2018-11-07 September 2018 234 34-84128 https://www.sec.gov/litigation/opinions/2018/34-84128.pdf 2018-09-14 Maggiacomo, Edward L. Jr. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84129 https://www.sec.gov/litigation/opinions/2018/34-84129.pdf 2018-09-14 Lebouef, Jay L. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84131 https://www.sec.gov/litigation/admin/2018/34-84131.pdf 2018-09-14 Wolf,Jennifer F. CPA Clayton Approved Stein Approved Michael S. Piwowar Approved Jackson Approved Peirce Not Approved 34-84132 https://www.sec.gov/litigation/opinions/2018/34-84132.pdf 2018-09-14 Rothman, Matthew Adam Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84133 https://www.sec.gov/litigation/opinions/2018/34-84133.pdf 2018-09-14 Bravata,John J. Clayton Approved Stein Approved Jackson Approved Peirce Approved Bravata, Antonio M. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84134 https://www.sec.gov/litigation/opinions/2018/34-84134.pdf 2018-09-14 Crisp, Matthew Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84135 https://www.sec.gov/litigation/opinions/2018/34-84135.pdf 2018-09-14 Peperno, Frank R. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84136 https://www.sec.gov/litigation/opinions/2018/34-84136.pdf 2018-09-14 Slowey, Charles C. Jr. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84137 https://www.sec.gov/litigation/opinions/2018/34-84137.pdf 2018-09-14 Zwerner, Brian Scott Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84138 https://www.sec.gov/litigation/opinions/2018/34-84138.pdf 2018-09-14 Luna, Jose Luis Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84139 https://www.sec.gov/litigation/opinions/2018/34-84139.pdf 2018-09-14 Raspa, Charles M. Clayton Approved Stein Approved Jackson Approved Peirce Approved ia-5012 https://www.sec.gov/litigation/opinions/2018/ia-5012.pdf 2018-09-14 Guggino, Frances M. a/k/a Frances Favata Clayton Approved Stein Approved Jackson Approved Peirce Approved ia-5018 https://www.sec.gov/litigation/opinions/2018/ia-5018.pdf 2018-09-14 Massoud, I. Joseph Clayton Approved Stein Approved Jackson Approved Peirce Approved ia-5019 https://www.sec.gov/litigation/opinions/2018/ia-5019.pdf 2018-09-14 Whitman, Douglas F. Clayton Approved Stein Approved Jackson Approved Peirce Approved ic-33226 https://www.sec.gov/litigation/admin/2018/ic-33226.pdf 2018-09-14 Cushing Asset Management, LP Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84228 https://www.sec.gov/litigation/admin/2018/34-84228.pdf 2018-09-20 Appian, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Bulk Storage Software, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved DMC Beverage Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved Galaxy Strategy & Communications, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 33-10559 https://www.sec.gov/litigation/admin/2018/33-10559.pdf 2018-09-21 CMB Export, LLC Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved Hogan, Patrick F. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved CMB Infrastructure Investment Group VI-C, LP Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved CMB Infrastructure Investment Group VII, LP Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved CMB Infrastructure Investment Group VIII, LP Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved CMB Infrastructure Investment Group IX, LP Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved CMB Infrastructure Investment Group X, LP Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved CMB Export Infrastructure Investment Group XI, LP Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved CMB Export Infrastructure Investment Group XII, LP Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved CMB Export Infrastructure Investment Group XIII, LP Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved CMB Export Infrastructure Investment Group XIV, LP Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved CMB Export Infrastructure Investment Group XV, LP Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved CMB Export Infrastructure Investment Group XVI, LP Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved CMB Export Infrastructure Investment Group XVII, LP Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved CMB Export Infrastructure Investment Group XVIII, LP Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved CMB Texas Infrastructure Investment Group XIX, LP Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved CMB Texas Infrastructure Investment Group 20, LP Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved CMB Texas Infrastructure Investment Group 21, LP Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved CMB Texas Infrastructure Investment Group 22, LP Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved CMB Export Infrastructure Investment Group 23, LP Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved CMB Texas Infrastructure Investment Group 24, LP Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved CMB Texas Infrastructure Investment Group 25, LP Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved CMB Florida Infrastructure Investment Group 26, LP Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved CMB Texas Infrastructure Investment Group 27, LP Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved CMB Export Infrastructure Investment Group 28, LP Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved CMB Export Infrastructure Investment Group 29, LP Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved CMB Tennessee Infrastructure Investment Group 30 LP Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved CMB Export Infrastructure Investment Group 31, LP Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved CMB North Dakota Infrastructure Investment Group 32 LP Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved CMB Pennsylvania Infrastructure Investment Group 33 LP Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved CMB Export Infrastructure Investment Group 34, LP Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved CMB Export Infrastructure Investment Group 35, LP Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved CMB Maryland Infrastructure Investment Group 37, LP Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved CMB Texas Infrastructure Investment Group 40, LP Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved CMB Colorado Infrastructure Investment Group 41, LP Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved CMB Indiana Infrastructure Investment Group 43, LP Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved CMB Texas Infrastructure Investment Group 45, LP Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved CMB Nebraska Infrastructure Investment Group 47, LP Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved CMB North Carolina Infrastructure Investment Group 50, LP Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84252 https://www.sec.gov/litigation/admin/2018/34-84252.pdf 2018-09-21 Hamilton, Dennis Wayne CPA Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84253 https://www.sec.gov/litigation/admin/2018/34-84253.pdf 2018-09-21 Scrap China Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved Spring Valley Management Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved WNC Housing Tax Credit Fund VI, LP, Series 11 Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84258 https://www.sec.gov/litigation/admin/2018/34-84258.pdf 2018-09-21 Cardiff Lexington Corporation (f/k/a Cardiff International, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84260 https://www.sec.gov/litigation/admin/2018/34-84260.pdf 2018-09-21 Cool Technologies, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84261 https://www.sec.gov/litigation/admin/2018/34-84261.pdf 2018-09-21 Dasan Zhone Solutions, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84262 https://www.sec.gov/litigation/admin/2018/34-84262.pdf 2018-09-21 First Hartford Corporation Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84263 https://www.sec.gov/litigation/admin/2018/34-84263.pdf 2018-09-21 Infrax Systems, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Not Approved Roisman Approved 34-84266 https://www.sec.gov/litigation/suspensions/2018/34-84266.pdf https://www.sec.gov/litigation/suspensions/2018/34-84266-o.pdf 2018-09-21 MaryJane Group, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Omega Commercial Finance Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved Redpoint Bio Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84267 https://www.sec.gov/litigation/admin/2018/34-84267.pdf 2018-09-21 MaryJane Group, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Omega Commercial Finance Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved Redpoint Bio Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84286 https://www.sec.gov/litigation/suspensions/2018/34-84286.pdf https://www.sec.gov/litigation/suspensions/2018/34-84286-o.pdf 2018-09-25 Sector 10, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84302 https://www.sec.gov/litigation/suspensions/2018/34-84302.pdf https://www.sec.gov/litigation/suspensions/2018/34-84302-o.pdf 2018-09-27 Oakridge Global Energy Solutions, Inc. Clayton Not Participating Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84268 https://www.sec.gov/litigation/admin/2018/34-84268.pdf 2018-09-24 Williams, Cory Ryan Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84269 https://www.sec.gov/litigation/admin/2018/34-84269.pdf 2018-09-24 TD Ameritrade, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Not Approved Roisman Not Approved 34-84271 https://www.sec.gov/litigation/admin/2018/34-84271.pdf 2018-09-24 Faher, Mary A. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84272 https://www.sec.gov/litigation/admin/2018/34-84272.pdf 2018-09-24 Dicken, Shawn K. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84273 https://www.sec.gov/litigation/admin/2018/34-84273.pdf 2018-09-24 United Development Funding III, LP Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved United Development Funding IV Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved United Development Funding Income Fund V Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84289 https://www.sec.gov/rules/proposed/2018/34-84289.pdf 2018-09-24 Amendments to Rules for Nationally Recognized Statistical Rating Organizations; Proposed rule Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 33-10560 https://www.sec.gov/litigation/admin/2018/33-10560.pdf 2018-09-25 SG Americas Securities, LLC, as successor entity to Newedge USA,LLC Clayton Not Participating Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84280 https://www.sec.gov/litigation/admin/2018/34-84280.pdf 2018-09-25 González, Patricio Contesse Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84281 https://www.sec.gov/litigation/admin/2018/34-84281.pdf 2018-09-25 Lichter, Yu and Associates, Inc. Clayton Approved Stein Approved Jackson Not Participating Peirce Approved Roisman Approved Lichter, Lawrence P. CPA Clayton Approved Stein Approved Jackson Not Participating Peirce Approved Roisman Approved Yu, Peter L. CPA Clayton Approved Stein Approved Jackson Not Participating Peirce Approved Roisman Approved ia-5044 https://www.sec.gov/litigation/admin/2018/ia-5044.pdf 2018-09-25 Roberts, Dawn Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved ia-5045 https://www.sec.gov/litigation/admin/2018/ia-5045.pdf 2018-09-25 Wortman, Todd Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved ia-5047 https://www.sec.gov/litigation/admin/2018/ia-5047.pdf 2018-09-25 Hudson Housing Capital, LLC Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84288 https://www.sec.gov/litigation/admin/2018/34-84288.pdf 2018-09-26 Voya Financial Advisors, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84291 https://www.sec.gov/litigation/admin/2018/34-84291.pdf 2018-09-26 Desai, Dhru Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84292 https://www.sec.gov/litigation/admin/2018/34-84292.pdf 2018-09-26 Young, Leroy K. "Lee" Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 33-10561 https://www.sec.gov/litigation/admin/2018/33-10561.pdf 2018-09-27 Petroleo Brasileiro S.A.-Petrobas Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 33-10564 https://www.sec.gov/litigation/admin/2018/33-10564.pdf 2018-09-27 Mota Group, Inc. Clayton Approved Stein Not Approved Jackson Approved with Exception Approved except as to the settlement. Peirce Approved Roisman Approved Faro, Moto "Michael" Clayton Approved Stein Not Approved Jackson Approved with Exception Approved except as to the settlement. Peirce Approved Roisman Approved 34-84300 https://www.sec.gov/litigation/admin/2018/34-84300.pdf 2018-09-27 Elmas, Ismail Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84301 https://www.sec.gov/litigation/admin/2018/34-84301.pdf 2018-09-27 Oakridge Global Energy Solutions, Inc. Clayton Not Participating Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84304 https://www.sec.gov/litigation/admin/2018/34-84304.pdf 2018-09-27 Hayden,Thomas Earl II Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved Hayden,Thomas Earl Sr. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved McDaniel, John Ryan Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84305 https://www.sec.gov/litigation/admin/2018/34-84305.pdf 2018-09-27 Ross, Gary Bernard Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved ia-5050 https://www.sec.gov/litigation/admin/2018/ia-5050.pdf 2018-09-27 Putnam Investment Management, LLC Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty. Roisman Approved with Exception Approved except as to the penalty. Harrison, Zachary Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 33-10562 https://www.sec.gov/litigation/admin/2018/33-10562.pdf 2018-09-28 Walgreens Boots Alliance, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty. Roisman Approved with Exception Approved except as to the penalty. Wasson, Gregory D. Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty. Roisman Approved with Exception Approved except as to the penalty. Miquelon, Wade D. Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty. Roisman Approved with Exception Approved except as to the penalty. 33-10563 https://www.sec.gov/rules/other/2018/33-10563.pdf 2018-09-28 Walgreens Boots Alliance, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty. Roisman Approved with Exception Approved except as to the penalty. 33-10565 https://www.sec.gov/litigation/admin/2018/33-10565.pdf 2018-09-28 Credit Suisse Securities (USA) LLC Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84306 https://www.sec.gov/litigation/admin/2018/34-84306.pdf 2018-09-28 Katsaros, Paul Clayton Approved Stein Approved Jackson Approved Peirce Not Approved Roisman Approved 34-84308 https://www.sec.gov/litigation/admin/2018/34-84308.pdf 2018-09-28 Stryker Corporation Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty. Roisman Approved 34-84309 https://www.sec.gov/litigation/admin/2018/34-84309.pdf 2018-09-28 COR Clearing, LLC Clayton Approved Stein Approved Jackson Approved Peirce Not Approved Roisman Approved 34-84310 https://www.sec.gov/litigation/admin/2018/34-84310.pdf 2018-09-28 Montague, John Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84315 https://www.sec.gov/litigation/admin/2018/34-84315.pdf 2018-09-28 Patel, Unal Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved Patel, Amish Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84316 https://www.sec.gov/litigation/admin/2018/34-84316.pdf 2018-09-28 Wolle, John Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84322 https://www.sec.gov/litigation/opinions/2018/34-84322.pdf 2018-09-28 North,Thaddeus J. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved ia-5053 https://www.sec.gov/litigation/admin/2018/ia-5053.pdf 2018-09-28 DeShetler, Lawrence Allen Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved ia-5054 https://www.sec.gov/litigation/admin/2018/ia-5054.pdf 2018-09-28 LendingClub Asset Management, LLC f/k/a LendingClub Advisors, LLC Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved Laplanche, Renaud Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved Dolan, Carrie Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 33-10547 https://www.sec.gov/litigation/opinions/2018/33-10547.pdf 2018-09-17 Orders Vacating Collateral Bars Smith, David R. Clayton Approved Stein Approved Jackson Approved Peirce Approved 33-10548 https://www.sec.gov/litigation/opinions/2018/33-10548.pdf 2018-09-17 Orders Vacating Collateral Bars Deru,Terry M. Clayton Approved Stein Approved Jackson Approved Peirce Approved 33-10549 https://www.sec.gov/litigation/opinions/2018/33-10549.pdf 2018-09-17 Orders Vacating Collateral Bars Chau, Wing F. Clayton Approved Stein Approved Jackson Approved Peirce Approved 33-10550 https://www.sec.gov/litigation/admin/2018/33-10550.pdf 2018-09-17 Abtech Holdings, Inc. Abtech Holdings, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Not Approved Roisman Approved with Exception Approved except as to the penalty. 33-10551 https://www.sec.gov/litigation/admin/2018/33-10551.pdf 2018-09-17 Abtech Holdings, Inc. Rink, Glenn R. Clayton Approved Stein Approved Jackson Approved Peirce Not Approved Roisman Approved 33-10552 https://www.sec.gov/litigation/admin/2018/33-10552.pdf 2018-09-17 Abtech Holdings, Inc. Castleton, Lane J. Clayton Approved Stein Approved Jackson Approved Peirce Not Approved Roisman Approved 34-84144 https://www.sec.gov/litigation/opinions/2018/34-84144.pdf 2018-09-17 Orders Vacating Collateral Bars Pack, Nova Dean Esq. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84145 https://www.sec.gov/litigation/opinions/2018/34-84145.pdf 2018-09-17 Orders Vacating Collateral Bars Murphy, Phillip Dennis Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84146 https://www.sec.gov/litigation/opinions/2018/34-84146.pdf 2018-09-17 Orders Vacating Collateral Bars Mannion, Paul T. Jr. Clayton Approved Stein Approved Jackson Approved Peirce Approved Reckles, Andrew S. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84148 https://www.sec.gov/litigation/opinions/2018/34-84148.pdf 2018-09-17 Orders Vacating Collateral Bars Gengler, David Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84149 https://www.sec.gov/litigation/opinions/2018/34-84149.pdf 2018-09-17 Orders Vacating Collateral Bars Cotellessa-Pitz, Enrica Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84150 https://www.sec.gov/litigation/opinions/2018/34-84150.pdf 2018-09-17 Orders Vacating Collateral Bars Sarafraz, Behrooz Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84151 https://www.sec.gov/litigation/opinions/2018/34-84151.pdf 2018-09-17 Orders Vacating Collateral Bars Neves, Fabrizio Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84152 https://www.sec.gov/litigation/opinions/2018/34-84152.pdf 2018-09-17 Orders Vacating Collateral Bars Farah,Scott D. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84153 https://www.sec.gov/litigation/opinions/2018/34-84153.pdf 2018-09-17 Orders Vacating Collateral Bars Hall, Charles Mark Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84154 https://www.sec.gov/litigation/opinions/2018/34-84154.pdf 2018-09-17 Orders Vacating Collateral Bars Vaughn, Charles M. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84155 https://www.sec.gov/litigation/opinions/2018/34-84155.pdf 2018-09-17 Orders Vacating Collateral Bars Strauss, Stephen M. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84156 https://www.sec.gov/litigation/opinions/2018/34-84156.pdf 2018-09-17 Orders Vacating Collateral Bars Daniels, Benjamin R. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84157 https://www.sec.gov/litigation/opinions/2018/34-84157.pdf 2018-09-17 Orders Vacating Collateral Bars Holdman, James R. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84159 https://www.sec.gov/litigation/opinions/2018/34-84159.pdf 2018-09-17 Orders Vacating Collateral Bars Berg, Mark Steven Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84163 https://www.sec.gov/litigation/admin/2018/34-84163.pdf 2018-09-17 John L. Gathright, Jr. Gathright, John L. Jr. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84164 https://www.sec.gov/litigation/admin/2018/34-84164.pdf 2018-09-17 Heidi Wivolin Wivolin, Heidi Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84169 https://www.sec.gov/litigation/admin/2018/34-84169.pdf 2018-09-17 AFS Holdings, Inc., et al. First Liberty Power Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved MEC, Inc. (a/k/a MyECheck, Inc.) Clayton Approved Stein Approved Jackson Approved Peirce Approved T3M Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84170 https://www.sec.gov/litigation/suspensions/2018/34-84170.pdf https://www.sec.gov/litigation/suspensions/2018/34-84170-o.pdf Order 2018-09-17 AFS Holdings, Inc., et al. First Liberty Power Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved MEC, Inc. a/k/a MyECheck, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved T3M Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84171 https://www.sec.gov/litigation/admin/2018/34-84171.pdf 2018-09-17 AFS Holdings, Inc., et al. ColorStars Group Clayton Approved Stein Approved Jackson Approved Peirce Approved Green Earth Technologies, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Intellect Neurosciences, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Jishanye, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84172 https://www.sec.gov/litigation/suspensions/2018/34-84172.pdf https://www.sec.gov/litigation/suspensions/2018/34-84172-o.pdf Order 2018-09-17 AFS Holdings, Inc., et al. ColorStars Group Clayton Approved Stein Approved Jackson Approved Peirce Approved Green Earth Technologies, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Intellect Neurosciences, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Jishanye, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84173 https://www.sec.gov/litigation/admin/2018/34-84173.pdf 2018-09-17 AFS Holdings, Inc., et al. AMI James Brands, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Biofuels Power Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved Energy Quest, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Synergetics, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84174 https://www.sec.gov/litigation/suspensions/2018/34-84174.pdf https://www.sec.gov/litigation/suspensions/2018/34-84174-o.pdf Order 2018-09-17 AFS Holdings, Inc., et al. AMI James Brands, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Biofuels Power Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved Energy Quest, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Synergetics, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84176 https://www.sec.gov/litigation/suspensions/2018/34-84176.pdf https://www.sec.gov/litigation/suspensions/2018/34-84176-o.pdf Order 2018-09-17 AFH Acquisition VI, Inc., et al. Ampal-American Israel Corporation Clayton Approved Stein Approved Jackson Approved Peirce Approved Robertson Global Health Solutions Corporation Clayton Approved Stein Approved Jackson Approved Peirce Approved Sanguine Corporation Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84178 https://www.sec.gov/litigation/admin/2018/34-84178.pdf 2018-09-17 AFH Acquisition VI, Inc., et al. Ampal-American Israel Corporation Clayton Approved Stein Approved Jackson Approved Peirce Approved Robertson Global Health Solutions Corporation Clayton Approved Stein Approved Jackson Approved Peirce Approved Sanguine Corporation Clayton Approved Stein Approved Jackson Approved Peirce Approved IA-5020 https://www.sec.gov/litigation/opinions/2018/ia-5020.pdf 2018-09-17 Orders Vacating Collateral Bars Naeh, Daniel Moshe Clayton Approved Stein Approved Jackson Approved Peirce Approved IA-5021 https://www.sec.gov/litigation/opinions/2018/ia-5021.pdf 2018-09-17 Orders Vacating Collateral Bars Motey, Karl Clayton Approved Stein Approved Jackson Approved Peirce Approved IA-5025 https://www.sec.gov/litigation/opinions/2018/ia-5025.pdf 2018-09-17 Orders Vacating Collateral Bars Clarke, Walter J. Clayton Approved Stein Approved Jackson Approved Peirce Approved IA-5026 https://www.sec.gov/litigation/opinions/2018/ia-5026.pdf 2018-09-17 Orders Vacating Collateral Bars Putman, James E. Clayton Approved Stein Approved Jackson Approved Peirce Approved IA-5027 https://www.sec.gov/litigation/opinions/2018/ia-5027.pdf 2018-09-17 Orders Vacating Collateral Bars Teeple, Matthew G. Clayton Approved Stein Approved Jackson Approved Peirce Approved IA-5029 https://www.sec.gov/litigation/opinions/2018/ia-5029.pdf 2018-09-17 Orders Vacating Collateral Bars Scolaro, Anthony Clayton Approved Stein Approved Jackson Approved Peirce Approved IA-5030 https://www.sec.gov/litigation/opinions/2018/ia-5030.pdf 2018-09-17 Orders Vacating Collateral Bars Zarefsky, Evan Andrew Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84184 https://www.sec.gov/litigation/admin/2018/34-84184.pdf 2018-09-18 AFH Acquisition VI, Inc., et al. Swissinso Holding, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved SYDYS Corporation Clayton Approved Stein Approved Jackson Approved Peirce Approved UnifiedOnline, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84185 https://www.sec.gov/litigation/suspensions/2018/34-84185.pdf https://www.sec.gov/litigation/suspensions/2018/34-84185-o.pdf Order 2018-09-18 AFH Acquisition VI, Inc., et al. Swissinso Holding, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved SYDYS Corporation Clayton Approved Stein Approved Jackson Approved Peirce Approved UnifiedOnline, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84186 https://www.sec.gov/litigation/admin/2018/34-84186.pdf 2018-09-18 AFS Holdings, Inc., et al. Epic Stores Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved Global Marine Minerals, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Khang Gia Holding, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Southern Labs, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84187 https://www.sec.gov/litigation/suspensions/2018/34-84187.pdf https://www.sec.gov/litigation/suspensions/2018/34-84187-o.pdf Order 2018-09-18 AFS Holdings, Inc., et al. Epic Stores Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84188 https://www.sec.gov/litigation/admin/2018/34-84188.pdf 2018-09-18 AFS Holdings, Inc., et al. Avant Diagnostics, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved ChitrChatr Communications, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved ROI Land Investments, Ltd. Clayton Approved Stein Approved Jackson Approved Peirce Approved WORDLOGIC Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84189 https://www.sec.gov/litigation/suspensions/2018/34-84189.pdf https://www.sec.gov/litigation/suspensions/2018/34-84189-o.pdf Order 2018-09-18 AFS Holdings, Inc., et al. Avant Diagnostics, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved ROI Land Investments, Ltd. Clayton Approved Stein Approved Jackson Approved Peirce Approved WORDLOGIC Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84190 https://www.sec.gov/litigation/admin/2018/34-84190.pdf 2018-09-18 AFS Holdings, Inc., et al. China Ginseng Holdings, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Hongli Clean Energy Technologies Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved Tianyin Pharmaceuticals Co., Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84191 https://www.sec.gov/litigation/suspensions/2018/34-84191.pdf https://www.sec.gov/litigation/suspensions/2018/34-84191-o.pdf Order 2018-09-18 AFS Holdings, Inc., et al. China Ginseng Holdings, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Tianyin Pharmaceuticals Co., Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84192 https://www.sec.gov/litigation/suspensions/2018/34-84192.pdf https://www.sec.gov/litigation/suspensions/2018/34-84192-o.pdf Order 2018-09-18 AFH Acquisition VI, Inc., et al. Entourage Mining Ltd. Clayton Approved Stein Approved Jackson Approved Peirce Approved I.I.S. Intelligent Information Systems, Ltd. Clayton Approved Stein Approved Jackson Approved Peirce Approved NewLead Holdings Ltd. Clayton Approved Stein Approved Jackson Approved Peirce Approved Quantitative Alpha Trading, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Starfield Resources, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84193 https://www.sec.gov/litigation/admin/2018/34-84193.pdf 2018-09-18 AFH Acquisition VI, Inc., et al. Entourage Mining Ltd. Clayton Approved Stein Approved Jackson Approved Peirce Approved I.I.S. Intelligent Information Systems, Ltd. Clayton Approved Stein Approved Jackson Approved Peirce Approved NewLead Holdings Ltd. Clayton Approved Stein Approved Jackson Approved Peirce Approved Quantitative Alpha Trading, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Starfield Resources, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84194 https://www.sec.gov/rules/sro/nms/2018/34-84194.pdf 2018-09-18 Publication of Notice of Filing of the Twenty-Fourth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan, and the Fifteenth Charges Amendment to the Restated Consolidated Quotation Plan (SR-CTA/CQ-2018-03) Notice of Filing and Immediate Effectiveness of the Twenty-Fourth Charges Amendment to the Second Restatement of the CTA Plan and the Fifteenth Charges Amendment to the Restated CQ Plan Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved IA-5035 https://www.sec.gov/litigation/admin/2018/ia-5035.pdf 2018-09-18 Creative Planning, Inc. Creative Planning, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Not Approved Roisman Approved Mallouk, Peter A. Clayton Approved Stein Approved Jackson Approved Peirce Not Approved Roisman Approved 33-10553 https://www.sec.gov/litigation/admin/2018/33-10553.pdf 2018-09-19 Young Capital Management LaPenna, Michael L. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 33-10554 https://www.sec.gov/litigation/admin/2018/33-10554.pdf 2018-09-19 Young Capital Management Grogan, Phillip R. Esq. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 33-10555 https://www.sec.gov/litigation/admin/2018/33-10555.pdf 2018-09-19 Sientra, Inc. Sientra, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Not Approved Roisman Approved 33-10556 https://www.sec.gov/rules/interim/2018/33-10556.pdf 2018-09-19 Emergency Regulatory Relief for Investors, Companies, and Securities Firms Affected by Hurricane Florence Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Florence; Interim final temporary rule Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84198 https://www.sec.gov/litigation/admin/2018/34-84198.pdf 2018-09-19 Hope Advisors, LLC Bruton, Karen CPA Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84201 https://www.sec.gov/litigation/admin/2018/34-84201.pdf 2018-09-19 Allan Michael Roth Roth, Allan Michael Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84205 https://www.sec.gov/litigation/admin/2018/34-84205.pdf 2018-09-19 iPayment, Inc. Shakouri, Nasir Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84206 https://www.sec.gov/litigation/admin/2018/34-84206.pdf 2018-09-19 iPayment, Inc. Torino, Robert Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84207 https://www.sec.gov/litigation/admin/2018/34-84207.pdf 2018-09-19 iPayment, Inc. Quon, Bronson L. CPA Clayton Approved Stein Approved Michael S. Piwowar Approved 34-84210 https://www.sec.gov/rules/other/2018/34-84210.pdf 2018-09-19 Emergency Regulatory Relief for Investors, Companies, and Securities Firms Affected by Hurricane Florence 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 Thereunder Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84211 https://www.sec.gov/litigation/admin/2018/34-84211.pdf 2018-09-19 Anpulo Food Development, Inc., et al. GSM Group, Inc. (f/k/a Northam Acquisition Corp.) Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84212 https://www.sec.gov/litigation/admin/2018/34-84212.pdf 2018-09-19 AFH Acquisition VI, Inc., et al. Bahamas Concierge, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved eMONEco, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Titanium Healthcare, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84213 https://www.sec.gov/litigation/suspensions/2018/34-84213.pdf https://www.sec.gov/litigation/suspensions/2018/34-84213-o.pdf Order 2018-09-19 AFH Acquisition VI, Inc., et al. Bahamas Concierge, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved eMONEco, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Titanium Healthcare, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84216 https://www.sec.gov/litigation/admin/2018/34-84216.pdf 2018-09-19 AFH Acquisition VI, Inc., et al. American Sands Energy Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved Next Fuel, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Tumbleweed Holdings, Inc. (a/k/a Digital Creative Development Corporation) Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84217 https://www.sec.gov/litigation/suspensions/2018/34-84217.pdf https://www.sec.gov/litigation/suspensions/2018/34-84217-o.pdf Order 2018-09-19 AFH Acquisition VI, Inc., et al. American Sands Energy Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved Next Fuel, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Tumbleweed Holdings, Inc. (a/k/a Digital Creative Development Corporation) Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84218 https://www.sec.gov/litigation/admin/2018/34-84218.pdf 2018-09-19 AFH Acquisition VI, Inc., et al. American Petro-Hunter, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Prospect Global Resources Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84219 https://www.sec.gov/litigation/suspensions/2018/34-84219.pdf https://www.sec.gov/litigation/suspensions/2018/34-84219-o.pdf Order 2018-09-19 AFH Acquisition VI, Inc., et al. American Petro-Hunter, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Prospect Global Resources Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84220 https://www.sec.gov/litigation/admin/2018/34-84220.pdf 2018-09-19 AFH Acquisition VI, Inc., et al. Colorado Goldfields, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved LYFE Communications, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Revolutions Medical Corporation Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84221 https://www.sec.gov/litigation/suspensions/2018/34-84221.pdf https://www.sec.gov/litigation/suspensions/2018/34-84221-o.pdf Order 2018-09-19 AFH Acquisition VI, Inc., et al. Colorado Goldfields, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved LYFE Communications, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Revolutions Medical Corporation Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84222 https://www.sec.gov/litigation/suspensions/2018/34-84222.pdf https://www.sec.gov/litigation/suspensions/2018/34-84222-o.pdf Order 2018-09-19 AFH Acquisition VI, Inc., et al. Coupon Express, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Eastern Resources, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved First Corporation Clayton Approved Stein Approved Jackson Approved Peirce Approved TLC Vision Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84223 https://www.sec.gov/litigation/admin/2018/34-84223.pdf 2018-09-19 AFH Acquisition VI, Inc., et al. Coupon Express, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Eastern Resources, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved First Corporation Clayton Approved Stein Approved Jackson Approved Peirce Approved TLC Vision Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved IA-5038 https://www.sec.gov/litigation/admin/2018/ia-5038.pdf 2018-09-19 Hope Advisors, LLC Bruton, Karen Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved Hope Advisors, LLC Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 33-10557 https://www.sec.gov/litigation/admin/2018/33-10557.pdf 2018-09-20 Barrett Business Services, Inc. Cannon, Mark CPA Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved Barrett Business Services, Inc. Clayton Approved Stein Approved Jackson Not Approved Peirce Approved with Exception Approved except as to the penalty. Roisman Approved 34-84224 https://www.sec.gov/litigation/admin/2018/34-84224.pdf 2018-09-20 Eric Hall & Associates Eric Hall & Associates, LLC Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved Hall, Eric Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84225 https://www.sec.gov/rules/proposed/2018/34-84225.pdf 2018-09-20 Proposed Amendment to Rule 17a-5 to clarify that an exemption to the requirement to engage an independent public accountant is available only if the broker-dealer limits its business to acting as agent for a single issuer Amendment to Single Issuer Exemption for Broker-Dealers; Proposed rule Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84226 https://www.sec.gov/litigation/admin/2018/34-84226.pdf 2018-09-20 Raymond James & Associates, Inc. Burstein, Joel N. Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the penny stock bar. 34-84232 https://www.sec.gov/litigation/admin/2018/34-84232.pdf 2018-09-20 Bank of America Fair Fund Banc of America Capital Management, LLC Clayton Approved Stein Approved Jackson Approved Peirce Approved BACAP Distributors, LLC Clayton Approved Stein Approved Jackson Approved Peirce Approved Banc of America Securities, LLC Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84240 https://www.sec.gov/litigation/admin/2018/34-84240.pdf 2018-09-20 Anpulo Food Development, Inc., et al. Petrosonic Energy, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved PSM Holdings, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Rackwise, Inc. Clayton Approved Stein222 Approved Jackson Approved Peirce Approved 34-84241 https://www.sec.gov/litigation/suspensions/2018/34-84241.pdf https://www.sec.gov/litigation/suspensions/2018/34-84241-o.pdf Order 2018-09-20 Anpulo Food Development, Inc., et al. Petrosonic Energy, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved PSM Holdings, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Rackwise, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84242 https://www.sec.gov/litigation/admin/2018/34-84242.pdf 2018-09-20 Anpulo Food Development, Inc., et al. GeneSYS ID, Inc. (f/k/a RX Safes, Inc.) Clayton Approved Stein Approved Jackson Approved Peirce Approved Genie Gateway Clayton Approved Stein Approved Jackson Approved Peirce Approved The Mint Leasing, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved MJ Pharmaceuticals, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84243 https://www.sec.gov/litigation/admin/2018/34-84243.pdf 2018-09-20 Anpulo Food Development, Inc., et al. Ceelox, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Talon Real Estate Holding Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved Virtual Sourcing, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Windstream Technologies, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84244 https://www.sec.gov/litigation/suspensions/2018/34-84244.pdf https://www.sec.gov/litigation/suspensions/2018/34-84244-o.pdf Order 2018-09-20 Anpulo Food Development, Inc., et al. Ceelox, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Talon Real Estate Holding Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved Virtual Sourcing, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Windstream Technologies, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84245 https://www.sec.gov/litigation/admin/2018/34-84245.pdf 2018-09-20 Anpulo Food Development, Inc., et al. Anpulo Food Development, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved CSA Holdings, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Delta Oil & Gas, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved RJS Development, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Uni Core Holdings Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84246 https://www.sec.gov/litigation/suspensions/2018/34-84246.pdf https://www.sec.gov/litigation/suspensions/2018/34-84246-o.pdf Order 2018-09-20 Anpulo Food Development, Inc., et al. Anpulo Food Development, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved CSA Holdings, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Delta Oil & Gas, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved RJS Development, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84247 https://www.sec.gov/litigation/suspensions/2018/34-84247.pdf https://www.sec.gov/litigation/suspensions/2018/34-84247-o.pdf Order 2018-09-20 Anpulo Food Development, Inc., et al. GeneSYS ID, Inc. (f/k/a RX Safes, Inc.) Clayton Approved Stein Approved Jackson Approved Peirce Approved Genie Gateway Clayton Approved Stein Approved Jackson Approved Peirce Approved The Mint Leasing, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84248 https://www.sec.gov/litigation/suspensions/2018/34-84248.pdf https://www.sec.gov/litigation/suspensions/2018/34-84248-o.pdf Order 2018-09-20 Anpulo Food Development, Inc., et al. Cybergy Holdings, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Cyclone Uranium Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved Geovic Mining Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved OGL Holdings Ltd. Clayton Approved Stein Approved Jackson Approved Peirce Approved STW Resources Holding Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84249 https://www.sec.gov/litigation/admin/2018/34-84249.pdf 2018-09-20 Anpulo Food Development, Inc., et al. Cybergy Holdings, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Cyclone Uranium Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved Geovic Mining Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved OGL Holdings Ltd. Clayton Approved Stein Approved Jackson Approved Peirce Approved STW Resources Holding Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84250 https://www.sec.gov/litigation/admin/2018/34-84250.pdf 2018-09-20 Anpulo Food Development, Inc., et al. Be Industries, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Fenton Graham Marketing, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Milost Acquisition Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved Neogenix Oncology, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 33-10558 https://www.sec.gov/litigation/admin/2018/33-10558.pdf 2018-09-21 Heartland Payment Systems, Inc. Heartland Payment Systems, LLC, f/k/a Heartland Payment Systems, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Not Approved Roisman Approved Carr, Robert O. Clayton Approved Stein Approved Jackson Approved Peirce Not Approved Roisman Approved 34-84251 https://www.sec.gov/litigation/admin/2018/34-84251.pdf 2018-09-21 Primoris Services Corporation Primoris Services Corporation Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty. Roisman Not Approved 34-84265 https://www.sec.gov/litigation/admin/2018/34-84265.pdf 2018-09-21 Anpulo Food Development, Inc., et al. Golden Claw Ventures, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Q Therapeutics, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Readaboo, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Zika Diagnostics, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved IA-5041 https://www.sec.gov/litigation/admin/2018/ia-5041.pdf 2018-09-21 Ophrys, LLC Ophrys, LLC Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty. Roisman Approved with Exception Approved except as to the penalty. 34-84063 https://www.sec.gov/litigation/suspensions/2018/34-84063.pdf https://www.sec.gov/litigation/suspensions/2018/34-84063-o.pdf Order 2018-09-09 Certain Bitcoin/Ether Tracking Certificates Bitcoin Tracker One Clayton Approved Stein Approved Jackson Approved Peirce Approved Ether Tracker One Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84070 https://www.sec.gov/litigation/admin/2018/34-84070.pdf 2018-09-10 AFH Acquisition VI, Inc., et al. Bitzio, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Enerpulse Technologies, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84071 https://www.sec.gov/litigation/suspensions/2018/34-84071.pdf https://www.sec.gov/litigation/suspensions/2018/34-84071-o.pdf Order 2018-09-10 AFH Acquisition VI, Inc., et al. Bitzio, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Enerpulse Technologies, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84072 https://www.sec.gov/litigation/admin/2018/34-84072.pdf 2018-09-10 AFH Acquisition VI, Inc., et al. EMAV Holdings, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Manasota Group, Inc. (f/k/a Horizon Bancorporation, Inc.) Clayton Approved Stein Approved Jackson Approved Peirce Approved Thinspace Technology, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84073 https://www.sec.gov/litigation/suspensions/2018/34-84073.pdf https://www.sec.gov/litigation/suspensions/2018/34-84073-o.pdf Order 2018-09-10 AFH Acquisition VI, Inc., et al. EMAV Holdings, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Manasota Group, Inc. (f/k/a Horizon Bancorporation, Inc.) Clayton Approved Stein Approved Jackson Approved Peirce Approved Thinspace Technology, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 33-10542 https://www.sec.gov/litigation/admin/2018/33-10542.pdf 2018-09-11 Certain Commodity-Linked Exchange Traded Products (Cadaret) Cadaret, Grant & Co., Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Grant, Arthur Clayton Approved Stein Approved Jackson Approved Peirce Approved Johnson, Beda Lee Clayton Approved Stein Approved Jackson Approved Peirce Approved Long, Eugene Clayton Approved Stein Approved Jackson Approved Peirce Approved 33-10543 https://www.sec.gov/litigation/admin/2018/33-10543.pdf 2018-09-11 Confido TokenLot, LLC Clayton Approved Stein Approved Jackson Approved Peirce Approved Kugel,Lenny Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty. Lewitt,Eli L. Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty. 33-10544 https://www.sec.gov/litigation/admin/2018/33-10544.pdf 2018-09-11 Crypto Asset Fund Crypto Asset Management, LP Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty. Enneking, Timothy Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty. 34-84080 https://www.sec.gov/litigation/admin/2018/34-84080.pdf 2018-09-11 AFH Acquisition VI, Inc., et al. Endeavor IP, Inc. (n/k/a Nanolife Health, Inc.) Clayton Approved Stein Approved Jackson Approved Peirce Approved WITH, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84081 https://www.sec.gov/litigation/suspensions/2018/34-84081.pdf https://www.sec.gov/litigation/suspensions/2018/34-84081-o.pdf Order 2018-09-11 AFH Acquisition VI, Inc., et al. Endeavor IP, Inc. n/k/a Nanolife Health, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved WITH, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84082 https://www.sec.gov/litigation/admin/2018/34-84082.pdf 2018-09-11 AFH Acquisition VI, Inc., et al. Fastfunds Financial Corporation Clayton Approved Stein Approved Jackson Approved Peirce Approved First Asia Holdings Ltd. Clayton Approved Stein Approved Jackson Approved Peirce Approved Zap Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84083 https://www.sec.gov/litigation/suspensions/2018/34-84083.pdf https://www.sec.gov/litigation/suspensions/2018/34-84083-o.pdf Order 2018-09-11 AFH Acquisition VI, Inc., et al. Fastfunds Financial Corporation Clayton Approved Stein Approved Jackson Approved Peirce Approved First Asia Holdings Limited Clayton Approved Stein Approved Jackson Approved Peirce Approved Zap Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84084 https://www.sec.gov/litigation/admin/2018/34-84084.pdf 2018-09-11 AFH Acquisition VI, Inc., et al. Golden Global Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved Power Efficiency Corporation Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84085 https://www.sec.gov/litigation/suspensions/2018/34-84085.pdf https://www.sec.gov/litigation/suspensions/2018/34-84085-o.pdf Order 2018-09-11 AFH Acquisition VI, Inc., et al. Golden Global Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved Power Efficiency Corporation Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84086 https://www.sec.gov/litigation/admin/2018/34-84086.pdf 2018-09-11 AFH Acquisition VI, Inc., et al. Crailar Technologies, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Midwest Oil & Gas, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Preston Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84087 https://www.sec.gov/litigation/admin/2018/34-84087.pdf 2018-09-12 United Technologies Corporation United Technologies Corporation Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty. 34-84088 https://www.sec.gov/litigation/admin/2018/34-84088.pdf 2018-09-12 Amendment of Authorized, but not-yet-Instituted, Administrative Proceedings Pursuant to Exchange Act Section 12(j) Royal B.Y. Investment Management LLC Clayton Approved Stein Approved Jackson Approved Peirce Approved Toda International Holdings Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Westpoint Energy, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 360 Global Investments (f/k/a 360 Global Wine Co.) Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84090 https://www.sec.gov/litigation/admin/2018/34-84090.pdf 2018-09-12 AFH Acquisition VI, Inc., et al. CPI Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved Evergreen Energy, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved GlobalPayNet Holdings, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Gunpowder Gold Corporation Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84091 https://www.sec.gov/litigation/admin/2018/34-84091.pdf 2018-09-12 AFH Acquisition VI, Inc., et al. FalconTarget, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Grand Monarch Holdings, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved OICCO Acquisition III, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84092 https://www.sec.gov/litigation/admin/2018/34-84092.pdf 2018-09-12 AFH Acquisition VI, Inc., et al. Golden Pig Ventures, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Stoneleigh Acquisition Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved Transcendent One, Inc. (a/k/a Transcendent, Inc.) Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84094 https://www.sec.gov/litigation/admin/2018/34-84094.pdf 2018-09-12 AFH Acquisition VI, Inc., et al. Eco-Trade Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved LTWC Corporation Clayton Approved Stein Approved Jackson Approved Peirce Approved Onyx Service & Solutions, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84095 https://www.sec.gov/litigation/admin/2018/34-84095.pdf 2018-09-12 AFH Acquisition VI, Inc., et al. AFH Acquisition VI, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved AFH Acquisition VII, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved AFH Acquisition VIII, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved AFH Acquisition XI, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84096 https://www.sec.gov/litigation/admin/2018/34-84096.pdf 2018-09-12 AFH Acquisition VI, Inc., et al. American Natural Energy Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved CenturyTouch Ltd. Clayton Approved Stein Approved Jackson Approved Peirce Approved Kaeland Resources Corporation Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84101 https://www.sec.gov/litigation/admin/2018/34-84101.pdf 2018-09-12 AFH Acquisition VI, Inc., et al. Stonewall Financial, Ltd. Clayton Approved Stein Approved Jackson Approved Peirce Approved Super Ventures Corporation Clayton Approved Stein Approved Jackson Approved Peirce Approved Tuttle Industries Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved United China Acquisitions I Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84102 https://www.sec.gov/litigation/admin/2018/34-84102.pdf 2018-09-12 AFH Acquisition VI, Inc., et al. Aquarius Cannibas, Inc. (n/k/a AC DE, Inc.) Clayton Approved Stein Approved Jackson Approved Peirce Approved Green Field Energy, Inc. (n/k/a GFE Sustainable Energy, Inc.) Clayton Approved Stein Approved Jackson Approved Peirce Approved Soft iCastle, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84104 https://www.sec.gov/litigation/admin/2018/34-84104.pdf 2018-09-12 AFH Acquisition VI, Inc., et al. Munro Developments, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Stallion Synergies, Inc. (n/k/a World Wind Holding Group, Inc.) Clayton Approved Stein Approved Jackson Approved Peirce Approved Sunergy, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84105 https://www.sec.gov/litigation/suspensions/2018/34-84105.pdf https://www.sec.gov/litigation/suspensions/2018/34-84105-o.pdf Order 2018-09-12 AFH Acquisition VI, Inc., et al. Munro Developments, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Stallion Synergies, Inc. (n/k/a World Wind Holding Group, Inc.) Clayton Approved Stein Approved Jackson Approved Peirce Approved Sunergy, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84106 https://www.sec.gov/litigation/opinions/2018/34-84106.pdf 2018-09-12 Graham, Brett Thomas Graham, Brett Thomas Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84109 https://www.sec.gov/litigation/admin/2018/34-84109.pdf 2018-09-13 AFH Acquisition VI, Inc., et al. Position Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Test Case Acquisition, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Tidal Wave Holding, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84110 https://www.sec.gov/litigation/admin/2018/34-84110.pdf 2018-09-13 AFS Holdings, Inc., et al. AFS Holdings, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Midas Real Estate Ventures, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84111 https://www.sec.gov/litigation/admin/2018/34-84111.pdf 2018-09-13 AFS Holdings, Inc., et al. Geo Reserve Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved I Sites, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved T.A.G. Acquisitions Ltd. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84112 https://www.sec.gov/litigation/admin/2018/34-84112.pdf 2018-09-13 AFS Holdings, Inc., et al. Montbriar, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Soul Delicious3 Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved Universal Holdings & Consulting, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84115 https://www.sec.gov/litigation/admin/2018/34-84115.pdf 2018-09-13 Harbour Investments, Inc. Harbour Investments, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84116 https://www.sec.gov/litigation/admin/2018/34-84116.pdf 2018-09-13 Convergex Execution Solutions, LLC Convergex Execution Solutions, LLC now known as Cowen Execution Services LLC Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty. 34-84118 https://www.sec.gov/litigation/admin/2018/34-84118.pdf 2018-09-13 Sagent Wealth Management, LLC Holthouse Carlin & Van Trigt LLP Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty. Roisman Approved 34-84119 https://www.sec.gov/litigation/admin/2018/34-84119.pdf 2018-09-13 Amendment of Authorized, but not-yet-Instituted, Administrative Proceedings Pursuant to Exchange Act Section 12(j) Ournett Holdings, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Unigene Laboratories, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Vicon Fiber Optics Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84120 https://www.sec.gov/litigation/suspensions/2018/34-84120.pdf https://www.sec.gov/litigation/suspensions/2018/34-84120-o.pdf 34-84120 2018-09-13 Amendment of Authorized, but not-yet-Instituted, Administrative Proceedings Pursuant to Exchange Act Section 12(j) Ournett Holdings, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Unigene Laboratories, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84121 https://www.sec.gov/litigation/admin/2018/34-84121.pdf 2018-09-13 Amendment of Authorized, but not-yet-Instituted, Administrative Proceedings Pursuant to Exchange Act Section 12(j) MedPro Safety Products, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Mindpix Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved One2one Living Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved Wild Craze, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84122 https://www.sec.gov/litigation/suspensions/2018/34-84122.pdf https://www.sec.gov/litigation/suspensions/2018/34-84122-o.pdf Order 2018-09-13 Amendment of Authorized, but not-yet-Instituted, Administrative Proceedings Pursuant to Exchange Act Section 12(j) MedPro Safety Products, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Mindpix Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved One2one Living Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved Wild Craze, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 33-10545 https://www.sec.gov/litigation/admin/2018/33-10545.pdf 2018-09-14 Citi Match Citigroup Global Markets, Inc. Clayton Not Participating Stein Approved Jackson Approved Peirce Approved Citi Order Routing and Execution, LLC Clayton Not Participating Stein Approved Jackson Approved Peirce Approved 33-10546 https://www.sec.gov/litigation/admin/2018/33-10546.pdf 2018-09-14 Kandax Capital Management, LLC Earls, Cecil Gregory Clayton Approved Stein Approved Jackson Approved Peirce Approved Caggiano, Thomas R. Clayton Approved Stein Approved Jackson Approved Peirce Approved IA-5009 https://www.sec.gov/litigation/admin/2018/ia-5009.pdf 2018-09-14 Capital Analysts, LLC Capital Analysts, LLC Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty. Roisman Approved 34-84017 https://www.sec.gov/litigation/admin/2018/34-84017.pdf 2018-09-04 Sanofi Sanofi Clayton Approved Stein Approved Jackson Approved Peirce Not Approved 34-84018 https://www.sec.gov/litigation/admin/2018/34-84018.pdf 2018-09-04 RMR Asset Management Company; Dockside Asset Management Luttbeg, David S. Clayton Not Participating Stein Approved Jackson Approved Peirce Approved 34-84019 https://www.sec.gov/litigation/admin/2018/34-84019.pdf 2018-09-04 RMR Asset Management Company; Dockside Asset Management Weiner, Philip A. Clayton Not Participating Stein Approved Jackson Approved Peirce Approved 34-84022 https://www.sec.gov/litigation/admin/2018/34-84022.pdf 2018-09-04 Swisher Hygiene, Inc. Kipp, Michael J. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84023 https://www.sec.gov/litigation/admin/2018/34-84023.pdf 2018-09-04 Swisher Hygiene, Inc. Viard, Joanne K. CPA Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84024 https://www.sec.gov/litigation/admin/2018/34-84024.pdf 2018-09-04 Swisher Hygiene, Inc. Pierrard, John Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84025 https://www.sec.gov/litigation/admin/2018/34-84025.pdf 2018-09-04 RMR Asset Management Company; Dockside Asset Management Derryberry, Douglas J. Clayton Not Participating Stein Approved Jackson Approved Peirce Approved 34-84026 https://www.sec.gov/litigation/admin/2018/34-84026.pdf 2018-09-04 RMR Asset Management Company; Dockside Asset Management McAloon,Timothy J. Clayton Not Participating Stein Approved Jackson Approved Peirce Approved 34-84027 https://www.sec.gov/litigation/admin/2018/34-84027.pdf 2018-09-04 RMR Asset Management Company; Dockside Asset Management Tran, Dewey T. Clayton Not Participating Stein Approved Jackson Approved Peirce Approved 34-84028 https://www.sec.gov/litigation/admin/2018/34-84028.pdf 2018-09-04 RMR Asset Management Company; Dockside Asset Management RMR Asset Management Company Clayton Not Participating Stein Approved Jackson Approved Peirce Approved 34-84029 https://www.sec.gov/litigation/admin/2018/34-84029.pdf 2018-09-04 RMR Asset Management Company; Dockside Asset Management Riccardi, Ralph M. Clayton Not Participating Stein Approved Jackson Approved Peirce Approved 34-84030 https://www.sec.gov/litigation/admin/2018/34-84030.pdf 2018-09-04 RMR Asset Management Company; Dockside Asset Management Frost, David R. Clayton Not Participating Stein Approved Jackson Approved Peirce Approved BHCA-4 https://www.sec.gov/rules/proposed/2018/bhca-4.pdf 2018-09-04 Extension of the comment period for Release No. BCHA-3, Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds Extension of Comment Period for Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds; Notice of proposed rulemaking; extension of comment period Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84036 https://www.sec.gov/litigation/suspensions/2018/34-84036.pdf https://www.sec.gov/litigation/suspensions/2018/34-84036-o.pdf Order 2018-09-05 Amendment of Authorized, but not-yet-Instituted, Administrative Proceedings Pursuant to Exchange Act Section 12(j) Allied American Steel Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved Besra Gold, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Silver Dragon Resources, Inc. (f/n/a Networking Partners, Inc.) Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84037 https://www.sec.gov/litigation/suspensions/2018/34-84037.pdf https://www.sec.gov/litigation/suspensions/2018/34-84037-o.pdf Order 2018-09-05 Amendment of Authorized, but not-yet-Instituted, Administrative Proceedings Pursuant to Exchange Act Section 12(j) Alterrus Systems, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Corgreen Technologies Holding Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84038 https://www.sec.gov/litigation/suspensions/2018/34-84038.pdf https://www.sec.gov/litigation/suspensions/2018/34-84038-o.pdf Order 2018-09-05 Amendment of Authorized, but not-yet-Instituted, Administrative Proceedings Pursuant to Exchange Act Section 12(j) American First Financial Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Assurance Group, Inc. (a/k/a Air Media Now! Inc.) Clayton Approved Stein Approved Jackson Approved Peirce Approved Avantair, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved eLayaway, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84039 https://www.sec.gov/litigation/admin/2018/34-84039.pdf 2018-09-05 Amendment of Authorized, but not-yet-Instituted, Administrative Proceedings Pursuant to Exchange Act Section 12(j) Allied American Steel Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved Besra Gold, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Silver Dragon Resources, Inc. (f/k/a Networking Partners, Inc.) Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84040 https://www.sec.gov/litigation/admin/2018/34-84040.pdf 2018-09-05 Amendment of Authorized, but not-yet-Instituted, Administrative Proceedings Pursuant to Exchange Act Section 12(j) Alterrus Systems, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Corgreen Technologies Holding Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved PC Group, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84041 https://www.sec.gov/litigation/admin/2018/34-84041.pdf 2018-09-05 Amendment of Authorized, but not-yet-Instituted, Administrative Proceedings Pursuant to Exchange Act Section 12(j) American First Financial Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Assurance Group, Inc. (a/k/a Air Media Now!, Inc.) Clayton Approved Stein Approved Jackson Approved Peirce Approved Avantair, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved eLayaway, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84043 https://www.sec.gov/litigation/admin/2018/34-84043.pdf 2018-09-06 Blue Alternative Asset Management LLC Blue Alternative Asset Management, L.L.C. Clayton Approved Stein Approved Jackson Approved Peirce Approved Blue Capital Management, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Graham, Mark R. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84048 https://www.sec.gov/litigation/admin/2018/34-84048.pdf 2018-09-06 Allied American Steel, et al. ScanSys, Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved Voz Mobile Cloud LTD Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-84050 https://www.sec.gov/litigation/admin/2018/34-84050.pdf 2018-09-06 Amendment of Authorized, but not-yet-Instituted, Administrative Proceedings Pursuant to Exchange Act Section 12(j)--Nutrastar International, Inc. Nutrastar International, Inc. Clayton Not Participating Stein Approved Jackson Approved Peirce Approved 34-84051 https://www.sec.gov/litigation/suspensions/2018/34-84051.pdf https://www.sec.gov/litigation/suspensions/2018/34-84051-o.pdf Order 2018-09-06 Amendment of Authorized, but not-yet-Instituted, Administrative Proceedings Pursuant to Exchange Act Section 12(j)--Nutrastar International, Inc. Nutrastar International, Inc. Clayton Not Participating Stein Approved Jackson Approved Peirce Approved 34-84052 https://www.sec.gov/litigation/admin/2018/34-84052.pdf 2018-09-06 Allied American Steel, et al. Petron Energy II, Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved Saga Energy, Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved Saratoga Resources, Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved U.S. Precious Metals, Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-84053 https://www.sec.gov/litigation/suspensions/2018/34-84053.pdf https://www.sec.gov/litigation/suspensions/2018/34-84053-o.pdf Order 2018-09-06 Allied American Steel, et al. Petron Energy II, Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved Saga Energy, Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved Saratoga Resources, Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved U.S. Precious Metals, Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-84054 https://www.sec.gov/litigation/admin/2018/34-84054.pdf 2018-09-06 Colliers International Group Inc. Bahn, Joohyun a/k/a Dennis Bahn Clayton Approved Stein Approved Jackson Approved Peirce Approved IA-5000 https://www.sec.gov/litigation/admin/2018/ia-5000.pdf 2018-09-06 Blue Alternative Asset Management LLC Blue Alternative Asset Management, L.L.C. Clayton Approved Stein Approved Jackson Approved Peirce Approved Blue Capital Management, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Graham, Mark R. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84055 https://www.sec.gov/litigation/admin/2018/34-84055.pdf 2018-09-07 Petition of Sarah E. Adams, CPA for reinstatement Adams, Sarah E. CPA Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84059 https://www.sec.gov/litigation/admin/2018/34-84059.pdf 2018-09-07 Amendment of Authorized, but not-yet-Instituted, Administrative Proceedings Pursuant to Exchange Act Section 12(j) China Health Resource, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved China Logistics Group, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84060 https://www.sec.gov/litigation/suspensions/2018/34-84060.pdf https://www.sec.gov/litigation/suspensions/2018/34-84060-o.pdf Order 2018-09-07 Amendment of Authorized, but not-yet-Instituted, Administrative Proceedings Pursuant to Exchange Act Section 12(j) China Health Resource, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved China Logistics Group, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84061 https://www.sec.gov/litigation/admin/2018/34-84061.pdf 2018-09-07 Amendment of Authorized, but not-yet-Instituted, Administrative Proceedings Pursuant to Exchange Act Section 12(j) Fuel Performance Solutions, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Juniper Group, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Multimedia Platforms Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Satya Worldwide, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84062 https://www.sec.gov/litigation/suspensions/2018/34-84062.pdf https://www.sec.gov/litigation/suspensions/2018/34-84062-o.pdf Order 2018-09-07 Amendment of Authorized, but not-yet-Instituted, Administrative Proceedings Pursuant to Exchange Act Section 12(j) Fuel Performance Solutions, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Juniper Group, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Multimedia Platforms Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Satya Worldwide, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84064 https://www.sec.gov/litigation/admin/2018/34-84064.pdf 2018-09-07 Amendment of Authorized, but not-yet-Instituted, Administrative Proceedings Pursuant to Exchange Act Section 12(j) American Locker Group, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved INTREorg Systems, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Pegasi Energy Resources Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84065 https://www.sec.gov/litigation/suspensions/2018/34-84065.pdf https://www.sec.gov/litigation/suspensions/2018/34-84065-o.pdf Order 2018-09-07 Amendment of Authorized, but not-yet-Instituted, Administrative Proceedings Pursuant to Exchange Act Section 12(j) American Locker Group, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved INTREorg Systems, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Pegasi Energy Resources Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84066 https://www.sec.gov/litigation/admin/2018/34-84066.pdf 2018-09-07 Amendment of Authorized, but not-yet-Instituted, Administrative Proceedings Pursuant to Exchange Act Section 12(j) The Buck A Day Company Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Kronos Ventures Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved Magenta Media (US) Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Malacology, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84067 https://www.sec.gov/litigation/admin/2018/34-84067.pdf 2018-09-07 Amendment of Authorized, but not-yet-Instituted, Administrative Proceedings Pursuant to Exchange Act Section 12(j) CrossClick Media Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Kabe Exploration Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Swingplane Ventures, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84068 https://www.sec.gov/litigation/suspensions/2018/34-84068.pdf https://www.sec.gov/litigation/suspensions/2018/34-84068-o.pdf Order 2018-09-07 Amendment of Authorized, but not-yet-Instituted, Administrative Proceedings Pursuant to Exchange Act Section 12(j) CrossClick Media Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Kabe Exploration Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Swingplane Ventures, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved IA-5001 https://www.sec.gov/litigation/admin/2018/ia-5001.pdf 2018-09-07 VSS Fund Management LLC VSS Fund Management LLC Clayton Approved Stein Approved Jackson Approved Peirce Approved Stevenson,Jeffrey T. Clayton Approved Stein Approved Jackson Approved Peirce Approved IA-5002 https://www.sec.gov/litigation/admin/2018/ia-5002.pdf 2018-09-07 BB&T Investment Services, Inc. BB&T Securities, LLC as successor to BB&T Investment Services, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Not Approved