2019-01-30 December 2018 72 33-10600 https://www.sec.gov/litigation/admin/2018/33-10600.pdf 2018-12-26 Certain ADR Issuers JPMorgan Chase Bank, N.A. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84956 https://www.sec.gov/litigation/admin/2018/34-84956.pdf 2018-12-26 ADT Inc. ADT 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. 34-84962 https://www.sec.gov/litigation/admin/2018/34-84962.pdf 2018-12-26 Warren D. Nadel Nadel, Warren D. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84964 https://www.sec.gov/litigation/admin/2018/34-84964.pdf 2018-12-26 Nutriband, Inc. Nutriband, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved Sheridan, Gareth Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the violations related to Rule 13a-14(a) under the Securities Exchange Act of 1934. Roisman Approved with Exception Approved except as to the violations related to Rule 13a-14(a) under the Securities Exchange Act of 1934. Melnik,Serguei Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the violations related to Rule 13a-14(a) under the Securities Exchange Act of 1934. Roisman Approved with Exception Approved except as to the violations related to Rule 13a-14(a) under the Securities Exchange Act of 1934. 34-84968 https://www.sec.gov/litigation/admin/2018/34-84968.pdf 2018-12-26 Dubiel, Walter John Dubiel,Walter John Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the penny stock bar. Roisman Approved 34-84969 https://www.sec.gov/litigation/admin/2018/34-84969.pdf 2018-12-26 American Investments Fund I, LLC Jumper,John S. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-84970 https://www.sec.gov/litigation/admin/2018/34-84970.pdf 2018-12-26 Carbonella, Stephen Carbonella, Stephen T. Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the penny stock bar. Roisman Approved 34-84973 https://www.sec.gov/litigation/admin/2018/34-84973.pdf 2018-12-26 Eletrobras S.A. Centrais Elétricas Brasileiras S.A. Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty. Roisman Approved 34-84978 https://www.sec.gov/litigation/admin/2018/34-84978.pdf 2018-12-26 Polycom, Inc. Polycom, 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. IA-5096 https://www.sec.gov/litigation/admin/2018/ia-5096.pdf 2018-12-26 Lightyear Capital LLC Lightyear Capital LLC Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 33-10601 https://www.sec.gov/litigation/admin/2018/33-10601.pdf 2018-12-31 Hertz Global Holdings, Inc. Hertz Global Holdings, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the charges under Sections 17(a)(2) and (3) of the Securites Act of 1933, and the penalty. Roisman Approved with Exception Approved except as to the charges under Sections 17(a)(2) and (3) of the Securites Act of 1933, and the penalty. The Hertz Corporation Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the charges under Sections 17(a)(2) and (3) of the Securites Act of 1933, and the penalty. Roisman Approved with Exception Approved except as to the charges under Sections 17(a)(2) and (3) of the Securites Act of 1933, and the penalty. 33-10586 https://www.sec.gov/litigation/admin/2018/33-10586.pdf 2018-12-17 Certain ADR Issuers The Bank of New York Mellon Clayton Not Participating Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84828 https://www.sec.gov/litigation/admin/2018/34-84828.pdf 2018-12-17 UBS Financial Services Inc. UBS Financial Services Inc. Clayton Not Participating Stein Approved Jackson Approved Peirce Not Approved Roisman Approved 34-84829 https://www.sec.gov/litigation/admin/2018/34-84829.pdf 2018-12-17 Santander Consumer USA Inc. Santander Consumer USA Holdings 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 33-10587 https://www.sec.gov/litigation/admin/2018/33-10587.pdf 2018-12-18 Dockside Asset Management; RMR Asset Management Company Rosenthal, Chris D. Clayton Not Participating Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the penny stock bar. Roisman Approved 33-10588 https://www.sec.gov/rules/other/2018/33-10588.pdf 2018-12-18 Request for Comment on Earnings Releases and Quarterly Reports Request for Comment on Earnings Releases and Quarterly Reports; Request for comment Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84843 https://www.sec.gov/rules/sro/nms/2018/34-84843.pdf 2018-12-18 Notice of Filing of the Eighteenth Amendment to the National Market System Plan to Address Extraordinary Market Volatility (File No. 4-631) Joint Industry Plan; Notice of Filing of the Eighteenth Amendment to the National Market System Plan to Address Extraordinary Market Volatility by Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, and NYSE Arca, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84849 https://www.sec.gov/litigation/admin/2018/34-84849.pdf 2018-12-18 Panasonic Corporation Margis, Paul A. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84850 https://www.sec.gov/litigation/admin/2018/34-84850.pdf 2018-12-18 Panasonic Corporation Uonaga, Takeshi “Tyrone” Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the Rule 102(e) bar Roisman Approved IA-5077 https://www.sec.gov/litigation/admin/2018/ia-5077.pdf 2018-12-18 Ancora Advisors LLC Ancora Advisors LLC Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the censure and penalty. Roisman Approved 33-10589 https://www.sec.gov/rules/other/2018/33-10589.pdf 2018-12-19 Central States Capital Markets, LLC Central States Capital Markets, LLC Clayton Approved Stein Not Approved Jackson Not Approved Peirce Approved Roisman Approved 33-10592 https://www.sec.gov/rules/other/2018/33-10592.pdf 2018-12-19 Public Company Accounting Oversight Board 2019 Budget and Accounting Support Fee Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2019 Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84838 https://www.sec.gov/rules/sro/occ-an/2018/34-84838.pdf 2018-12-19 Advance Notice filed with the Commission pursuant to the Payment, Clearing, and Settlement Supervision Act of 2010 by The Options Clearing Corporation concerning changes to OCC's model for incorporating variations in implied volatility within OCC's margin methodology (SR-OCC-2018-804) The Options Clearing Corporation; Notice of No Objection to Advance Notice, as Modified by Partial Amendment No. 1, Related to The Options Clearing Corporation’s Margin Methodology for Incorporating Variations in Implied Volatility Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84851 https://www.sec.gov/litigation/admin/2018/34-84851.pdf 2018-12-19 Central States Capital Markets, LLC Central States Capital Markets, LLC Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84876 https://www.sec.gov/litigation/admin/2018/34-84876.pdf 2018-12-19 J.J. Newport Group, Inc. Nicoletta, Andrew F. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved Bella Industries LLC Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved Cranberry Rock Investments, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved J.J. Newport Group, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved IA-5080 https://www.sec.gov/litigation/admin/2018/ia-5080.pdf 2018-12-19 Grenda Group LLC Grenda, Walter F. Jr. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84891 https://www.sec.gov/rules/other/2018/34-84891.pdf 2018-12-20 Application by MIAX EMERALD, LLC for registration as a national securities exchange under Section 6 of the Securities Exchange Act of 1934 In the Matter of the Application of MIAX EMERALD, LLC for Registration as a National Securities Exchange Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved IA-5081 https://www.sec.gov/litigation/admin/2018/ia-5081.pdf 2018-12-20 Edge Trading LLC Moskowitz, Mark J. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved IA-5085 https://www.sec.gov/litigation/admin/2018/ia-5085.pdf 2018-12-20 Sterling Global Strategies LLC Sterling Global Strategies LLC Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty. Roisman Approved IA-5087 https://www.sec.gov/litigation/admin/2018/ia-5087.pdf 2018-12-20 Hedgeable, Inc. Hedgeable, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the cease-and-desist order. Roisman Approved 33-10594 https://www.sec.gov/litigation/admin/2018/33-10594.pdf 2018-12-21 Barbara Duka, et al. BioElectronics Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved IBEX, LLC Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved St. John’s, LLC Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved Whelan, Andrew J. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved Whelan, Kelly A. CPA Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 33-10595 https://www.sec.gov/litigation/admin/2018/33-10595.pdf 2018-12-21 Barbara Duka, et al. Chiappone, Frank H. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved Guzzetti, Andrew G. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved Lex, William F. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved Livingston, Thomas E. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved Mayer, Brian T. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved Rabinovich, Philip S. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84911 https://www.sec.gov/litigation/admin/2018/34-84911.pdf 2018-12-21 Barbara Duka, et al. Aesoph, John J. CPA Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84912 https://www.sec.gov/litigation/admin/2018/34-84912.pdf 2018-12-21 Barbara Duka, et al. Bennett, Darren M. CPA Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84917 https://www.sec.gov/litigation/opinions/2018/34-84917.pdf 2018-12-21 Merrimac Corporate Securities, Inc., and Robert Nash Merrimac Corporate Securities, Inc. Clayton Approved Stein Not Approved Jackson Approved Peirce Approved Roisman Approved Nash, Robert G. Clayton Approved Stein Not Approved Jackson Approved Peirce Approved Roisman Approved 34-84920 https://www.sec.gov/litigation/admin/2018/34-84920.pdf 2018-12-21 Corporate Resource Services, Inc. Crowe Horwath LLP Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved Macina, Joseph C. CPA Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved Wydra, Kevin V. CPA Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84921 https://www.sec.gov/litigation/admin/2018/34-84921.pdf 2018-12-21 Corporate Resource Services, Inc. Bernstein, Michael CPA Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved Rubin, Mitchell J. CPA Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved IA-5086 https://www.sec.gov/litigation/admin/2018/ia-5086.pdf 2018-12-21 Wealthfront, Inc. Wealthfront Advisers, LLC f/k/a Wealthfront, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved IA-5088 https://www.sec.gov/litigation/admin/2018/ia-5088.pdf 2018-12-21 Black Diamond Asset Management, LLC Black Diamond Asset Management, LLC Clayton Approved Stein Approved Piwowar Approved Wilson,Robert Clayton Approved Stein Approved Piwowar Approved IA-5089 https://www.sec.gov/litigation/admin/2018/ia-5089.pdf 2018-12-21 Ed Lloyd & Associates, PLLC Lloyd, Paul Edward ("Ed") Jr. CPA White Approved Stein Approved Piwowar Approved IA-5093 https://www.sec.gov/litigation/admin/2018/ia-5093.pdf 2018-12-21 Timbervest, LLC Timbervest, LLC White Approved Stein Approved Piwowar Approved 33-10590 https://www.sec.gov/rules/proposed/2018/33-10590.pdf 2018-12-19 Rule and Amendments to Allow Fund of Funds Arrangements Fund of Funds Arrangements; Proposed rule Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 33-10591 https://www.sec.gov/rules/final/2018/33-10591.pdf 2018-12-19 Amendments to Regulation A Amendments to Regulation A; Final rule Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84858 https://www.sec.gov/rules/final/2018/34-84858.pdf 2018-12-19 Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons to Effect or be Involved in Effecting Security-Based Swaps (“Rule of Practice 194”) Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons to Effect or be Involved in Effecting Security-Based Swaps; Final rule Clayton Approved Stein Not Approved Jackson Not Approved Peirce Approved Roisman Approved 34-84861 https://www.sec.gov/rules/proposed/2018/34-84861.pdf 2018-12-19 Risk Mitigation Techniques for Uncleared Security-Based Swaps Risk Mitigation Techniques for Uncleared Security-Based Swaps; Proposed rule Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84875 https://www.sec.gov/rules/final/2018/34-84875.pdf 2018-12-19 Transaction Fee Pilot Transaction Fee Pilot for NMS Stocks; Final rule Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 33-10593 https://www.sec.gov/rules/final/2018/33-10593.pdf 2018-12-20 Disclosure of Hedging by Employees or Directors Disclosure of Hedging by Employees, Officers and Directors; Final rule Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84758 https://www.sec.gov/litigation/admin/2018/34-84758.pdf 2018-12-10 Blue Sheet Data Misreporting MUFG Securities Americas Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84759 https://www.sec.gov/litigation/admin/2018/34-84759.pdf 2018-12-10 Blue Sheet Data Misreporting Citadel Securities LLC Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84760 https://www.sec.gov/litigation/admin/2018/34-84760.pdf 2018-12-10 Blue Sheet Data Misreporting Natixis Securities Americas LLC Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty. Roisman Approved 34-84763 https://www.sec.gov/litigation/admin/2018/34-84763.pdf 2018-12-10 Agria Corporation Agria Corporation 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. 34-84764 https://www.sec.gov/litigation/admin/2018/34-84764.pdf 2018-12-10 Agria Corporation Guanglin (Alan), Lai Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84779 https://www.sec.gov/litigation/admin/2018/34-84779.pdf 2018-12-10 Allied American Steel, et al. Hua Yang Investment Group, Inc. (a/k/a Tarheel Billboard, Inc.) Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved TAMM Oil & Gas Corp. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved Titan Oil & Gas, Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-84780 https://www.sec.gov/litigation/suspensions/2018/34-84780.pdf Order 2018-12-10 Allied American Steel, et al. Hua Yang Investment Group, Inc. (a/k/a Tarheel Billboard, Inc.) Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved TAMM Oil & Gas Corp. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved Titan Oil & Gas, Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-84781 https://www.sec.gov/litigation/admin/2018/34-84781.pdf 2018-12-11 The Hain Celestial Group, Inc. The Hain Celestial Group, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84782 https://www.sec.gov/litigation/admin/2018/34-84782.pdf 2018-12-11 Enforcement Regulation S-X (Interim Reviews) Initiative Auscrete Corporation Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84783 https://www.sec.gov/litigation/admin/2018/34-84783.pdf 2018-12-11 Enforcement Regulation S-X (Interim Reviews) Initiative Eastgate Biotech Corporation Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84784 https://www.sec.gov/litigation/admin/2018/34-84784.pdf 2018-12-11 Enforcement Regulation S-X (Interim Reviews) Initiative Frontier Oilfield Services, 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. 34-84785 https://www.sec.gov/litigation/admin/2018/34-84785.pdf 2018-12-11 Enforcement Regulation S-X (Interim Reviews) Initiative Lotus Bio-Technology Development Corporation Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84794 https://www.sec.gov/litigation/admin/2018/34-84794.pdf 2018-12-11 Breitling Oil & Gas Corporation Teran, Alfred C. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 33-10584 https://www.sec.gov/litigation/admin/2018/33-10584.pdf 2018-12-12 Crown Point Regional Center, LLC America Modern Green Senior (Houston) LLC Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved America Modern Green Community (Houston) LLC Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved America Modern Green Residential (Houston) LLC Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84808 https://www.sec.gov/litigation/opinions/2018/34-84808.pdf 2018-12-12 Michael Patrick Nanto Nanto, Michael Patrick Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84811 https://www.sec.gov/litigation/admin/2018/34-84811.pdf 2018-12-13 FWLL, LLC Uresti, Carlos I. Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Aproved except as to the penny stock bar. Roisman Approved 34-84815 https://www.sec.gov/litigation/admin/2018/34-84815.pdf 2018-12-13 Waddell & Reed Fair Fund Waddell & Reed, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved Waddell & Reed Investment Management Company Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved Waddell & Reed Services Company Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved IA-5074 https://www.sec.gov/litigation/admin/2018/ia-5074.pdf 2018-12-13 Yucaipa Master Manager, LLC Yucaipa Master Manager, LLC Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 33-10585 https://www.sec.gov/rules/final/2018/33-10585.pdf 2018-12-14 Revisions to EDGAR Filer Manual, Volume I – “General Information” Volume II – “EDGAR Filing” Adoption of Updated EDGAR Filer Manual; Final rule Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 33-10581 https://www.sec.gov/litigation/admin/2018/33-10581.pdf 2018-12-03 Fifth Street Group of Companies Fifth Street Management LLC Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the cease-and-desist order. Roisman Approved 34-84712 https://www.sec.gov/litigation/admin/2018/34-84712.pdf 2018-12-03 Linkbrokers Derivatives LLC Distribution Fund Linkbrokers Derivatives LLC Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84718 https://www.sec.gov/litigation/admin/2018/34-84718.pdf 2018-12-04 KCAP Financial, Inc. KCAP Financial, Inc. Clayton Approved Stein Not Approved Jackson Not Approved Peirce Approved Roisman Approved 34-84725 https://www.sec.gov/litigation/admin/2018/34-84725.pdf 2018-12-06 Taberna Capital Management, LLC et al. Taberna Capital Management, LLC Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved Fralin, Michael Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved Licht, Raphael Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84726 https://www.sec.gov/litigation/opinions/2018/34-84726.pdf 2018-12-06 Kimberly Springsteen-Abbott Springsteen-Abbot, Kimberly Piwowar Approved Stein Approved 33-10582 https://www.sec.gov/litigation/admin/2018/33-10582.pdf 2018-12-07 Alternative Currency Fund Offerings CoinAlpha Advisors LLC Clayton Approved Stein Approved Jackson Approved Peirce Not Approved Roisman Approved