2017-11-21
September 2017
139
34-81679
https://www.sec.gov/litigation/suspensions/2017/34-81679.pdf
https://www.sec.gov/litigation/suspensions/2017/34-81679-o.pdf
2017-09-21
Grupo Resilient International Inc. (f/n/a Paradise Ridge Hydrocarbons, Inc.)
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81723
https://www.sec.gov/litigation/admin/2017/34-81723.pdf
2017-09-26
Infinity Real Estate Holdings Corporation
Clayton
Approved
Stein
Approved
Piwowar
Approved
International Industrial Enterprise, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Scor International Foods, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Xhibit Corp.
Clayton
Approved
Stein
Approved
Piwowar
Approved
33-10418
https://www.sec.gov/litigation/admin/2017/33-10418.pdf
2017-09-28
Success Holding Group International, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Not Approved
34-81751
https://www.sec.gov/litigation/admin/2017/34-81751.pdf
2017-09-28
Success Holding Group International, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Not Approved
33-10422
https://www.sec.gov/litigation/admin/2017/33-10422.pdf
2017-09-29
Caravette,Daniel C.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81694
https://www.sec.gov/litigation/admin/2017/34-81694.pdf
2017-09-25
GO EZ Corporation
Clayton
Approved
Stein
Approved
Piwowar
Approved
Green St. Energy, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Hyperview Ltd.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Imogo Mobile Technologies Corp.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81695
https://www.sec.gov/litigation/admin/2017/34-81695.pdf
2017-09-25
G-Trade Services LLC
White
Approved
Stein
Approved
Piwowar
Approved
Convergex Global Markets Limited
White
Approved
Stein
Approved
Piwowar
Approved
Convergex Execution Solutions LLC
White
Approved
Stein
Approved
Piwowar
Approved
34-81696
https://www.sec.gov/litigation/admin/2017/34-81696.pdf
2017-09-25
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
34-81700
https://www.sec.gov/litigation/admin/2017/34-81700.pdf
2017-09-25
Smith Barney Fund Management LLC
Clayton
Approved
Stein
Approved
Piwowar
Approved
Citigroup Global Markets, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81701
https://www.sec.gov/litigation/admin/2017/34-81701.pdf
2017-09-25
Massachusetts Financial Services Co.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Ballen, John W.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Parke, Kevin R.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81702
https://www.sec.gov/litigation/admin/2017/34-81702.pdf
2017-09-25
DLJ Mortgage Capital, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Credit Suisse Securities USA (LLC)
Clayton
Approved
Stein
Approved
Piwowar
Approved
Credit Suisse First Boston Mortgage Acceptance Corp.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Credit Suisse First Boston Mortgage Securities Corp.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Asset Backed Securities Corporation
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81703
https://www.sec.gov/litigation/admin/2017/34-81703.pdf
2017-09-25
DLJ Mortgage Capital, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Credit Suisse Securities USA (LLC)
Clayton
Approved
Stein
Approved
Piwowar
Approved
Credit Suisse First Boston Mortgage Acceptance Corp.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Credit Suisse First Boston Mortgage Securities Corp.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Asset Backed Securities Corporation
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81704
https://www.sec.gov/litigation/admin/2017/34-81704.pdf
2017-09-25
IN Media Corporation
Clayton
Approved
Stein
Approved
Piwowar
Approved
New Media Insight Group, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Pacific Sands, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Saleen Automotive, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81705
https://www.sec.gov/litigation/suspensions/2017/34-81705.pdf
https://www.sec.gov/litigation/suspensions/2017/34-81705-o.pdf
2017-09-25
IN Media Corporation
Clayton
Approved
Stein
Approved
Piwowar
Approved
New Media Insight Group, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Pacific Sands, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Saleen Automotive, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81706
https://www.sec.gov/litigation/admin/2017/34-81706.pdf
2017-09-25
KollagenX Corp.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Microlin Bio, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Vaccinogen, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Virtus Oil and Gas Corp.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81707
https://www.sec.gov/litigation/admin/2017/34-81707.pdf
2017-09-25
HydroPhi Technologies Group, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
iTalk Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Soellingen Advisory Group, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
U.S. Rare Earths, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81708
https://www.sec.gov/litigation/suspensions/2017/34-81708.pdf
https://www.sec.gov/litigation/suspensions/2017/34-81708-o.pdf
2017-09-25
KollagenX Corp.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Microlin Bio, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Vaccinogen, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Virtus Oil and Gas Corp.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81709
https://www.sec.gov/litigation/suspensions/2017/34-81709.pdf
https://www.sec.gov/litigation/suspensions/2017/34-81709-o.pdf
2017-09-25
HydroPhi Technologies Group, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
iTalk Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Soellingen Advisory Group, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
U.S. Rare Earths, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81710
https://www.sec.gov/litigation/suspensions/2017/34-81710.pdf
https://www.sec.gov/litigation/suspensions/2017/34-81710-o.pdf
2017-09-25
Icon Vapor, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
POWRtec International Corp.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Silvergraph International, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Walter Energy, Inc. (n/k/a New WEI, Inc.)
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81712
https://www.sec.gov/litigation/admin/2017/34-81712.pdf
2017-09-25
Icon Vapor, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
POWRtec International Corp.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Silvergraph International, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Walter Energy, Inc. (n/k/a New WEI, Inc.)
Clayton
Approved
Stein
Approved
Piwowar
Approved
ia-4774
https://www.sec.gov/litigation/admin/2017/ia-4774.pdf
2017-09-25
Aletheia Research and Management, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81718
https://www.sec.gov/litigation/admin/2017/34-81718.pdf
2017-09-26
Chamroonrat, Naris
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81719
https://www.sec.gov/litigation/admin/2017/34-81719.pdf
2017-09-26
LBMZ Securities, Inc. f/k/a Zacks & Co.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81720
https://www.sec.gov/rules/sro/nms/2017/34-81720.pdf
2017-09-26
Joint Industry Plan; Notice of Filing and Immediate Effectiveness of the Fifteenth 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 American LLC, and NYSE Arca, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81724
https://www.sec.gov/litigation/admin/2017/34-81724.pdf
2017-09-26
Speight, Cecil Franklin
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81726
https://www.sec.gov/litigation/admin/2017/34-81726.pdf
2017-09-26
Next Galaxy Corp.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Novamex Energy, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Occidental Development Group, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Sable Natural Resources Corporation
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81727
https://www.sec.gov/litigation/suspensions/2017/34-81727.pdf
https://www.sec.gov/litigation/suspensions/2017/34-81727-o.pdf
2017-09-26
Next Galaxy Corp.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Novamex Energy, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Occidental Development Group, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Sable Natural Resources Corporation
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81728
https://www.sec.gov/litigation/admin/2017/34-81728.pdf
2017-09-26
Hydrogen Future Corporation
Clayton
Approved
Stein
Approved
Piwowar
Approved
Liberty Energy Corp.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Omega Brands, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Optionable Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81729
https://www.sec.gov/litigation/suspensions/2017/34-81729.pdf
https://www.sec.gov/litigation/suspensions/2017/34-81729-o.pdf
2017-09-26
Hydrogen Future Corporation
Clayton
Approved
Stein
Approved
Piwowar
Approved
Liberty Energy Corp.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Omega Brands, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Optionable Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81730
https://www.sec.gov/litigation/suspensions/2017/34-81730.pdf
https://www.sec.gov/litigation/suspensions/2017/34-81730-o.pdf
2017-09-26
Guardian 8 Holdings
Clayton
Approved
Stein
Approved
Piwowar
Approved
Idaho North Resources Corporation
Clayton
Approved
Stein
Approved
Piwowar
Approved
Mecklermedia Corporation
Clayton
Approved
Stein
Approved
Piwowar
Approved
Verde Science, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81731
https://www.sec.gov/litigation/admin/2017/34-81731.pdf
2017-09-26
Guardian 8 Holdings
Clayton
Approved
Stein
Approved
Piwowar
Approved
Idaho North Resources Corporation
Clayton
Approved
Stein
Approved
Piwowar
Approved
Mecklermedia Corporation
Clayton
Approved
Stein
Approved
Piwowar
Approved
Verde Science, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
ia-4775
https://www.sec.gov/litigation/admin/2017/ia-4775.pdf
2017-09-26
Keenan, Brian J.
Clayton
Approved
Stein
Approved
Piwowar
Approved
ia-4776
https://www.sec.gov/litigation/admin/2017/ia-4776.pdf
2017-09-26
TRH Financial LLC
Clayton
Approved
Stein
Approved
Piwowar
Approved
ia-4777
https://www.sec.gov/litigation/admin/2017/ia-4777.pdf
2017-09-26
360 Financial, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
ia-4778
https://www.sec.gov/litigation/admin/2017/ia-4778.pdf
2017-09-26
VisionPoint Advisory Group, LLC
Clayton
Approved
Stein
Approved
Piwowar
Approved
33-10416
https://www.sec.gov/rules/interim/2017/33-10416.pdf
2017-09-27
Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Harvey, Hurricane Irma, and Hurricane Maria; Interim final temporary rule
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81732
https://www.sec.gov/litigation/admin/2017/34-81732.pdf
2017-09-27
Spina, Louis J.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81735
https://www.sec.gov/litigation/admin/2017/34-81735.pdf
2017-09-27
Dearborn Bancorp, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Greentech Mining International, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Hoverink International Holdings, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
South West Coast Senior Living Corp.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81740
https://www.sec.gov/litigation/admin/2017/34-81740.pdf
2017-09-27
Stewart, Robert K. CPA
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81741
https://www.sec.gov/litigation/admin/2017/34-81741.pdf
2017-09-27
Krishnamoorthy, Avaneesh
Clayton
Approved
Stein
Approved
Piwowar
Approved
33-10417
https://www.sec.gov/litigation/admin/2017/33-10417.pdf
2017-09-28
Alere, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
33-10419
https://www.sec.gov/litigation/admin/2017/33-10419.pdf
2017-09-28
Torres, Laurence M.
Clayton
Approved
Stein
Approved
Piwowar
Approved
33-10420
https://www.sec.gov/litigation/opinions/2017/33-10420.pdf
2017-09-28
Equity Trust Company
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81744
https://www.sec.gov/litigation/admin/2017/34-81744.pdf
2017-09-28
Zhang, Fengjiu
Clayton
Approved
Stein
Approved
Piwowar
Approved
Kong, Xianli
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81758
https://www.sec.gov/litigation/admin/2017/34-81758.pdf
2017-09-28
Kluge, Jeffrey Timothy
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81759
https://www.sec.gov/litigation/opinions/2017/34-81759.pdf
2017-09-28
Ahmed, Fuad
Clayton
Approved
Stein
Approved
Piwowar
Approved
Success Trade Securities, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81760
https://www.sec.gov/rules/other/2017/34-81760.pdf
2017-09-28
Order Under Section 15B, Section 17A and Section 36 of the Securities Exchange Act of 1934 Granting Exemptions from Specified Provisions of the Exchange Act and Certain Rules Thereunder; Order Under Section 6(c) and Section 38(a) of the Investment Company Act of 1940 Granting Exemptions from Specified Provisions of the Investment Company Act and Certain Rules Therunder
Clayton
Approved
Stein
Approved
Piwowar
Approved
ia-4780
https://www.sec.gov/litigation/admin/2017/ia-4780.pdf
2017-09-28
SIX Financial Information USA Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
ia-4781
https://www.sec.gov/litigation/admin/2017/ia-4781.pdf
2017-09-28
Beaumont, Perry H.
Clayton
Approved
Stein
Approved
Piwowar
Approved
ic-32840
https://www.sec.gov/litigation/admin/2017/ic-32840.pdf
2017-09-28
Honeysuckle Research Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81778
https://www.sec.gov/litigation/opinions/2017/34-81778.pdf
2017-09-29
Meyers Associates, L.P.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Meyers, Bruce
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81779
https://www.sec.gov/litigation/opinions/2017/34-81779.pdf
2017-09-29
Elgart, David Adam
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81780
https://www.sec.gov/alj/aljdec/2017/34-81780.pdf
2017-09-29
White, Paul Leon II
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81784
https://www.sec.gov/litigation/opinions/2017/34-81784.pdf
2017-09-29
Schwartz, Michael David
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81785
https://www.sec.gov/litigation/opinions/2017/34-81785.pdf
2017-09-29
McBarron Capital LLC
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81786
https://www.sec.gov/litigation/opinions/2017/34-81786.pdf
2017-09-29
Sequeira, Keith Patrick
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81787
https://www.sec.gov/litigation/opinions/2017/34-81787.pdf
2017-09-29
Sparks, Michael A.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81643
https://www.sec.gov/litigation/admin/2017/34-81643.pdf
2017-09-18
ARX Gold Corporation
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81647
https://www.sec.gov/litigation/admin/2017/34-81647.pdf
2017-09-18
Huixin Waste Water Solutions, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81648
https://www.sec.gov/litigation/suspensions/2017/34-81648.pdf
https://www.sec.gov/litigation/suspensions/2017/34-81648-o.pdf
2017-09-18
Huixin Waste Water Solutions, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81649
https://www.sec.gov/litigation/admin/2017/34-81649.pdf
2017-09-18
Meridian Co., Ltd.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81650
https://www.sec.gov/litigation/suspensions/2017/34-81650.pdf
https://www.sec.gov/litigation/suspensions/2017/34-81650-o.pdf
2017-09-18
Meridian Co., Ltd.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81656
https://www.sec.gov/litigation/admin/2017/34-81656.pdf
2017-09-19
Creator Capital Ltd.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81657
https://www.sec.gov/litigation/suspensions/2017/34-81657.pdf
https://www.sec.gov/litigation/suspensions/2017/34-81657-o.pdf
2017-09-19
Creator Capital Ltd.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81658
https://www.sec.gov/litigation/admin/2017/34-81658.pdf
2017-09-19
Immunoclin Corp.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Intelligent Living America, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Ivanhoe Energy, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81663
https://www.sec.gov/litigation/admin/2017/34-81663.pdf
2017-09-20
Engage Eco Solutions, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Old Stone Corporation
Clayton
Approved
Stein
Approved
Piwowar
Approved
Teltronics, Inc. (n/k/a Forerunner Technologies, Inc.)
Clayton
Approved
Stein
Approved
Piwowar
Approved
Xunna Information Technology, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81664
https://www.sec.gov/litigation/admin/2017/34-81664.pdf
2017-09-20
Craft, Joseph H. CPA
Clayton
Approved
Stein
Approved
Piwowar
Approved
33-10415
https://www.sec.gov/rules/interp/2017/33-10415.pdf
2017-09-21
Commission Guidance on Pay Ratio Disclosure; Interpretation
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81666
https://www.sec.gov/litigation/admin/2017/34-81666.pdf
2017-09-21
JuQun, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Live Brands, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Nevada Gold Corp.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Nexus Data Technologies Corporation
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81669
https://www.sec.gov/litigation/admin/2017/34-81669.pdf
2017-09-21
Telia Company AB
Clayton
Not Participating
Stein
Approved
Piwowar
Approved
34-81677
https://www.sec.gov/litigation/admin/2017/34-81677.pdf
2017-09-21
Zingerman, Joel P.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81678
https://www.sec.gov/litigation/admin/2017/34-81678.pdf
2017-09-21
Paritz & Company, P.A.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Albert, Lester S. CPA
Clayton
Approved
Stein
Approved
Piwowar
Approved
Serotta , Brian A. CPA
Clayton
Approved
Stein
Approved
Piwowar
Approved
ia-4772
https://www.sec.gov/litigation/admin/2017/ia-4772.pdf
2017-09-21
Platinum Equity Advisors, LLC
Clayton
Not Participating
Stein
Approved
Piwowar
Approved
34-81685
https://www.sec.gov/litigation/admin/2017/34-81685.pdf
2017-09-22
Aervision Holdings, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Amalgamated Pictures Corp.
Clayton
Approved
Stein
Approved
Piwowar
Approved
American Patriot Financial Group, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Asia8, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81688
https://www.sec.gov/litigation/admin/2017/34-81688.pdf
2017-09-22
Hampshire Group, Limited
Clayton
Approved
Stein
Approved
Piwowar
Approved
United Mortgage Trust, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Zoom Companies, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81689
https://www.sec.gov/litigation/suspensions/2017/34-81689.pdf
https://www.sec.gov/litigation/suspensions/2017/34-81689-o.pdf
2017-09-22
Hampshire Group, Limited
Clayton
Approved
Stein
Approved
Piwowar
Approved
United Mortgage Trust, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Zoom Companies, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81690
https://www.sec.gov/litigation/admin/2017/34-81690.pdf
2017-09-22
Penny Auction Solutions, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Sebring Software, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Studio II Brands, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81691
https://www.sec.gov/litigation/suspensions/2017/34-81691.pdf
https://www.sec.gov/litigation/suspensions/2017/34-81691-o.pdf
2017-09-22
IMK Group, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
MobileBits Holdings Corporation
Clayton
Approved
Stein
Approved
Piwowar
Approved
National Energy Services, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Power of The Dream Ventures Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81692
https://www.sec.gov/litigation/admin/2017/34-81692.pdf
2017-09-22
IMK Group, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
MobileBits Holdings Corporation
Clayton
Approved
Stein
Approved
Piwowar
Approved
National Energy Services, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Power of The Dream Ventures Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81693
https://www.sec.gov/litigation/opinions/2017/34-81693.pdf
2017-09-22
Turner, Michael Ross
Clayton
Approved
Stein
Approved
Piwowar
Approved
ia-4773
https://www.sec.gov/litigation/admin/2017/ia-4773.pdf
2017-09-22
Sagent Wealth Management, LLC
Clayton
Approved
Stein
Approved
Piwowar
Approved
Eichenauer, Marshall G. Jr.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81565
https://www.sec.gov/litigation/admin/2017/34-81565.pdf
2017-09-11
Alvarado, Javier Jr.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81566
https://www.sec.gov/litigation/admin/2017/34-81566.pdf
2017-09-11
Veasey, William D. IV
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81571
https://www.sec.gov/litigation/admin/2017/34-81571.pdf
2017-09-11
G-Trade Services LLC
White
Approved
Stein
Approved
Piwowar
Approved
Convergex Global Markets Limited
White
Approved
Stein
Approved
Piwowar
Approved
Convergex Execution Solutions LLC
White
Approved
Stein
Approved
Piwowar
Approved
34-81575
https://www.sec.gov/litigation/admin/2017/34-81575.pdf
2017-09-11
Kun De International Holdings, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
New Colombia Resources, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Sutor Technology Group Limited
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81576
https://www.sec.gov/litigation/suspensions/2017/34-81576.pdf
https://www.sec.gov/litigation/suspensions/2017/34-81576-o.pdf
2017-09-11
Kun De International Holdings, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
New Colombia Resources, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Sutor Technology Group Limited
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81577
https://www.sec.gov/litigation/admin/2017/34-81577.pdf
2017-09-11
Gamzio Mobile, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Gold Hill Resources, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81578
https://www.sec.gov/litigation/suspensions/2017/34-81578.pdf
https://www.sec.gov/litigation/suspensions/2017/34-81578-o.pdf
2017-09-11
Gamzio Mobile, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Gold Hill Resources, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
ia-4766
https://www.sec.gov/litigation/admin/2017/ia-4766.pdf
2017-09-11
Potomac Asset Management Company, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Byron, Goodloe E. Jr.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81584
https://www.sec.gov/litigation/admin/2017/34-81584.pdf
2017-09-12
Licht , Jeremy A. (d/b/a JL Capital Management)
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81585
https://www.sec.gov/litigation/admin/2017/34-81585.pdf
2017-09-12
Howarth Financial Services, LLC
Clayton
Approved
Stein
Approved
Piwowar
Approved
Howarth , Gary S.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81587
https://www.sec.gov/litigation/admin/2017/34-81587.pdf
2017-09-12
Experience Art and Design, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Fu Lu Cai Productions Ltd. (n/k/a Alfa Star Energy Ltd.)
Clayton
Approved
Stein
Approved
Piwowar
Approved
Heavy Earth Resources, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Horne International, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81588
https://www.sec.gov/litigation/suspensions/2017/34-81588.pdf
https://www.sec.gov/litigation/suspensions/2017/34-81588-o.pdf
2017-09-12
Experience Art and Design, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Fu Lu Cai Productions Ltd. (n/k/a Alfa Star Energy Ltd.)
Clayton
Approved
Stein
Approved
Piwowar
Approved
Heavy Earth Resources, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Horne International, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81589
https://www.sec.gov/litigation/admin/2017/34-81589.pdf
2017-09-12
Chile Mining Technologies Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81590
https://www.sec.gov/litigation/suspensions/2017/34-81590.pdf
https://www.sec.gov/litigation/suspensions/2017/34-81590-o.pdf
2017-09-12
Chile Mining Technologies Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
33-10413
https://www.sec.gov/rules/final/2017/33-10413.pdf
2017-09-13
Adoption of Updated EDGAR Filer Manual; Final rule
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81604
https://www.sec.gov/litigation/opinions/2017/34-81604.pdf
2017-09-13
6D Global Technologies, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81607
https://www.sec.gov/litigation/admin/2017/34-81607.pdf
2017-09-13
ANV Security Group, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81609
https://www.sec.gov/litigation/admin/2017/34-81609.pdf
2017-09-13
Cono Italiano, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Native American Energy Group, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Plures Technologies, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Secured Technology Innovations Corp.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81606
https://www.sec.gov/litigation/suspensions/2017/34-81606.pdf
https://www.sec.gov/litigation/suspensions/2017/34-81606-o.pdf
2017-09-14
ANV Security Group, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81608
https://www.sec.gov/litigation/suspensions/2017/34-81608.pdf
https://www.sec.gov/litigation/suspensions/2017/34-81608-o.pdf
2017-09-14
Cono Italiano, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Native American Energy Group, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Plures Technologies, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Secured Technology Innovations Corp.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81611
https://www.sec.gov/litigation/admin/2017/34-81611.pdf
2017-09-14
SunTrust Investment Services, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81617
https://www.sec.gov/litigation/suspensions/2017/34-81617.pdf
https://www.sec.gov/litigation/suspensions/2017/34-81617-o.pdf
2017-09-14
China Hefeng Rescue Equipment, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Greenworld Development, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Mountain National Bancshares, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
UCP Holdings, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81618
https://www.sec.gov/litigation/admin/2017/34-81618.pdf
2017-09-14
China Hefeng Rescue Equipment, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Greenworld Development, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Mountain National Bancshares, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
UCP Holdings, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81619
https://www.sec.gov/litigation/admin/2017/34-81619.pdf
2017-09-14
Tekulve, Thomas C. Jr., CPA
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81625
https://www.sec.gov/litigation/admin/2017/34-81625.pdf
2017-09-14
Neurologix, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Organic Alliance, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Zinco do Brasil, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81626
https://www.sec.gov/litigation/suspensions/2017/34-81626.pdf
https://www.sec.gov/litigation/suspensions/2017/34-81626-o.pdf
2017-09-14
Neurologix, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Organic Alliance, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Zinco do Brasil, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81628
https://www.sec.gov/rules/other/2017/34-81628.pdf
2017-09-14
The Options Clearing Corporation
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81629
https://www.sec.gov/rules/other/2017/34-81629.pdf
2017-09-14
The Options Clearing Corporation
Clayton
Approved
Stein
Approved
Piwowar
Approved
33-10414
https://www.sec.gov/litigation/admin/2017/33-10414.pdf
2017-09-15
Gomes, Mark A.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81637
https://www.sec.gov/litigation/admin/2017/34-81637.pdf
2017-09-15
Thoreson, George Russell
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81639
https://www.sec.gov/litigation/suspensions/2017/34-81639.pdf
https://www.sec.gov/litigation/suspensions/2017/34-81639-o.pdf
2017-09-15
Rocky Mountain Ayre, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81522
https://www.sec.gov/litigation/admin/2017/34-81522.pdf
2017-09-05
Accelerated Aquisition XVII, Inc. (a/k/a Accelerated Acquisition XVII, Inc.)
Clayton
Approved
Stein
Approved
Piwowar
Approved
Ambassadors International, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
L & L Energy, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Lihua International, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81523
https://www.sec.gov/litigation/admin/2017/34-81523.pdf
2017-09-05
Stark, Alan M. Esq.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81524
https://www.sec.gov/litigation/admin/2017/34-81524.pdf
2017-09-05
BioPharma Manufacturing Solutions Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
CLTC Ventures Corporation (n/k/a Dreamfly Productions Corporation)
Clayton
Approved
Stein
Approved
Piwowar
Approved
Crane Global Energy Company
Clayton
Approved
Stein
Approved
Piwowar
Approved
DCA Asset Management, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81525
https://www.sec.gov/litigation/admin/2017/34-81525.pdf
2017-09-05
Mackenzie Taylor Minerals, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Raptor Resources Holdings, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Shoshone Silver Gold Mining Co.
Clayton
Approved
Stein
Approved
Piwowar
Approved
VR Holdings, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81526
https://www.sec.gov/litigation/suspensions/2017/34-81526.pdf
https://www.sec.gov/litigation/suspensions/2017/34-81526-o.pdf
2017-09-05
Mackenzie Taylor Minerals, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Raptor Resources Holdings, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Shoshone Silver Gold Mining Co.
Clayton
Approved
Stein
Approved
Piwowar
Approved
VR Holdings, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81527
https://www.sec.gov/litigation/admin/2017/34-81527.pdf
2017-09-05
Bohai Pharmaceuticals Group Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81528
https://www.sec.gov/litigation/suspensions/2017/34-81528.pdf
https://www.sec.gov/litigation/suspensions/2017/34-81528-o.pdf
2017-09-05
Bohai Pharmaceuticals Group Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81529
https://www.sec.gov/litigation/admin/2017/34-81529.pdf
2017-09-05
China Precision Steel, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Golden River Resources Corp.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81530
https://www.sec.gov/litigation/suspensions/2017/34-81530.pdf
https://www.sec.gov/litigation/suspensions/2017/34-81530-o.pdf
2017-09-05
China Precision Steel, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Golden River Resources Corp.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81532
https://www.sec.gov/litigation/suspensions/2017/34-81532.pdf
https://www.sec.gov/litigation/suspensions/2017/34-81532-o.pdf
2017-09-05
GeoGlobal Resources, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
USA Synthetic Fuel Corp.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81533
https://www.sec.gov/litigation/admin/2017/34-81533.pdf
2017-09-05
GeoGlobal Resources, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
USA Synthetic Fuel Corp.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81534
https://www.sec.gov/litigation/admin/2017/34-81534.pdf
2017-09-06
Scudder, Steven C.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81535
https://www.sec.gov/litigation/admin/2017/34-81535.pdf
2017-09-06
American-Swiss Capital, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Aquilarts, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Avalon Holding Group, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Broadstreet Power, Inc. (f/k/a Summer Valley Acquisition Corp.)
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81536
https://www.sec.gov/litigation/admin/2017/34-81536.pdf
2017-09-06
Hall Tees, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Hosokawa Micron International, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
James River Coal Company
Clayton
Approved
Stein
Approved
Piwowar
Approved
Napa Sonoma Group, Inc. (f/k/a Andes 1, Inc.)
Clayton
Approved
Stein
Approved
Piwowar
Approved
Self Change Corporation
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81540
https://www.sec.gov/litigation/admin/2017/34-81540.pdf
2017-09-06
Tintic Gold Mining Company
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81541
https://www.sec.gov/litigation/suspensions/2017/34-81541.pdf
https://www.sec.gov/litigation/suspensions/2017/34-81541-o.pdf
2017-09-06
Tintic Gold Mining Company
Clayton
Approved
Stein
Approved
Piwowar
Approved
33-10410
https://www.sec.gov/litigation/admin/2017/33-10410.pdf
2017-09-07
State Street Bank and Trust Company
Clayton
Approved
Stein
Approved
Piwowar
Approved
33-10411
https://www.sec.gov/litigation/admin/2017/33-10411.pdf
2017-09-07
State Street Global Markets, LLC
Clayton
Approved
Stein
Approved
Piwowar
Approved
State Street Global Advisors Funds Distributors, LLC
Clayton
Approved
Stein
Approved
Piwowar
Approved
State Street Bank and Trust Company
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81542
https://www.sec.gov/litigation/admin/2017/34-81542.pdf
2017-09-07
Beamish, Adrian D. CPA
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81544
https://www.sec.gov/litigation/admin/2017/34-81544.pdf
2017-09-07
Grab, Waldemar
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81545
https://www.sec.gov/rules/sro/nscc-an/2017/34-81545.pdf
2017-09-07
National Securities Clearing Corporation; Notice of No Objection to an Advance Notice to Expand the Application of the Family-Issued Securities Charge
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81546
https://www.sec.gov/litigation/admin/2017/34-81546.pdf
2017-09-07
Rabinovitz, Brian K. CPA
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81551
https://www.sec.gov/litigation/admin/2017/34-81551.pdf
2017-09-07
Century Acquisition Corp.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Eastern Acquisition Corp.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81557
https://www.sec.gov/litigation/admin/2017/34-81557.pdf
2017-09-08
Lundy (aka Barkley J.W. Lundy), Mike
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81559
https://www.sec.gov/litigation/admin/2017/34-81559.pdf
2017-09-08
Holtzhauser, John CPA
Clayton
Approved
Stein
Not Approved
Piwowar
Approved
ia-4764
https://www.sec.gov/litigation/admin/2017/ia-4764.pdf
2017-09-08
Envoy Advisory, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-81521
https://www.sec.gov/litigation/admin/2017/34-81521.pdf
2017-09-01
Tirrell, William
Clayton
Approved
Stein
Approved
Piwowar
Approved