2018-07-18
May 2018
67
34-83262
https://www.sec.gov/litigation/admin/2018/34-83262.pdf
2018-05-16
America Greener Technologies, Inc., et al.
Solaris Power Cells, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Stragenics, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Ultimate Rack Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83263
https://www.sec.gov/litigation/suspensions/2018/34-83263.pdf
https://www.sec.gov/litigation/suspensions/2018/34-83263-o.pdf
Order
2018-05-16
America Greener Technologies, Inc., et al.
Solaris Power Cells, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Stragenics, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Ultimate Rack Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83264
https://www.sec.gov/litigation/admin/2018/34-83264.pdf
2018-05-16
America Greener Technologies, Inc., et al.
America Greener Technologies, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
MV Portfolios, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Trycera Financial, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83265
https://www.sec.gov/litigation/suspensions/2018/34-83265.pdf
https://www.sec.gov/litigation/suspensions/2018/34-83265-o.pdf
Order
2018-05-16
America Greener Technologies, Inc., et al.
America Greener Technologies, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
MV Portfolios, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Trycera Financial, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83281
https://www.sec.gov/litigation/admin/2018/34-83281.pdf
2018-05-17
America Greener Technologies, Inc., et al.
Play La Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Titan Trading Analytics Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83282
https://www.sec.gov/litigation/suspensions/2018/34-83282.pdf
https://www.sec.gov/litigation/suspensions/2018/34-83282-o.pdf
Order
2018-05-17
America Greener Technologies, Inc., et al.
Play La Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Titan Trading Analytics Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83285
https://www.sec.gov/litigation/admin/2018/34-83285.pdf
2018-05-17
America Greener Technologies, Inc., et al.
Apptigo International, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
JD International Limited
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
XLI Technologies Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Zentric, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83305
https://www.sec.gov/rules/sro/occ-an/2018/34-83305.pdf
2018-05-23
Advance Notice filed with the Commission pursuant to the Payment, Clearing, and Settlement Supervision Act of 2010 by The Options Clearing Corporation concerning proposed changes to OCC’s margin methodology (SR-OCC-2017-811)
The Options Clearing Corporation; Notice of No Objection to Advance Notice Filing Concerning The Options Clearing Corporation’s Margin Methodology
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
33-10500
https://www.sec.gov/litigation/admin/2018/33-10500.pdf
2018-05-24
E-Waste Systems, Inc.
Kaplan, Arthur
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83316
https://www.sec.gov/litigation/admin/2018/34-83316.pdf
2018-05-24
New Global Energy, Inc.
Knight, John C.
Clayton
Not Participating
Stein
Approved
Piwowar
Approved
IA-4915
https://www.sec.gov/litigation/admin/2018/ia-4915.pdf
2018-05-24
D.B. Zwirn & Co., L.P.
Gruss, Perry A.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
33-10501
https://www.sec.gov/litigation/admin/2018/33-10501.pdf
2018-05-29
Cannabusiness Group, Inc.
Kon, Alexander
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Not Approved
34-83338
https://www.sec.gov/litigation/opinions/2018/34-83338.pdf
2018-05-29
Thaddeus J. North
North, Thaddeus J.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83348
https://www.sec.gov/litigation/admin/2018/34-83348.pdf
2018-05-30
C. James, Inc.
Pantelakis, Emanuel
Piwowar
Approved
Stein
Approved
34-83354
https://www.sec.gov/litigation/admin/2018/34-83354.pdf
2018-05-31
Revolutionary Concepts, Inc.
DeLong,Earnest H. Jr., Esq. (Woody)
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83358
https://www.sec.gov/litigation/admin/2018/34-83358.pdf
2018-05-31
C. James, Inc.
Doumanis,George
Piwowar
Approved
Stein
Approved
34-83291
https://www.sec.gov/litigation/admin/2018/34-83291.pdf
2018-05-21
Esposito, Lisa A.
White
Approved
Stein
Approved
Piwowar
Approved
34-83297
https://www.sec.gov/litigation/admin/2018/34-83297.pdf
2018-05-21
COPsync, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Falconridge Oil Technologies Corp.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
FLASR, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Fonon Corp.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83298
https://www.sec.gov/litigation/suspensions/2018/34-83298.pdf
https://www.sec.gov/litigation/suspensions/2018/34-83298-o.pdf
2018-05-21
COPsync, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Falconridge Oil Technologies Corp.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
FLASR, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Fonon Corp.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83299
https://www.sec.gov/litigation/admin/2018/34-83299.pdf
2018-05-21
Green Parts International, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Integrated Environmental Technologies, Ltd.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
M2 nGage Group, Inc. (n/k/a Troika Media Group, Inc.), (a/k/a Roomlinx, Inc.)
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Urban Barns Foods, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83300
https://www.sec.gov/litigation/suspensions/2018/34-83300.pdf
https://www.sec.gov/litigation/suspensions/2018/34-83300-o.pdf
2018-05-21
Green Parts International, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Integrated Environmental Technologies, Ltd.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
M2 nGage Group, Inc. (n/k/a Troika Media Group, Inc.), (a/k/a Roomlinx, Inc.)
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Urban Barns Foods, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83301
https://www.sec.gov/litigation/admin/2018/34-83301.pdf
2018-05-21
Baltia Air Lines, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Graphite Corp.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Green Energy Management Services Holdings, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
24Holdings, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
ia-4913
https://www.sec.gov/litigation/admin/2018/ia-4913.pdf
2018-05-22
Klein,Tibor
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
33-10498
https://www.sec.gov/rules/proposed/2018/33-10498.pdf
2018-05-23
Covered Investment Fund Research Reports; Proposed rules
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83304
https://www.sec.gov/litigation/admin/2018/34-83304.pdf
2018-05-23
Tracy, Adam S. Esq.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83312
https://www.sec.gov/litigation/admin/2018/34-83312.pdf
2018-05-23
Solo International, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Urban Hydroponics, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Your Event, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83313
https://www.sec.gov/litigation/suspensions/2018/34-83313.pdf
https://www.sec.gov/litigation/suspensions/2018/34-83313-o.pdf
2018-05-23
Solo International, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Urban Hydroponics, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Your Event, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83314
https://www.sec.gov/litigation/admin/2018/34-83314.pdf
2018-05-23
Mullan Agritech, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
ReliaBrand, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
UBL Interactive, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83315
https://www.sec.gov/litigation/suspensions/2018/34-83315.pdf
https://www.sec.gov/litigation/suspensions/2018/34-83315-o.pdf
2018-05-23
Mullan Agritech, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
ReliaBrand, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
UBL Interactive, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83325
https://www.sec.gov/rules/final/2018/34-83325.pdf
2018-05-24
Technical Amendments to Rules of Practice and Rules of Organization; Conduct and Ethics; and Information and Requests; Final rule; technical amendments
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83327
https://www.sec.gov/litigation/admin/2018/34-83327.pdf
2018-05-24
Mass Hysteria Entertainment Company, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Stark Naked Bobbers
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
TOA Holdings, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83328
https://www.sec.gov/litigation/suspensions/2018/34-83328.pdf
https://www.sec.gov/litigation/suspensions/2018/34-83328-o.pdf
2018-05-24
Mass Hysteria Entertainment Company, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Stark Naked Bobbers
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
TOA Holdings, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83329
https://www.sec.gov/litigation/admin/2018/34-83329.pdf
2018-05-24
Radiant Oil & Gas, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Tungsten Corp.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Well Power, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83330
https://www.sec.gov/litigation/suspensions/2018/34-83330.pdf
https://www.sec.gov/litigation/suspensions/2018/34-83330-o.pdf
2018-05-24
Radiant Oil & Gas, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Tungsten Corp.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Well Power, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
ia-4914
https://www.sec.gov/litigation/admin/2018/ia-4914.pdf
2018-05-24
Aberon Capital Management, LLC
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Krigsfeld, Joseph
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83178
https://www.sec.gov/litigation/admin/2018/34-83178.pdf
2018-05-07
Smith, Paul W.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-83179
https://www.sec.gov/litigation/admin/2018/34-83179.pdf
2018-05-07
Coronati, Anthony
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Bidtoask, LLC
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83180
https://www.sec.gov/litigation/admin/2018/34-83180.pdf
2018-05-07
Houlihan, Keith
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83184
https://www.sec.gov/litigation/admin/2018/34-83184.pdf
2018-05-07
Baltia Air Lines, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Graphite Corp.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Green Energy Management Services Holdings, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
24Holdings, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83185
https://www.sec.gov/litigation/suspensions/2018/34-83185.pdf
2018-05-07
Baltia Air Lines, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Graphite Corp.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Green Energy Management Services Holdings, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
24Holdings, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
33-10494
https://www.sec.gov/litigation/admin/2018/33-10494.pdf
2018-05-08
Visium Asset Management, LP
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved with Exception
Approved except as to the undertaking.
34-83189
https://www.sec.gov/litigation/admin/2018/34-83189.pdf
2018-05-08
Content Checked Holdings, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
e.Digital Corp.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Liberty Coal Energy Corp.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83190
https://www.sec.gov/litigation/suspensions/2018/34-83190.pdf
2018-05-08
Content Checked Holdings, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
e.Digital Corp.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Liberty Coal Energy Corp.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
ia-4910
https://www.sec.gov/litigation/admin/2018/ia-4910.pdf
2018-05-08
Ku, Steven
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83191
https://www.sec.gov/litigation/admin/2018/34-83191.pdf
2018-05-09
Barcelona Strategies, LLC
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Hinojosa, Mario
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved with Exception
Approved except as to the civil penalty.
34-83212
https://www.sec.gov/litigation/admin/2018/34-83212.pdf
2018-05-10
Lee, Jason J.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Law Offices of Jason J. Lee & Associates, A Law Corporation
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83223
https://www.sec.gov/rules/sro/ficc-an/2018/34-83223.pdf
2018-05-11
Fixed Income Clearing Corporation; Notice of Filing of Amendment No. 1 and Notice of No Objection to Advance Notice Filing, as Modified by Amendment No. 1, to Implement Changes to the Method of Calculating Netting Members’ Margin in the Government Securities Division Rulebook
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83140
https://www.sec.gov/litigation/admin/2018/34-83140.pdf
2018-05-01
Hamilton, Kevin F.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
33-10491
https://www.sec.gov/rules/proposed/2018/33-10491.pdf
2018-05-02
Auditor Independence with Respect to Certain Loans or Debtor-Creditor Relationships; Proposed rule
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83164
https://www.sec.gov/litigation/admin/2018/34-83164.pdf
2018-05-03
Yin, Gary
Clayton
Approved
Stein
Approved
Piwowar
Not Participating
Jackson
Approved
Peirce
Approved
33-10492
https://www.sec.gov/litigation/admin/2018/33-10492.pdf
2018-05-04
Harper,Shae Yatta Esq.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83168
https://www.sec.gov/litigation/admin/2018/34-83168.pdf
2018-05-04
Winter, Kloman, Moter & Repp, S.C.
Clayton
Approved
Stein
Approved with Exception
Approved except as to the settlement.
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Disrud, Curtis W. CPA
Clayton
Approved
Stein
Approved with Exception
Approved except as to the settlement.
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Sehmer, Paul R. CPA
Clayton
Approved
Stein
Approved with Exception
Approved except as to the settlement.
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83169
https://www.sec.gov/litigation/admin/2018/34-83169.pdf
2018-05-04
McAleer, Kevin W. CPA
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83170
https://www.sec.gov/litigation/admin/2018/34-83170.pdf
2018-05-04
Leboe, David T. CPA
Clayton
Approved
Stein
Not Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83176
https://www.sec.gov/litigation/admin/2018/34-83176.pdf
2018-05-04
Rubbo, Joseph A.
Clayton
Approved
Stein
Approved
Piwowar
Approved
34-83232
https://www.sec.gov/litigation/admin/2018/34-83232.pdf
2018-05-14
Grey Fox Holdings, Corp. (f/k/a Gray Fox Petroleum Corp.)
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Green Innovations Ltd.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Red Giant Entertainment, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83233
https://www.sec.gov/litigation/suspensions/2018/34-83233.pdf
https://www.sec.gov/litigation/suspensions/2018/34-83233-o.pdf
2018-05-14
Grey Fox Holdings, Corp. (f/k/a Gray Fox Petroleum Corp.)
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Green Innovations Ltd.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Red Giant Entertainment, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
33-10495
https://www.sec.gov/litigation/admin/2018/33-10495.pdf
2018-05-15
Karow, Mark A.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Legend Securities, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
33-10496
https://www.sec.gov/litigation/admin/2018/33-10496.pdf
2018-05-15
Scarpino, Timothy C.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83245
https://www.sec.gov/litigation/admin/2018/34-83245.pdf
2018-05-15
Hedgebrook
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
JayHawk Energy, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Rubicon Financial, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83246
https://www.sec.gov/litigation/suspensions/2018/34-83246.pdf
https://www.sec.gov/litigation/suspensions/2018/34-83246-o.pdf
2018-05-15
Hedgebrook
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
JayHawk Energy, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
Rubicon Financial, Inc.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83249
https://www.sec.gov/litigation/admin/2018/34-83249.pdf
2018-05-15
Sonora Resources Corp.
Clayton
Not Participating
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83250
https://www.sec.gov/litigation/suspensions/2018/34-83250.pdf
https://www.sec.gov/litigation/suspensions/2018/34-83250-o.pdf
2018-05-15
Sonora Resources Corp.
Clayton
Not Participating
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved
34-83251
https://www.sec.gov/litigation/admin/2018/34-83251.pdf
2018-05-16
Chardan Capital Markets, LLC
Clayton
Approved
Stein
Approved
Piwowar
Not Participating
Jackson
Approved
Peirce
Approved
34-83252
https://www.sec.gov/litigation/admin/2018/34-83252.pdf
2018-05-16
Basmagy, Jerard
Clayton
Approved
Stein
Approved
Piwowar
Not Participating
Jackson
Approved
Peirce
Not Approved
34-83253
https://www.sec.gov/litigation/admin/2018/34-83253.pdf
2018-05-16
Industrial and Commercial Bank of China Financial Services, LLC
Clayton
Approved
Stein
Approved
Piwowar
Not Participating
Jackson
Approved
Peirce
Approved
33-10497
https://www.sec.gov/litigation/admin/2018/33-10497.pdf
2018-05-17
Manhattan Transfer Registrar Company
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved with Exception
Approved except as to the civil money penalty.
Ahearn,John C.
Clayton
Approved
Stein
Approved
Piwowar
Approved
Jackson
Approved
Peirce
Approved