2017-10-18 August 2017 88 34-81279 https://www.sec.gov/litigation/admin/2017/34-81279.pdf 2017-08-01 Smegal, Bradley T. Clayton Approved Stein Approved Piwowar Approved 34-81308 https://www.sec.gov/litigation/admin/2017/34-81308.pdf 2017-08-03 Teran, Alfred C. Clayton Approved Stein Approved Piwowar Approved 34-81314 https://www.sec.gov/litigation/suspensions/2017/34-81314.pdf https://www.sec.gov/litigation/suspensions/2017/34-81314-o.pdf 2017-08-03 Strategic Global Investments, Inc. Clayton Approved Stein Approved Piwowar Approved 34-81319 https://www.sec.gov/litigation/admin/2017/34-81319.pdf 2017-08-04 Valdor Technology International, Inc. Clayton Approved w/ Edits Cl approved Revs 1 & 2 Stein Approved w/ Edits S approved Revs 1 & 2 Piwowar Approved w/ Edits Pi approved Revs 1 & 2 34-81320 https://www.sec.gov/litigation/suspensions/2017/34-81320.pdf https://www.sec.gov/litigation/suspensions/2017/34-81320-o.pdf 2017-08-04 Valdor Technology International, Inc. Clayton Approved w/ Edits Cl approved Revs 1 & 2 Stein Approved w/ Edits S approved Revs 1 & 2 Piwowar Approved w/ Edits Pi approved Revs 1 & 2 34-81474 https://www.sec.gov/litigation/suspensions/2017/34-81474.pdf https://www.sec.gov/litigation/suspensions/2017/34-81474-o.pdf 2017-08-23 First Bitcoin Capital Corp. Clayton Approved Stein Approved Piwowar Approved 34-81481 https://www.sec.gov/litigation/suspensions/2017/34-81481.pdf https://www.sec.gov/litigation/suspensions/2017/34-81481-o.pdf 2017-08-24 American Security Resources, Corp. Clayton Approved Stein Approved Piwowar Approved 34-81489 https://www.sec.gov/litigation/admin/2017/34-81489.pdf 2017-08-28 CellCyte Genetics Corp. Clayton Approved Stein Approved Piwowar Approved China Pediatric Pharmaceuticals, Inc. Clayton Approved Stein Approved Piwowar Approved Hawker Energy, Inc. Clayton Approved Stein Approved Piwowar Approved 34-81490 https://www.sec.gov/litigation/suspensions/2017/34-81490.pdf https://www.sec.gov/litigation/suspensions/2017/34-81490-o.pdf 2017-08-28 CellCyte Genetics Corp. Clayton Approved Stein Approved Piwowar Approved China Pediatric Pharmaceuticals, Inc. Clayton Approved Stein Approved Piwowar Approved Hawker Energy, Inc. Clayton Approved Stein Approved Piwowar Approved 34-81491 https://www.sec.gov/litigation/suspensions/2017/34-81491.pdf https://www.sec.gov/litigation/suspensions/2017/34-81491-o.pdf 2017-08-28 Circle Star Energy Corp. Clayton Approved Stein Approved Piwowar Approved Energy Holdings International, Inc. Clayton Approved Stein Approved Piwowar Approved 34-81492 https://www.sec.gov/litigation/admin/2017/34-81492.pdf 2017-08-28 Circle Star Energy Corp. Clayton Approved Stein Approved Piwowar Approved Energy Holdings International, Inc. Clayton Approved Stein Approved Piwowar Approved 34-81513 https://www.sec.gov/litigation/admin/2017/34-81513.pdf 2017-08-31 Scarborough, J. Michael Clayton Approved Stein Approved Piwowar Approved Royal Alliance Associates, Inc. Clayton Approved Stein Approved Piwowar Approved 34-81514 https://www.sec.gov/litigation/admin/2017/34-81514.pdf 2017-08-31 PA Fund Management LLC (f/k/a PIMCO Advisors Fund Management LLC) Clayton Approved Stein Approved Piwowar Approved PEA Capital LLC (f/k/a PIMCO Equity Advisors LLC) Clayton Approved Stein Approved Piwowar Approved PA Distributors LLC (f/k/a PIMCO Advisors Distributors LLC) Clayton Approved Stein Approved Piwowar Approved 34-81443 https://www.sec.gov/litigation/admin/2017/34-81443.pdf 2017-08-21 Ironridge Global Partners, LLC Clayton Approved Stein Not Approved Piwowar Approved Ironridge Global IV, Ltd. Clayton Approved Stein Not Approved Piwowar Approved 34-81444 https://www.sec.gov/litigation/admin/2017/34-81444.pdf 2017-08-21 Prudential Equity Group, LLC (f/k/a Prudential Securities, Inc.) Clayton Approved Stein Approved Piwowar Not Participating 34-81447 https://www.sec.gov/litigation/admin/2017/34-81447.pdf 2017-08-21 Chi, Allen Clayton Approved Stein Approved Piwowar Approved 34-81449 https://www.sec.gov/litigation/admin/2017/34-81449.pdf 2017-08-21 Meissner, Kenneth C. Clayton Approved Stein Approved Piwowar Approved Scott, James Doug Clayton Approved Stein Approved Piwowar Approved Tomich, Mark S. "Mike" Clayton Approved Stein Approved Piwowar Approved 34-81450 https://www.sec.gov/litigation/admin/2017/34-81450.pdf 2017-08-21 Ubiquity, Inc. Clayton Approved Stein Approved Piwowar Approved IA-4749 https://www.sec.gov/litigation/admin/2017/ia-4749.pdf 2017-08-21 Deerfield Management Company, L.P. Clayton Approved Stein Approved Piwowar Approved 33-10404 https://www.sec.gov/litigation/admin/2017/33-10404.pdf 2017-08-22 Vertical Capital Asset Management, LLC Clayton Approved Stein Approved Piwowar Approved Vertical Fund Group, Inc. Clayton Approved Stein Approved Piwowar Approved Vertical Recovery Management, LLC Clayton Approved Stein Approved Piwowar Approved Altuzarra , Gustavo A. Clayton Approved Stein Approved Piwowar Approved Chase , Christopher R. Clayton Approved Stein Approved Piwowar Approved 34-81451 https://www.sec.gov/litigation/admin/2017/34-81451.pdf 2017-08-22 DiMaria, Edward Clayton Approved Stein Approved Piwowar Approved 34-81452 https://www.sec.gov/litigation/admin/2017/34-81452.pdf 2017-08-22 Gamsey, Matthew CPA Clayton Approved Stein Approved Piwowar Approved 34-81455 https://www.sec.gov/litigation/admin/2017/34-81455.pdf 2017-08-22 Renfroe, Paul E. Clayton Approved Stein Approved Piwowar Approved 34-81458 https://www.sec.gov/litigation/admin/2017/34-81458.pdf 2017-08-22 Reyes, Gerardo E. Clayton Approved Stein Approved Piwowar Approved 34-81460 https://www.sec.gov/litigation/admin/2017/34-81460.pdf 2017-08-22 Berger, Brian Michael Clayton Approved Stein Approved Piwowar Approved 34-81461 https://www.sec.gov/litigation/admin/2017/34-81461.pdf 2017-08-22 Gainer, Jeffrey Clayton Approved Stein Approved Piwowar Approved 33-10405 https://www.sec.gov/litigation/admin/2017/33-10405.pdf 2017-08-23 O’Connor & Company Securities, Inc. Clayton Approved Stein Approved Piwowar Approved Wetherbee, Anthony Michael Clayton Approved Stein Approved Piwowar Approved 33-10406 https://www.sec.gov/litigation/admin/2017/33-10406.pdf 2017-08-23 Beaumont Financing Authority Clayton Approved Stein Approved Piwowar Approved 34-81463 https://www.sec.gov/litigation/admin/2017/34-81463.pdf 2017-08-23 Miller, Martin Clayton Approved Stein Approved Piwowar Approved 34-81464 https://www.sec.gov/litigation/admin/2017/34-81464.pdf 2017-08-23 Lynch, Shawna Leigh Clayton Approved Stein Approved Piwowar Approved 34-81465 https://www.sec.gov/litigation/admin/2017/34-81465.pdf 2017-08-23 Perez Ortega, Juan M. Clayton Approved Stein Approved Piwowar Approved 34-81466 https://www.sec.gov/litigation/admin/2017/34-81466.pdf 2017-08-23 Hershberger, Jason Clayton Approved Stein Approved Piwowar Approved 34-81467 https://www.sec.gov/litigation/admin/2017/34-81467.pdf 2017-08-23 Sini, Jack Clayton Approved Stein Approved Piwowar Approved 34-81471 https://www.sec.gov/litigation/admin/2017/34-81471.pdf 2017-08-23 Parthemer, Aaron R. Clayton Not Participating Stein Approved Piwowar Approved 34-81472 https://www.sec.gov/litigation/admin/2017/34-81472.pdf 2017-08-23 King, Sylvester Jr. Clayton Not Participating Stein Approved Piwowar Approved 33-10407 https://www.sec.gov/rules/other/2017/33-10407.pdf 2017-08-24 Order Making Fiscal Year 2018 Annual Adjustments to Registration Fee Rates Clayton Approved Stein Approved Piwowar Approved 34-81475 https://www.sec.gov/litigation/admin/2017/34-81475.pdf 2017-08-24 Municipal Finance Services, Inc. Clayton Approved Stein Approved Piwowar Approved Smith, Rick A. Clayton Approved Stein Approved Piwowar Approved Wolff, Jon G. Clayton Approved Stein Approved Piwowar Approved 34-81477 https://www.sec.gov/litigation/admin/2017/34-81477.pdf 2017-08-24 Taberna Capital Management, LLC Clayton Approved Stein Approved Piwowar Approved Fralin, Michael Clayton Approved Stein Approved Piwowar Approved Licht, Raphael Clayton Approved Stein Approved Piwowar Approved 34-81385 https://www.sec.gov/litigation/admin/2017/34-81385.pdf 2017-08-14 Meissner, Kenneth C. Clayton Approved Stein Approved Piwowar Approved Scott, James Doug Clayton Approved Stein Approved Piwowar Approved Tomich, Mark S. "Mike" Clayton Approved Stein Approved Piwowar Approved IA-4743 https://www.sec.gov/litigation/admin/2017/ia-4743.pdf 2017-08-14 Coachman Energy Partners LLC Clayton Approved Stein Approved Piwowar Approved Kenworthy, Randall D. Clayton Approved Stein Approved Piwowar Approved 34-81396 https://www.sec.gov/litigation/admin/2017/34-81396.pdf 2017-08-15 KPMG LLP Clayton Approved Stein Approved Piwowar Approved Riordan, John CPA Clayton Approved Stein Approved Piwowar Approved 34-81397 https://www.sec.gov/litigation/admin/2017/34-81397.pdf 2017-08-15 McAlister, Lisa Pavelka CPA White Approved Stein Approved Aguilar Approved Piwowar Approved 34-81405 https://www.sec.gov/litigation/admin/2017/34-81405.pdf 2017-08-15 Osunkwo, David I. Clayton Approved Stein Approved Piwowar Approved IA-4744 https://www.sec.gov/litigation/admin/2017/ia-4744.pdf 2017-08-15 Lamm, Diane W. Clayton Approved Stein Approved Piwowar Approved IA-4746 https://www.sec.gov/litigation/admin/2017/ia-4746.pdf 2017-08-16 Capital Dynamics, Inc. Clayton Approved Stein Approved Piwowar Approved IA-4747 https://www.sec.gov/litigation/admin/2017/ia-4747.pdf 2017-08-16 Institutional Investors Advisory Company Clayton Approved Stein Approved Piwowar Approved 34-81416 https://www.sec.gov/litigation/admin/2017/34-81416.pdf 2017-08-17 Sarkauskas, James M. Clayton Approved Stein Approved Piwowar Approved Sarkauskas and Associates, Inc. Clayton Approved Stein Approved Piwowar Approved 34-81417 https://www.sec.gov/litigation/admin/2017/34-81417.pdf 2017-08-17 Eubanks, Stephen S. Clayton Approved Stein Approved Piwowar Approved 33-10401 https://www.sec.gov/litigation/admin/2017/33-10401.pdf 2017-08-18 Banca IMI Securities Corp. Clayton Not Participating Stein Approved Piwowar Approved 33-10402 https://www.sec.gov/rules/interp/2017/33-10402.pdf 2017-08-18 Commission Guidance Regarding Revenue Recognition for Bill-and-Hold Arrangements; Interpretation Clayton Approved Stein Approved Piwowar Approved 33-10403 https://www.sec.gov/rules/interp/2017/33-10403.pdf 2017-08-18 Updates to Commission Guidance Regarding Accounting for Sales of Vaccines and Bioterror Countermeasures to the Federal Government for Placement into the Pediatric Vaccine Stockpile or the Strategic National Stockpile; Interpretation Clayton Approved Stein Approved Piwowar Approved 34-81425 https://www.sec.gov/litigation/admin/2017/34-81425.pdf 2017-08-18 Boyer, John W. Clayton Approved Stein Approved Piwowar Approved 34-81426 https://www.sec.gov/litigation/admin/2017/34-81426.pdf 2017-08-18 McAlees, Joshua F. Clayton Approved Stein Approved Piwowar Approved 34-81430 https://www.sec.gov/litigation/admin/2017/34-81430.pdf 2017-08-18 Palladino, James M. Clayton Approved Stein Approved Piwowar Approved 34-81435 https://www.sec.gov/rules/sro/chx/2017/34-81435.pdf 2017-08-18 Chicago Stock Exchange, Inc. Clayton Approved Stein Approved Piwowar Approved 34-81329 https://www.sec.gov/litigation/admin/2017/34-81329.pdf 2017-08-07 McClatchey, Steven V. Clayton Approved Stein Approved Piwowar Approved 34-81330 https://www.sec.gov/litigation/admin/2017/34-81330.pdf 2017-08-07 Lester, Donald J. Clayton Approved Stein Approved Piwowar Approved 34-81331 https://www.sec.gov/litigation/admin/2017/34-81331.pdf 2017-08-07 BOLDFACE Group, Inc. Clayton Approved Stein Approved Piwowar Approved China Tianfeihong Wine Inc. Clayton Approved Stein Approved Piwowar Approved Goldfields International Inc. Clayton Approved Stein Approved Piwowar Approved Grizzly Gold Corp. Clayton Approved Stein Approved Piwowar Approved 34-81332 https://www.sec.gov/litigation/suspensions/2017/34-81332.pdf https://www.sec.gov/litigation/suspensions/2017/34-81332-o.pdf 2017-08-07 BOLDFACE Group, Inc. Clayton Approved Stein Approved Piwowar Approved China Tianfeihong Wine Inc. Clayton Approved Stein Approved Piwowar Approved Goldfields International Inc. Clayton Approved Stein Approved Piwowar Approved Grizzly Gold Corp. Clayton Approved Stein Approved Piwowar Approved 34-81333 https://www.sec.gov/litigation/admin/2017/34-81333.pdf 2017-08-07 Altovida Inc. Clayton Approved Stein Approved Piwowar Approved Aurora Gold Corporation Clayton Approved Stein Approved Piwowar Approved Auxillium Energy, Inc. Clayton Approved Stein Approved Piwowar Approved Silver Falcon Mining, Inc. Clayton Approved Stein Approved Piwowar Approved 34-81334 https://www.sec.gov/litigation/suspensions/2017/34-81334.pdf https://www.sec.gov/litigation/suspensions/2017/34-81334-o.pdf 2017-08-07 Altovida Inc. Clayton Approved Stein Approved Piwowar Approved Aurora Gold Corporation Clayton Approved Stein Approved Piwowar Approved Auxillium Energy, Inc. Clayton Approved Stein Approved Piwowar Approved Silver Falcon Mining, Inc. Clayton Approved Stein Approved Piwowar Approved 34-81335 https://www.sec.gov/litigation/admin/2017/34-81335.pdf 2017-08-07 American Magna Corp. Clayton Approved Stein Approved Piwowar Approved BioNeutral Group, Inc. Clayton Approved Stein Approved Piwowar Approved LivingVentures, Inc. Clayton Approved Stein Approved Piwowar Approved Oryon Technologies, Inc. Clayton Approved Stein Approved Piwowar Approved 34-81336 https://www.sec.gov/litigation/suspensions/2017/34-81336.pdf https://www.sec.gov/litigation/suspensions/2017/34-81336-o.pdf 2017-08-07 American Magna Corp. Clayton Approved Stein Approved Piwowar Approved BioNeutral Group, Inc. Clayton Approved Stein Approved Piwowar Approved LivingVentures, Inc. Clayton Approved Stein Approved Piwowar Approved Oryon Technologies, Inc. Clayton Approved Stein Approved Piwowar Approved 34-81356 https://www.sec.gov/litigation/admin/2017/34-81356.pdf 2017-08-08 China Du Kang Co., Ltd. Clayton Approved Stein Approved Piwowar Approved 34-81357 https://www.sec.gov/litigation/suspensions/2017/34-81357.pdf https://www.sec.gov/litigation/suspensions/2017/34-81357-o.pdf 2017-08-08 China Du Kang Co., Ltd. Clayton Approved Stein Approved Piwowar Approved 34-81367 https://www.sec.gov/litigation/suspensions/2017/34-81367.pdf https://www.sec.gov/litigation/suspensions/2017/34-81367-o.pdf 2017-08-09 CIAO Group, Inc. Clayton Approved Stein Approved Piwowar Approved 34-81375 https://www.sec.gov/litigation/admin/2017/34-81375.pdf 2017-08-10 E-Waste Systems, Inc. Clayton Approved Stein Approved Piwowar Approved 34-81376 https://www.sec.gov/litigation/suspensions/2017/34-81376.pdf https://www.sec.gov/litigation/suspensions/2017/34-81376-o.pdf 2017-08-10 E-Waste Systems, Inc. Clayton Approved Stein Approved Piwowar Approved 34-81383 https://www.sec.gov/litigation/admin/2017/34-81383.pdf 2017-08-11 JP Morgan Chase & Co. Clayton Not Participating Stein Approved Piwowar Approved 33-10395 https://www.sec.gov/litigation/admin/2017/33-10395.pdf 2017-08-01 Belesis, Anastasios P. "Tommy" Clayton Approved Stein Approved Piwowar Approved 33-10396 https://www.sec.gov/litigation/admin/2017/33-10396.pdf 2017-08-01 Shore, Michael S. Clayton Approved Stein Approved Piwowar Approved 34-81274 https://www.sec.gov/litigation/admin/2017/34-81274.pdf 2017-08-01 Cadaret, Grant & Co., Inc. Clayton Approved Stein Approved Piwowar Approved 34-81281 https://www.sec.gov/litigation/admin/2017/34-81281.pdf 2017-08-01 Kung Fu Dragon Group Limited Clayton Approved Stein Approved Piwowar Approved 34-81282 https://www.sec.gov/litigation/suspensions/2017/34-81282.pdf 2017-08-01 Kung Fu Dragon Group Limited Clayton Approved Stein Approved Piwowar Approved 34-81283 https://www.sec.gov/litigation/admin/2017/34-81283.pdf 2017-08-01 Aurios Inc. Clayton Approved Stein Approved Piwowar Approved EFLO Energy, Inc. Clayton Approved Stein Approved Piwowar Approved Inergetics, Inc. Clayton Approved Stein Approved Piwowar Approved Monar International, Inc. Clayton Approved Stein Approved Piwowar Approved 34-81284 https://www.sec.gov/litigation/suspensions/2017/34-81284.pdf https://www.sec.gov/litigation/suspensions/2017/34-81284-o.pdf 2017-08-01 Aurios Inc. Clayton Approved Stein Approved Piwowar Approved EFLO Energy, Inc. Clayton Approved Stein Approved Piwowar Approved Inergetics, Inc. Clayton Approved Stein Approved Piwowar Approved Monar International, Inc. Clayton Approved Stein Approved Piwowar Approved 33-10397 https://www.sec.gov/litigation/admin/2017/33-10397.pdf 2017-08-02 Cheung (a/k/a Dylon de lu Zhang), Joe Yiu Clayton Approved Stein Approved Piwowar Approved 34-81286 https://www.sec.gov/rules/sro/nscc-an/2017/34-81286.pdf 2017-08-02 National Securities Clearing Corporation; Notice of Filing of Advance Notice to Expand the Application of the Family-Issued Securities Charge Clayton Approved Stein Approved Piwowar Approved 34-81295 https://www.sec.gov/litigation/admin/2017/34-81295.pdf 2017-08-02 AV Therapeutics, Inc. Clayton Approved Stein Approved Piwowar Approved Balqon Corporation Clayton Approved Stein Approved Piwowar Approved Empress Mining Inc. (f/k/a Penola, Inc.) Clayton Approved Stein Approved Piwowar Approved Passport Potash, Inc. Clayton Approved Stein Approved Piwowar Approved 34-81296 https://www.sec.gov/litigation/suspensions/2017/34-81296.pdf https://www.sec.gov/litigation/suspensions/2017/34-81296-o.pdf 2017-08-02 AV Therapeutics, Inc. Clayton Approved Stein Approved Piwowar Approved Balqon Corporation Clayton Approved Stein Approved Piwowar Approved Empress Mining Inc. (f/k/a Penola, Inc.) Clayton Approved Stein Approved Piwowar Approved Passport Potash, Inc. Clayton Approved Stein Approved Piwowar Approved 34-81297 https://www.sec.gov/litigation/admin/2017/34-81297.pdf 2017-08-02 Cardinal Resources, Inc. Piwowar Approved Stein Approved 34-81298 https://www.sec.gov/litigation/admin/2017/34-81298.pdf 2017-08-02 Axiom Oil & Gas Corp. Clayton Approved Stein Approved Piwowar Approved GEI Global Energy Corp. Clayton Approved Stein Approved Piwowar Approved Ironwood Gold Corp. Clayton Approved Stein Approved Piwowar Approved Surge Global Energy, Inc. Clayton Approved Stein Approved Piwowar Approved 34-81299 https://www.sec.gov/litigation/suspensions/2017/34-81299.pdf https://www.sec.gov/litigation/suspensions/2017/34-81299-o.pdf 2017-08-02 Axiom Oil & Gas Corp. Clayton Approved Stein Approved Piwowar Approved GEI Global Energy Corp. Clayton Approved Stein Approved Piwowar Approved Ironwood Gold Corp. Clayton Approved Stein Approved Piwowar Approved Surge Global Energy, Inc. Clayton Approved Stein Approved Piwowar Approved 34-81300 https://www.sec.gov/litigation/admin/2017/34-81300.pdf 2017-08-02 China Greenstar Corporation Clayton Approved Stein Approved Piwowar Approved Cortronix Biomedical Advancement Technologies, Inc. Clayton Approved Stein Approved Piwowar Approved HW Holdings, Inc. Clayton Approved Stein Approved Piwowar Approved Microelectronics Technology Company Clayton Approved Stein Approved Piwowar Approved 34-81301 https://www.sec.gov/litigation/suspensions/2017/34-81301.pdf https://www.sec.gov/litigation/suspensions/2017/34-81301-o.pdf 2017-08-02 China Greenstar Corporation Clayton Approved Stein Approved Piwowar Approved Cortronix Biomedical Advancement Technologies, Inc. Clayton Approved Stein Approved Piwowar Approved HW Holdings, Inc. Clayton Approved Stein Approved Piwowar Approved Microelectronics Technology Company Clayton Approved Stein Approved Piwowar Approved 34-81302 https://www.sec.gov/rules/other/2017/34-81302.pdf 2017-08-03 DTCC Data Repository (U.S.), LLC; Notice of Filing of Amended Application for Registration as a Security-Based Swap Data Repository Clayton Approved Stein Approved Piwowar Approved 34-81307 https://www.sec.gov/litigation/admin/2017/34-81307.pdf 2017-08-03 Moore Stephens Wurth Frazer & Torbett LLP Clayton Approved Stein Approved Piwowar Approved IA-4739 https://www.sec.gov/litigation/admin/2017/ia-4739.pdf 2017-08-04 Black Diamond Asset Management, LLC Clayton Approved Stein Approved Piwowar Approved Wilson, Robert Clayton Approved Stein Approved Piwowar Approved