2021-05-13 November 2017 36 33-10440 https://www.sec.gov/litigation/opinions/2017/33-10440.pdf 2017-11-30 Pending Administrative Proceedings Clayton Approved Stein Approved Piwowar Approved ia-4805 https://www.sec.gov/litigation/admin/2017/ia-4805.pdf 2017-11-03 Moumen, Tamer F. Clayton Approved Stein Approved Piwowar Approved 34-82117 https://www.sec.gov/litigation/admin/2017/34-82117.pdf 2017-11-20 Fuselier, David N. Clayton Approved Stein Approved Piwowar Approved 34-82154 https://www.sec.gov/litigation/admin/2017/34-82154.pdf 2017-11-27 Frank, Jon L. Clayton Approved Stein Approved Piwowar Approved 34-82157 https://www.sec.gov/litigation/admin/2017/34-82157.pdf 2017-11-27 Edward D. Jones & Co., L.P. Clayton Approved Stein Approved Piwowar Approved 33-10441 https://www.sec.gov/litigation/admin/2017/33-10441.pdf 2017-11-30 Bereday,Thaddeus Clayton Approved Stein Approved Piwowar Approved 34-82185 https://www.sec.gov/litigation/admin/2017/34-82185.pdf 2017-11-30 Weatherford International plc f/k/a Weatherford International LTD White Approved Stein Approved Piwowar Approved Hudgins, James CPA White Approved Stein Approved Piwowar Approved Kitay, Darryl CPA White Approved Stein Approved Piwowar Approved Ernst & Young LLP White Approved Stein Approved Piwowar Approved Fronckiewicz, Craig R. CPA White Approved Stein Approved Piwowar Approved Adams, Sarah E. CPA White Approved Stein Approved Piwowar Approved 34-82188 https://www.sec.gov/litigation/admin/2017/34-82188.pdf 2017-11-30 Turrentine, Ivan J. A. Clayton Approved Stein Approved Piwowar Approved 34-82133 https://www.sec.gov/litigation/admin/2017/34-82133.pdf 2017-11-20 Banc of America Capital Management, LLC Stein Approved Piwowar Approved Clayton Approved BACAP Distributors, LLC Stein Approved Piwowar Approved Clayton Approved Banc of America Securities, LLC Stein Approved Piwowar Approved Clayton Approved 33-10438 https://www.sec.gov/litigation/admin/2017/33-10438.pdf 2017-11-22 Hartford Investment Financial Services, LLC (now known as Hartford Funds Distributors, LLC) Clayton Approved Stein Approved Piwowar Approved HL Investment Advisors, LLC Clayton Approved Stein Approved Piwowar Approved Hartford Securities Distribution Company, Inc. Clayton Approved Stein Approved Piwowar Approved 34-82144 https://www.sec.gov/rules/exorders/2017/34-82144.pdf 2017-11-22 Order Extending Conditional Temporary Exemption for Nationally Recognized Statistical Rating Organizations from Requirements of Rule 17g-5(a)(3) under the Securities Exchange Act of 1934 Clayton Approved Stein Approved Piwowar Approved ia-4812 https://www.sec.gov/litigation/admin/2017/ia-4812.pdf 2017-11-22 Gray Financial Group, Inc. Clayton Approved Stein Approved Piwowar Approved Gray, Laurence O. Clayton Approved Stein Approved Piwowar Approved Hubbard, Robert C. IV Clayton Approved Stein Approved Piwowar Approved 34-82054 https://www.sec.gov/litigation/admin/2017/34-82054.pdf 2017-11-13 Wells Fargo Advisors, LLC Clayton Not Participating Stein Approved Piwowar Approved 34-82055 https://www.sec.gov/rules/sro/occ-an/2017/34-82055.pdf 2017-11-13 The Options Clearing Corporation; Notice of Filing of Advance Notice Concerning the Use of the Society of Worldwide Interbank Financial Telecommunication Messaging Network in OCC’s Cash Settlement Process Clayton Approved Stein Approved Piwowar Approved 34-82056 https://www.sec.gov/rules/sro/occ-an/2017/34-82056.pdf 2017-11-13 The Options Clearing Corporation Concerning Clayton Approved Stein Approved Piwowar Approved 34-82067 https://www.sec.gov/rules/other/2017/34-82067.pdf 2017-11-13 In the Matter of the Petitions of: Virtu Financial Inc. and Virtu Americas, LLC and Susquehanna International Group, et al. (File No. SR-OCC-2015-02); Order Granting Motion to Substitute Parties and Motion for Extensions of Time Clayton Approved Stein Approved Piwowar Approved 33-10436 https://www.sec.gov/litigation/admin/2017/33-10436.pdf 2017-11-14 Retirement Surety LLC Clayton Approved Stein Approved Piwowar Approved Crescendo Financial LLC Clayton Approved Stein Approved Piwowar Approved Rose, Thomas Clayton Approved Stein Approved Piwowar Approved Leeman, David Clayton Approved Stein Approved Piwowar Approved Featherstone, David Clayton Approved Stein Approved Piwowar Approved 33-10437 https://www.sec.gov/litigation/admin/2017/33-10437.pdf 2017-11-14 Behrens, Paul CPA Clayton Approved Stein Approved Piwowar Approved 34-82070 https://www.sec.gov/litigation/admin/2017/34-82070.pdf 2017-11-14 Osunkwo, David I. Esq. Clayton Approved Stein Approved Piwowar Approved 34-82071 https://www.sec.gov/rules/sro/nms/2017/34-82071.pdf 2017-11-14 Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Twenty-Second Charges Amendment to the Second Restatement of the CTA Plan and the Thirteenth Charges Amendment to the Restated CQ Plan Clayton Approved Stein Approved Piwowar Approved 34-82072 https://www.sec.gov/rules/sro/nms/2017/34-82072.pdf 2017-11-14 Joint Industry Plan; Notice of Filing and Immediate Effectiveness of the Fortieth Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis Clayton Approved Stein Approved Piwowar Approved 34-82077 https://www.sec.gov/rules/sro/chx/2017/34-82077.pdf 2017-11-14 Chicago Stock Exchange, Inc.; Notice of Filing of Amendment No. 2 to Proposed Rule Change in Connection with the Proposed Transaction involving CHX Holdings, Inc. and North America Casin Holdings, Inc. Clayton Approved Stein Approved Piwowar Approved 34-82092 https://www.sec.gov/litigation/suspensions/2017/34-82092.pdf https://www.sec.gov/litigation/suspensions/2017/34-82092-o.pdf 2017-11-15 Alamo Energy Corp. Clayton Approved Stein Approved Piwowar Approved 34-82096 https://www.sec.gov/litigation/admin/2017/34-82096.pdf 2017-11-16 UBS Willow Management L.L.C. Clayton Not Participating Stein Approved Piwowar Approved UBS Fund Advisor L.L.C. Clayton Not Participating Stein Approved Piwowar Approved 34-82104 https://www.sec.gov/litigation/admin/2017/34-82104.pdf 2017-11-16 Integrated Freight Corporation Clayton Approved Stein Approved Piwowar Approved 34-82106 https://www.sec.gov/litigation/admin/2017/34-82106.pdf 2017-11-17 Drage,Nathan Whitney Clayton Approved Stein Approved Piwowar Approved 34-82110 https://www.sec.gov/litigation/admin/2017/34-82110.pdf 2017-11-17 Sabatino, Michael C. CPA Clayton Approved Stein Approved Piwowar Approved 34-82015 https://www.sec.gov/litigation/admin/2017/34-82015.pdf 2017-11-06 Ellison, Donald H. Clayton Approved Stein Approved Piwowar Approved 34-82030 https://www.sec.gov/litigation/admin/2017/34-82030.pdf 2017-11-08 Baccam a/k/a Khanh Sengpraseuth, Patric Ken Piwowar Approved Stein Approved 34-82033 https://www.sec.gov/litigation/admin/2017/34-82033.pdf 2017-11-08 Ferrone, Stephen D. Clayton Approved Stein Approved Piwowar Approved 34-82034 https://www.sec.gov/rules/sro/chx/2017/34-82034.pdf 2017-11-08 Chicago Stock Exchange, Inc. Clayton Approved Stein Approved Piwowar Approved 34-82039 https://www.sec.gov/litigation/admin/2017/34-82039.pdf 2017-11-08 Feng, Hui Esq. Clayton Approved Stein Approved Piwowar Approved The Law Offices of Feng & Associates P.C. Clayton Approved Stein Approved Piwowar Approved 34-82046 https://www.sec.gov/litigation/admin/2017/34-82046.pdf 2017-11-09 Millennium Partners, L.P. Clayton Approved Stein Approved Piwowar Approved Millennium Management, L.L.C. Clayton Approved Stein Approved Piwowar Approved Millennium International Management, L.L.C. Clayton Approved Stein Approved Piwowar Approved Englander, Israel Clayton Approved Stein Approved Piwowar Approved Feeney, Terence Clayton Approved Stein Approved Piwowar Approved Stone, Fred Clayton Approved Stein Approved Piwowar Approved Pillai, Kovan Clayton Approved Stein Approved Piwowar Approved Markovitz, Steven B. Clayton Approved Stein Approved Piwowar Approved 34-82000 https://www.sec.gov/litigation/admin/2017/34-82000.pdf 2017-11-02 Southwest Securities, Inc. Clayton Approved Stein Approved Piwowar Approved Leland, Daniel R. Clayton Approved Stein Approved Piwowar Approved Rigdon, Kerry M. Clayton Approved Stein Approved Piwowar Approved Marsh, Kevin J. Clayton Approved Stein Approved Piwowar Approved 34-82001 https://www.sec.gov/litigation/admin/2017/34-82001.pdf 2017-11-02 Goelzer Investment Management, Inc. Clayton Approved Stein Approved Piwowar Approved Goelzer, Gregory W. Clayton Approved Stein Approved Piwowar Approved 34-82010 https://www.sec.gov/litigation/admin/2017/34-82010.pdf 2017-11-03 Kolf, James P. Clayton Approved Stein Approved Piwowar Approved