sec.gov/litigation/suspensions/2017/34-81036.pdf 2017-06-27 Environmental Packaging Technologies Holdings, Inc. Clayton Approved Stein Approved Piwowar Approved 33-10377 https://www.sec.gov/litigation/admin/2017/33-10377.pdf 2017-06-29 Egna, Matthew L. Clayton Approved Stein Approved Piwowar Approved 33-10378 https://www.sec.gov/litigation/admin/2017/33-10378.pdf 2017-06-29 Keck, Andrew S. Clayton Approved Stein Approved Piwowar Approved 33-10379 https://www.sec.gov/litigation/admin/2017/33-10379.pdf 2017-06-29 Keck, Sarah E. Clayton Approved Stein Approved Piwowar Approved 33-10380 https://www.sec.gov/litigation/admin/2017/33-10380.pdf 2017-06-29 Lindsay, Nigel G. Clayton Approved Stein Approved Piwowar Approved 33-10381 https://www.sec.gov/litigation/admin/2017/33-10381.pdf 2017-06-29 Stark, Marilyn Clayton Approved Stein Approved Piwowar Approved 34-81055 https://www.sec.gov/litigation/suspensions/2017/34-81055.pdf https://www.sec.gov/litigation/suspensions/2017/34-81055-o.pdf 2017-06-29 Pilgrim Petroleum CORP Clayton Approved Stein Approved Piwowar Approved ia-4721 https://www.sec.gov/litigation/admin/2017/ia-4721.pdf 2017-06-29 Mansour, Bassem White Approved Stein Approved Piwowar Approved Resilience Management, LLC White Approved Stein Approved Piwowar Approved Ammar, George White Approved Stein Approved Piwowar Approved 33-10384 https://www.sec.gov/litigation/admin/2017/33-10384.pdf 2017-06-30 Bantry Bay Capital, LLC Clayton Approved Stein Approved Piwowar Approved Sexton, Timothy F. Jr. Clayton Approved Stein Approved Piwowar Approved 34-81057 https://www.sec.gov/rules/other/2017/34-81057.pdf 2017-06-30 Omnibus Order Directing the Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution Funds Clayton Approved Stein Approved Piwowar Approved 34-81058 https://www.sec.gov/rules/sro/occ-an/2017/34-81058.pdf 2017-06-30 The Options Clearing Corporation; Notice of Filing of Advance Notice of and No Objection to The Options Clearing Corporation’s Proposal to Enter Into a New Credit Facility Agreement Clayton Approved Stein Approved Piwowar Approved 33-10371 https://www.sec.gov/litigation/admin/2017/33-10371.pdf 2017-06-19 Northrop, Mark C. CPA Clayton Approved Stein Approved Piwowar Approved ia-4716 https://www.sec.gov/litigation/admin/2017/ia-4716.pdf 2017-06-19 Northrop, Mark C. Clayton Approved Stein Approved Piwowar Approved 33-10372 https://www.sec.gov/litigation/opinions/2017/33-10372.pdf 2017-06-20 Cohen, James E. Clayton Approved Stein Approved Piwowar Approved Corazzi, Joseph A. Clayton Approved Stein Approved Piwowar Approved 33-10373 https://www.sec.gov/litigation/opinions/2017/33-10373.pdf 2017-06-20 Dalmy, Diane Esq. Clayton Approved Stein Approved Piwowar Approved 34-80981 https://www.sec.gov/litigation/admin/2017/34-80981.pdf 2017-06-20 dELiA*s Inc. Clayton Approved Stein Approved Piwowar Approved Global Energy, Inc. Clayton Approved Stein Approved Piwowar Approved 34-80982 https://www.sec.gov/litigation/suspensions/2017/34-80982.pdf https://www.sec.gov/litigation/suspensions/2017/34-80982-o.pdf 2017-06-20 dELiA*s Inc. Clayton Approved Stein Approved Piwowar Approved Global Energy, Inc. Clayton Approved Stein Approved Piwowar Approved 34-80984 https://www.sec.gov/litigation/admin/2017/34-80984.pdf 2017-06-20 Energy Edge Technologies Corp. Clayton Approved Stein Approved Piwowar Approved Focus Gold Corp. Clayton Approved Stein Approved Piwowar Approved New York Sub Co. Clayton Approved Stein Approved Piwowar Approved 34-80985 https://www.sec.gov/litigation/suspensions/2017/34-80985.pdf https://www.sec.gov/litigation/suspensions/2017/34-80985-o.pdf 2017-06-20 Energy Edge Technologies Corp. Clayton Approved Stein Approved Piwowar Approved Focus Gold Corp. Clayton Approved Stein Approved Piwowar Approved New York Sub Co. Clayton Approved Stein Approved Piwowar Approved 34-80986 https://www.sec.gov/litigation/suspensions/2017/34-80986.pdf https://www.sec.gov/litigation/suspensions/2017/34-80986-o.pdf 2017-06-20 Axiom Holdings, Inc. Clayton Approved Stein Approved Piwowar Approved 34-80991 https://www.sec.gov/litigation/admin/2017/34-80991.pdf 2017-06-21 Brenner, Christopher K. Esq. (CPA) White Approved Stein Approved Piwowar Approved 34-80992 https://www.sec.gov/litigation/admin/2017/34-80992.pdf 2017-06-21 New York REIT, Inc. Clayton Not Participating Stein Approved Piwowar Approved New York Recovery Advisors, LLC Clayton Not Participating Stein Approved Piwowar Approved 34-80993 https://www.sec.gov/litigation/admin/2017/34-80993.pdf 2017-06-21 Bonwick Capital Partners, LLC Clayton Approved Stein Approved Piwowar Approved Wicker, Devin Clayton Approved Stein Approved Piwowar Approved 34-80996 https://www.sec.gov/litigation/admin/2017/34-80996.pdf 2017-06-22 Portelli, Anthony Clayton Not Participating Stein Approved Piwowar Approved ia-4718 https://www.sec.gov/litigation/admin/2017/ia-4718.pdf 2017-06-22 Muroff, Serofim Piwowar Approved Stein Approved 34-81012 https://www.sec.gov/litigation/suspensions/2017/34-81012.pdf https://www.sec.gov/litigation/suspensions/2017/34-81012-o.pdf 2017-06-23 Ascot Mining Plc. Clayton Approved Stein Approved Piwowar Approved Cadre Resources Ltd. Clayton Approved Stein Approved Piwowar Approved D’Angelo Brands, Inc. Clayton Approved Stein Approved Piwowar Approved Direct Response Media, Inc. Clayton Approved Stein Approved Piwowar Approved Dockwise Ltd. Clayton Approved Stein Approved Piwowar Approved Imagexpres Corp. Clayton Approved Stein Approved Piwowar Approved International Safety Group, Inc. Clayton Approved Stein Approved Piwowar Approved InterNatural Pharmaceuticals, Inc. Clayton Approved Stein Approved Piwowar Approved ITSA Ltd. Clayton Approved Stein Approved Piwowar Approved Lansdowne Security, Inc. Clayton Approved Stein Approved Piwowar Approved Lecere Corporation Clayton Approved Stein Approved Piwowar Approved Life Systems Corp. Clayton Approved Stein Approved Piwowar Approved Marine Growth Ventures, Inc. Clayton Approved Stein Approved Piwowar Approved Master Silicon Carbide Industries Inc. Clayton Approved Stein Approved Piwowar Approved Medical Solutions Management, Inc. Clayton Approved Stein Approved Piwowar Approved Meldex International Plc. Clayton Approved Stein Approved Piwowar Approved Mizati Luxury Alloy Wheels, Inc. Clayton Approved Stein Approved Piwowar Approved MSO Holdings, Inc. Clayton Approved Stein Approved Piwowar Approved My Vintage Baby, Inc. Clayton Approved Stein Approved Piwowar Approved National Quality Care, Inc. Clayton Approved Stein Approved Piwowar Approved Niusule Bio-pharmaceutical Corp. Clayton Approved Stein Approved Piwowar Approved NOVT Corp. Clayton Approved Stein Approved Piwowar Approved NSJ-US Co Ltd. Clayton Approved Stein Approved Piwowar Approved Pacific Northwest Development Corp. Clayton Approved Stein Approved Piwowar Approved Pure Earth, Inc. Clayton Approved Stein Approved Piwowar Approved Quantum MRI, Inc. Clayton Approved Stein Approved Piwowar Approved Reunited Holdings, Inc. Clayton Approved Stein Approved Piwowar Approved Rubber Research Elastomerics, Inc. Clayton Approved Stein Approved Piwowar Approved Savenergy Holdings, Inc. Clayton Approved Stein Approved Piwowar Approved Skybridge Technology Group, Inc. Clayton Approved Stein Approved Piwowar Approved Small World Kids, Inc. Clayton Approved Stein Approved Piwowar Approved Sunrise Consulting Group, Inc. Clayton Approved Stein Approved Piwowar Approved Tetrahedron Associates, Inc. Clayton Approved Stein Approved Piwowar Approved Therma-Med, Inc. Clayton Approved Stein Approved Piwowar Approved Tivus, Inc. Clayton Approved Stein Approved Piwowar Approved U.S. National Telecom, Inc. Clayton Approved Stein Approved Piwowar Approved Ultimate Lifestyle Corp Clayton Approved Stein Approved Piwowar Approved Underground Energy Corp. Clayton Approved Stein Approved Piwowar Approved VertX Corp Clayton Approved Stein Approved Piwowar Approved Weatherly Aircraft Company Clayton Approved Stein Approved Piwowar Approved Wecosign, Inc. Clayton Approved Stein Approved Piwowar Approved Xedar Corp. Clayton Approved Stein Approved Piwowar Approved 34-80930 https://www.sec.gov/rules/sro/nms/2017/34-80930.pdf 2017-06-14 Notice of Filing and Immediate Effectiveness of Amendment No. 2 to the National Market System Plan Governing the Consolidated Audit Trail by Bats BYX Exchange, Inc., Bats BZX Exchange, Inc., Bats EDGA Exchange, Inc., Bats EDGX Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors’ Exchange LLC, Miami International Securities Exchange, LLC, MIAX PEARL, LLC, NASDAQ BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC, NASDAQ PHLX LLC, The NASDAQ Stock Market LLC, New York Stock Exchange LLC, NYSE Arca, Inc., NYSE MKT LLC and NYSE National, Inc. Clayton Approved Stein Approved Piwowar Approved 34-80943 https://www.sec.gov/litigation/admin/2017/34-80943.pdf 2017-06-15 T3 Holdings, Inc. Piwowar Approved Stein Approved Vortronnix Technologies, Inc. Piwowar Approved Stein Approved 34-80947 https://www.sec.gov/litigation/admin/2017/34-80947.pdf 2017-06-15 Kirchner, Eric W. Clayton Approved Stein Approved Piwowar Approved Rodick, Richard G. Clayton Approved Stein Approved Piwowar Approved 34-80855 https://www.sec.gov/litigation/admin/2017/34-80855.pdf 2017-06-05 Gardner, Bret H. Clayton Approved Stein Approved Piwowar Approved 34-80862 https://www.sec.gov/litigation/suspensions/2017/34-80862.pdf https://www.sec.gov/litigation/suspensions/2017/34-80862-o.pdf 2017-06-05 Integrated Freight Corporation Clayton Approved Stein Approved Piwowar Approved 34-80863 https://www.sec.gov/litigation/admin/2017/34-80863.pdf 2017-06-05 Integrated Freight Corporation Clayton Approved Stein Approved Piwowar Approved 34-80870 https://www.sec.gov/rules/other/2017/34-80870.pdf 2017-06-07 Commission Statement Concerning a Request Made Pursuant to Exchange Act Rule 3a68-2 Clayton Approved Stein Approved Piwowar Approved 34-80872 https://www.sec.gov/litigation/admin/2017/34-80872.pdf 2017-06-07 Zhang, Dan "Alice" CPA Clayton Approved Stein Approved Piwowar Approved 34-80880 https://www.sec.gov/litigation/admin/2017/34-80880.pdf 2017-06-07 Evolucia, Inc. Piwowar Approved Stein Approved Legend International Holdings, Inc. Piwowar Approved Stein Approved OSL Holdings, Inc. Piwowar Approved Stein Approved 34-80881 https://www.sec.gov/litigation/suspensions/2017/34-80881.pdf https://www.sec.gov/litigation/suspensions/2017/34-80881-o.pdf 2017-06-07 Evolucia, Inc. Piwowar Approved Stein Approved Legend International Holdings, Inc. Piwowar Approved Stein Approved OSL Holdings, Inc. Piwowar Approved Stein Approved 34-80884 https://www.sec.gov/litigation/admin/2017/34-80884.pdf 2017-06-08 Scott, Christopher David Clayton Approved Stein Not Approved Piwowar Approved 34-80892 https://www.sec.gov/litigation/admin/2017/34-80892.pdf 2017-06-08 Can-Cal Resources Ltd. Piwowar Approved Stein Approved China Fruits Corp. Piwowar Approved Stein Approved SkyStar Bio-Pharmaceutical Co. Piwowar Approved Stein Approved 34-80893 https://www.sec.gov/litigation/suspensions/2017/34-80893.pdf https://www.sec.gov/litigation/suspensions/2017/34-80893-o.pdf 2017-06-08 Can-Cal Resources Ltd. Piwowar Approved Stein Approved SkyStar Bio-Pharmaceutical Co. Piwowar Approved Stein Approved 33-10369 https://www.sec.gov/litigation/admin/2017/33-10369.pdf 2017-06-09 Hayford, Michael B. Clayton Approved Stein Approved Piwowar Approved McClelland, Kevin D. CPA Clayton Approved Stein Approved Piwowar Approved Rothbaum, Daniel L. CPA Clayton Approved Stein Approved Piwowar Approved 34-80894 https://www.sec.gov/litigation/admin/2017/34-80894.pdf 2017-06-09 Todd, Fredrick J. Clayton Approved Stein Approved Piwowar Approved 34-80896 https://www.sec.gov/litigation/admin/2017/34-80896.pdf 2017-06-09 Lee, Stephanie Clayton Approved Stein Approved Piwowar Approved 33-10368 https://www.sec.gov/litigation/admin/2017/33-10368.pdf 2017-06-01 Humphrey, David R. CPA Piwowar Approved Stein Approved 34-80846 https://www.sec.gov/litigation/admin/2017/34-80846.pdf 2017-06-01 New Western Energy Corp. Piwowar Approved Stein Approved Preferred Restaurant Brands, Inc. Piwowar Approved Stein Approved Primco Management, Inc. Piwowar Approved Stein Approved 34-80847 https://www.sec.gov/litigation/suspensions/2017/34-80847.pdf https://www.sec.gov/litigation/suspensions/2017/34-80847-o.pdf 2017-06-01 New Western Energy Corp. Piwowar Approved Stein Approved Preferred Restaurant Brands, Inc. Piwowar Approved Stein Approved Primco Management, Inc. Piwowar Approved Stein Approved IA-4711 https://www.sec.gov/litigation/admin/2017/ia-4711.pdf 2017-06-01 Fernandes, Ronald J. Clayton Approved Stein Approved Piwowar Approved IA-4712 https://www.sec.gov/litigation/admin/2017/ia-4712.pdf 2017-06-01 Broidy, Marc D. Clayton Approved Stein Approved Piwowar Approved