2026-02-27 2024 2024-10-31 Bisner, Brenda M. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-10-31 HekYeah, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-10-31 Landes and Compagnie Trust Prive GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-10-31 Landes Prive, lLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-03-18 Genesis Global Capital, LLC GenslerApproved PeirceNot Approved CrenshawApproved UyedaApproved LizárragaApproved 2024-04-05 Friedman, Gil GenslerApproved PeirceApproved with ExceptionApproved except as to the disgorgement and prejudgement interest CrenshawApproved UyedaApproved LizárragaApproved 2024-08-30 Uboh, Ubong ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2024-10-22 First Black Enterprises, Inc. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-12-05 Rajkaran, Christopher J. GenslerApproved PeirceApproved with ExceptionApproved except as to the disgorgement and prejudgment interest RoismanApproved LeeApproved CrenshawApproved 2024-06-24 PC&J Joint Ventures, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-12-06 Goodman, Jordan E. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-12-18 Darrah, Julie Anne GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-07-17 Francom, John Eric GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-02-16 Advisor Resource Council GenslerApproved PeirceApproved with ExceptionApproved except for the Section 17(a)(2) charge CrenshawApproved UyedaApproved LizárragaApproved 2024-09-24 Muratore Financial Services, Inc. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-09-24 Muratore, John GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-09-24 Pearsey, Thomas Brad GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-01-09 Flores, Amanda ClaytonApproved SteinApproved JacksonApproved PeirceApproved RoismanApproved 2024-01-31 Williams, Dominic ClaytonApproved SteinApproved JacksonApproved PeirceApproved RoismanApproved 2024-04-17 Sripetch, Ongkaruck ClaytonApproved SteinApproved JacksonApproved PeirceApproved RoismanApproved 2024-04-29 Patel, Ashmit S. ClaytonApproved SteinApproved JacksonApproved PeirceApproved RoismanApproved 2024-04-29 Patel, Ashmit S. ClaytonApproved SteinApproved JacksonApproved PeirceApproved RoismanApproved 2024-05-01 McAlpine, Andrew ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2024-07-24 Adtron Inc. ClaytonApproved SteinApproved JacksonApproved PeirceApproved RoismanApproved 2024-08-19 ATG Inc. ClaytonApproved SteinApproved JacksonApproved PeirceApproved RoismanApproved 2024-11-20 Fielding, William GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-01-02 Weitzberg, Bruce GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-03-20 Bright Star International, Inc. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-03-20 Dills, Kevin C. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-03-20 Life Sciences Journeys, Inc. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-08-14 Robinson, Ashley GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-09-20 Fargesen, Vitaly GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-09-23 Sandoval, Arlene GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-11-14 CanaFarma Hemp Products Corp. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-02-06 Goel, Brijesh GenslerApproved PeirceApproved with ExceptionApproved except as to the disgorgement and prejudgment interest CrenshawApproved UyedaApproved LizárragaApproved 2024-02-20 Wannian Investment, Inc. ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2024-03-26 Global Trading Institute, LLC GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-12-24 Steve Susoeff, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-11-12 KFIM, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-29 Adams, Brett GenslerApproved PeirceApproved with ExceptionApproved except as to the asset freeze LeeApproved CrenshawApproved 2024-05-29 Blakesley, Justin GenslerApproved PeirceApproved with ExceptionApproved except as to the asset freeze LeeApproved CrenshawApproved 2024-05-29 Robson, John GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2024-08-19 OTA LLC GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-08-19 Patel, Taraben GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-10-16 Brooks-Harris, Rosiland GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2024-10-16 City of Rochester, NY GenslerApproved PeirceNot Approved LeeApproved CrenshawApproved 2024-11-05 Money Magnet Platinum Membership Initiative GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-11-07 Hopkins, LaKenya GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-11-25 Kokorich, Mikhail GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-11-25 Dow Rockwell LLC GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2024-11-25 Rockwell, Richard GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2024-11-26 Arkells, Nicolas GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-11-26 Conn, William V. Jr. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-12-02 Austal Limited GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-12-02 Austal USA, LLC GenslerApproved PeirceApproved with ExceptionApproved except as to the penalty CrenshawApproved UyedaApproved with ExceptionApproved except as to the penalty LizárragaApproved 2024-12-03 Coggins, David C. ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2024-12-03 Gridsum Holding, Inc. GenslerApproved PeirceNot Approved CrenshawApproved UyedaApproved LizárragaApproved 2024-12-03 He, Huijie GenslerApproved PeirceNot Approved CrenshawApproved UyedaApproved LizárragaApproved 2024-12-03 Qi, Guosheng GenslerApproved PeirceNot Approved CrenshawApproved UyedaApproved LizárragaApproved 2024-12-04 Hare, Brad GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved LizárragaApproved 2024-12-04 Mammoth West Corporation GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved LizárragaApproved 2024-12-12 Jaitley, Leena GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-12-16 Kennedy, Christopher Booth GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-12-18 Stone, David Lee GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2024-12-18 Stone, Gwendolyn GenslerApproved PeirceApproved with ExceptionApproved except as to the asset freeze LeeApproved CrenshawApproved 2024-12-18 Stone, Harold J. GenslerApproved PeirceApproved with ExceptionApproved except as to the asset freeze LeeApproved CrenshawApproved 2024-12-18 Pebblekick, Inc, a California Corporation GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-12-18 Pebblekick, Inc., a Nevada Corporation GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-12-19 Dewitz, Curt Ludwig GenslerApproved PeirceApproved with ExceptionApproved except as to the disgorgement and prejudgment interest CrenshawApproved UyedaApproved LizárragaApproved 2024-12-20 Coral Gables Asset Holdings, L.P. ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2024-12-20 Coral Gables Asset Management LLC ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2024-12-20 Coral Gables Capital, L.P. ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2024-12-20 Steve Susoeff, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-12-23 Morningview Financial, LLC GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved LizárragaApproved 2024-12-23 Riccio, Joseph M. Jr. GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved LizárragaApproved 2024-12-23 Ricco, Miles M. GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved LizárragaApproved 2024-12-23 J4 Capital Advisors LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-12-23 Q4 Capital Group, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-12-23 Slaga, Christopher GenslerApproved PeirceApproved with ExceptionApproved except as to the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2024-12-23 Cronin, Shawn P. GenslerApproved PeirceApproved with ExceptionApproved except as to the disgorgement, prejudgment interest, and the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2024-12-23 Dupont, Joseph M. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-12-23 Feldman, Paul K. GenslerApproved PeirceApproved with ExceptionApproved except as to the disgorgement, prejudgment interest, and the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2024-12-23 Kaplan, Stanley GenslerApproved PeirceApproved with ExceptionApproved except as to the disgorgement, prejudgment interest, and the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2024-12-23 Mendoza, Jarett G. GenslerApproved PeirceApproved with ExceptionApproved except as to the disgorgement, prejudgment interest, and the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2024-12-26 Capital Markets Advisors, LLC GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2024-12-26 Ganci, Richard GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2024-12-26 Tortora, Richard GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2024-12-27 Susoeff, Steven James GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-12-27 Bhiwapurkar, Atul GenslerApproved PeirceApproved with ExceptionApproved except as to disgorgement and prejudgment interest CrenshawApproved UyedaApproved LizárragaApproved 2024-12-27 Dagar, Amit GenslerApproved PeirceApproved with ExceptionApproved except as to the disgorgement and prejudgment interest CrenshawApproved UyedaApproved LizárragaApproved 2024-02-05 Auerbach, Jeffrey ClaytonApproved JacksonApproved PeirceApproved RoismanApproved 2024-05-10 Lambert, Chase GenslerApproved PeirceApproved with ExceptionApproved except as to the disgorgement and prejudgment interest CrenshawApproved UyedaApproved LizárragaApproved 2024-05-13 Janvier, Julien GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-06-07 Mitchell, Jared ClaytonApproved JacksonApproved PeirceApproved RoismanApproved 2024-10-09 Targum, Elliot P. GenslerApproved PeirceNot Approved CrenshawNot Approved UyedaApproved LizárragaApproved 2024-10-09 Targum, Steven D. GenslerApproved PeirceApproved with ExceptionApproved except as to the disgorgement, prejudgment interest, and officer and director bar CrenshawNot Approved UyedaApproved LizárragaApproved 2024-10-24 Panuwat, Matthew P. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-11-04 Guss Capital, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-11-04 Ridall, Jack C. GenslerApproved PeirceApproved with ExceptionApproved except as to the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2024-11-12 Rosenberg, Nicholas J. GenslerApproved PeirceNot Approved CrenshawApproved UyedaApproved LizárragaApproved 2024-11-15 Brown, Richard ClaytonApproved JacksonApproved PeirceApproved RoismanApproved 2024-11-15 Bien Aimé, Monise François GenslerApproved PeirceApproved with ExceptionApproved except as to the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2024-11-15 MFB 111 Investment, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-11-18 Reagan, Terrance GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-11-18 Bernard, Austin GenslerApproved PeirceApproved with ExceptionApproved except as to the disgorgement and prejudgment interest CrenshawApproved UyedaApproved LizárragaApproved 2024-11-18 Qsar, Jordan GenslerApproved PeirceApproved with ExceptionApproved except as to the disgorgement and prejudgment interest CrenshawApproved UyedaApproved LizárragaApproved 2024-11-18 Witherspoon, Grant GenslerApproved PeirceApproved with ExceptionApproved except as to the disgorgement and prejudgment interest CrenshawApproved UyedaApproved LizárragaApproved 2024-11-19 Walczak, Edward Stanley ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2024-11-19 Woods, John GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-11-19 Ruiz, Pavel GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-11-21 Mitchell, Ian GenslerApproved PeirceNot Approved CrenshawApproved UyedaApproved LizárragaApproved 2024-06-11 All US Tacos Inc. GenslerApproved PeirceNot Approved CrenshawApproved UyedaApproved LizárragaApproved 2024-06-11 Saeedi, Janya GenslerApproved PeirceNot Approved CrenshawApproved UyedaApproved LizárragaApproved 2024-06-11 Salwan, Gauri Gensler>Approved PeirceNot Approved CrenshawApproved UyedaApproved LizárragaApproved 2024-06-11 The Kakkera Family Trust Gensler>Approved PeirceNot Approved CrenshawApproved UyedaApproved LizárragaApproved 2024-06-13 Bhardwaj, Amit Gensler Approved PeirceApproved with ExceptionApproved except as to the disgorgement and prejudgment interest CrenshawApproved UyedaApproved LizárragaApproved 2024-06-13 Kakkera, Srinivasa Gensler Approved PeirceApproved with ExceptionApproved except as to the disgorgement, prejudgment interest, and the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2024-06-13 Saeedi, Abbas Gensler Approved PeirceApproved with ExceptionApproved except as to the disgorgement, prejudgment interest, and the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2024-09-12 Markin, Seth Gensler Approved PeirceApproved with ExceptionApproved except as to the disgorgement and prejudgment interest CrenshawApproved UyedaApproved LizárragaApproved 2024-09-12 Wong, Brandon Gensler Approved PeirceApproved with ExceptionApproved except as to the disgorgement and prejudgment interest CrenshawApproved UyedaApproved LizárragaApproved 2024-09-27 Markin, Philip GenslerApproved PeirceApproved with ExceptionApproved except as to the disgorgement and prejudgment interest CrenshawApproved UyedaApproved 2024-10-03 Malik Usama GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-10-03 Prager Metis CPAs LLP Gensler Approved PeirceNot Approved CrenshawApproved UyedaApproved LizárragaApproved 2024-10-03 Prager Metis CPAs, LLC Gensler Approved PeirceNot Approved CrenshawApproved UyedaApproved LizárragaApproved 2024-10-04 DiMuro, Raymond J. Gensler Approved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-10-08 Choice Advisors, LLC Gensler Approved PeirceApproved Roisman Approved Lee Approved CrenshawApproved 2024-10-08 O’Meara, Matthias GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-10-08 Wood, Lauren S. GenslerApproved PeirceApproved RoismanApproved Lee Approved CrenshawApproved 2024-10-11 Beals, Christopher Lewis GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-10-11 Lee, Arden GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-10-15 Tucker, Leonard M. Gensler Approved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-10-15 Cathey, Blake Gensler Approved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-10-15 Guerra Farias, Ricardo Javier GenslerApproved PeirceApproved with ExceptionApproved except as to the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2024-10-15 Malave Hernandez, Francisco Javier GenslerApproved PeirceApproved with ExceptionApproved except as to the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2024-10-15 Toller Stern Financial, LLC Gensler Approved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-10-16 Good, Shawn E. Gensler Approved PeirceApproved Lee Approved CrenshawApproved LizárragaApproved 2024-10-16 Koski, Jeremy GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaNot Participating 2024-10-18 Barbier, Remi Gensler Approved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-10-18 Burns, Lindsay GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-10-18 Cassava Sciences, Inc. Gensler Approved PeirceApproved with ExceptionApproved except as to the penalty CrenshawApproved UyedaApproved LizárragaApproved 2024-10-24 Xie, Ruimin Gensler Approved PeirceApproved with ExceptionApproved except as to the officer and director bar, disgorgement, and prejudgment interest CrenshawApproved UyedaApproved LizárragaApproved 2024-10-24 Destiny Robotics Corp. Gensler Approved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-10-24 Kavtaradze, Meg Gensler Approved PeirceApproved with ExceptionApproved except as to the disgorgement and prejudgment interest CrenshawApproved UyedaApproved LizárragaApproved 2024-10-29 Kane, Kevin J. Gensler Approved PeirceApproved CrenshawNot Participating UyedaApproved LizárragaApproved 2024-10-29 Kane, Sean M. Gensler Approved PeirceApproved CrenshawNot Participating UyedaApproved LizárragaApproved 2024-04-25 Mahoney, Scott David GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-04-25 Wilson, Tyler B. Esq. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-08-26 Thayer, Patrick N. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-08-28 Cole, Nancy GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2024-08-28 Egan, Patrick GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2024-08-28 Gitipityapon, Andy GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2024-08-28 Graham, Steven GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2024-08-28 Swan, Thomas GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2024-08-28 Western International Securities, Inc. GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2024-09-04 Alar, Paul J ClaytonApproved JacksonApproved PeirceApproved RoismanNot Present LeeApproved 2024-09-04 WEST MOUNTAIN, LLC ClaytonApproved JacksonApproved PeirceApproved RoismanNot Present LeeApproved 2024-09-04 Cohen, Lee GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-09-04 Lewitt, Michael E. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-09-04 Third Friday Management, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-09-05 Putnam, Richard T. ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2024-09-05 Rodriguez, Angel A. ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2024-09-05 Swaffer, Kris A. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-09-05 Swaffer, Rosalyn K. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-09-05 Williams, Sean K. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-09-05 Rubin, Brian Marc GenslerApproved PeirceApproved with ExceptionApproved ecxept as to the disgorgement and prejudgment interest CrenshawApproved UyedaApproved LizárragaApproved 2024-09-10 MMT Distribution, LLC ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2024-09-10 Putnam, Daniel F. ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2024-09-10 R & D Global, LLC ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2024-09-10 Ramirez Rico, Jean Paul ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2024-09-11 Arbab, Syed Arham GenslerApproved PeirceApproved CrenshawNot Present UyedaApproved LizárragaApproved 2024-09-11 Rahman, Mushfiqur GenslerApproved PeirceApproved CrenshawNot Present UyedaApproved LizárragaApproved 2024-09-12 Perez, Marco A. GenslerApproved PeirceApproved with ExceptionApproved except as to the disgorgement, prejudgment interest, and officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2024-09-12 Becker, Jonathan GenslerApproved PeirceApproved with ExceptionApproved except as to the disgorgement and prejudgment interest CrenshawApproved UyedaApproved LizárragaApproved 2024-09-13 POHIH, Inc. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-09-20 Bhavnani, Jai GenslerApproved PeirceNot Approved CrenshawApproved UyedaApproved LizárragaApproved 2024-09-20 Lipstone, Jack GenslerApproved PeirceNot Approved CrenshawApproved UyedaApproved LizárragaApproved 2024-09-20 Lucid, David GenslerApproved PeirceNot Approved CrenshawApproved UyedaApproved LizárragaApproved 2024-09-20 Rari Capital, Inc. GenslerApproved PeirceNot Approved CrenshawApproved UyedaApproved LizárragaApproved 2024-09-20 Raskob Kambourian Financial Advisors, Ltd. GenslerApproved PeirceApproved with ExceptionApproved except as to the Section 206(4) charge CrenshawApproved UyedaApproved LizárragaApproved 2024-09-23 Carebourn Capital, L.P. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-09-23 Carebourn Partners, LLC GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-09-23 Rice, Chip GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-09-24 Choice Advisors, LLC GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-09-24 O’Meara, Matthias GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-09-24 Chitor, Ramesh GenslerApproved PeirceApproved with ExceptionApproved except as to the disgorgement, prejudgment interest, and officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2024-09-24 Patel, Dhirenkumar GenslerApproved PeirceApproved with ExceptionApproved except as to disgorgement, prejudgment interest, and officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2024-09-25 Leonard, Larry Donnell II ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2024-09-25 Leonard, Shuwana ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2024-09-25 Teshua Business Group, LLC ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2024-09-25 Teshuater, LLC ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2024-09-25 TrueCoin LLC GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved LizárragaApproved 2024-09-25 TrustToken, Inc. GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved LizárragaApproved 2024-09-25 Black Dragon Capital Investment Management, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-09-25 Black Dragon Capital, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-09-25 Hernandez, Louis Jr. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-09-27 Taronis Technologies, Inc. (f/k/a 4307, Inc., MagneGas Corporation, and MagneGas Applied Technology Solutions, Inc., n/k/a BBHC, Inc.) GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-09-27 Choi, Alice Mee-Hyang GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-09-27 Lee, April Sue-Chang GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-09-27 Lee, Elaine Choung-Hee GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-09-27 Lee, Seong Yeol GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-09-27 Siegel, Barry GenslerApproved PeirceApproved with ExceptionApproved except as to the disgorgement and prejudgment interest CrenshawApproved UyedaApproved LizárragaApproved 2024-09-30 Prager Metis CPAs, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-09-30 Selwood, Lionel Jr. GenslerApproved PeirceApproved with ExceptionApproved except to the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2024-10-01 Blockworks Foundation GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved LizárragaApproved 2024-10-01 Mango DAO GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved LizárragaApproved 2024-10-01 Mango Labs, LLC GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved LizárragaApproved 2024-10-01 Craigie, James R. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-10-02 Neto, Romero Cabral da Costa GenslerApproved PeirceAbstained CrenshawApproved UyedaApproved LizárragaApproved 2024-03-28 JMJ Capital Group GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2024-05-30 Manning, Gregory P. GenslerApproved PeirceNot Approved RoismanApproved LeeApproved CrenshawApproved 2024-07-08 Vista Financial Advisors LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-07-11 Kistler, Brian GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-07-25 Barama, Sivannarayana ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2024-08-05 Baugh, Charles GenslerApproved PeirceApproved with ExcepetionApproved except as to disgorgement and prejudgment interest CrenshawApproved UyedaApproved LizárragaApproved 2024-08-08 Nguyen, Richard Vu ClaytonApproved JacksonApproved PeirceApproved RoismanApproved 2024-08-09 Del Prete, Robert GenslerApproved PeirceApproved with ExceptionApproved except as to the disgorgement, prejudgment interest, and the officer and director bar CrenshawApproved UyedaApproved LizárragaNot Participating 2024-08-12 Heckler, Rand ClaytonApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-08-12 New Opportunity Business Solutions, Inc. Gensler Approved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-08-13 Falcon Capital LLP GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-08-13 Falcon Capital Partners Limited GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-08-13 Rondini, Wilson J. III GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-08-14 O'Neill, Thomas ClaytonApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-08-14 Scott, Michael ClaytonApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-08-14 Whiteley, Brent Esq. ClaytonApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-08-14 Rayapureddy, Ramkumar V. GenslerApproved PeirceApproved with ExceptionApproved except as to the disgorgement and prejudgment interest CrenshawApproved UyedaApproved LizárragaApproved 2024-08-16 Durland, Stephen GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-08-21 Ciccarelli, Drew Morgan ClaytonApproved SteinApproved JacksonRecused PeirceApproved RoismanApproved 2024-08-21 McLean, Wayne H. GenslerApproved PeirceApproved with ExceptionApproved except as to the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2024-08-21 Powell, Joan E. GenslerApproved PeirceApproved with ExceptionApproved except as to the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2024-08-23 Williams, Ruben Cedrick GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-08-26 Ramirez, Richard Lee GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2024-08-27 Galvani, Jeffrey K. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-08-27 GEL Direct Trust GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-08-27 GEL Direct, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-08-27 Jeffery, Stuart A. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-08-27 DeCaprio, Peter J. GenslerApproved PeirceApproved with ExceptionApproved except as to the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2024-08-27 FlowPoint Partners, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-08-28 Forte, David P. GenslerApproved PeirceNot Approved RoismanApproved LeeApproved CrenshawApproved 2024-08-28 Agri-Fintech Holdings, Inc. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-08-28 Banye, Mmobuosi Odogwu GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-08-28 Tingo Group, Inc. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-08-28 Tingo International Holdings, Inc. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-06-28 Goldman, David H. ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2024-06-28 Walker, Nicole J. ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2024-06-28 Kawuba, Adrian John GenslerApproved PeirceNot Approved CrenshawApproved UyedaApproved LizárragaApproved 2024-07-02 Amah, Evarist C. CA GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-07-08 Iakovou, George GenslerApproved PeirceApproved with ExceptionApproved except as to the officer and director bar CrenshawApproved UyedaNot Participating Lizárraga Approved 2024-07-08 Zbravos, Penelope GenslerApproved PeirceApproved CrenshawApproved UyedaNot Participating LizárragaApproved 2024-07-08 Boostedpro, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-07-08 D.W. Exchange, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-07-08 Digital World Exchange, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-07-08 Elbanna, Alexander GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-07-15 Engel, Yossi GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-07-16 Beyond Moore, Prosper E. GenslerApproved PeirceApproved with ExceptionApproved except as to the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2024-06-28 Church-Koegel, Brook ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2024-07-16 Prosperity Investments & Solutions, LLC GenslerApproved PeirceApproved with ExceptionApproved except as to the penalty CrenshawApproved UyedaApproved LizárragaApproved 2024-07-18 C3 International, Inc. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-07-18 Smith, Steele Clarke III GenslerApproved PeirceApproved with ExceptionApproved except as to the conduct-based injunction RoismanApproved LeeApproved CrenshawApproved 2024-07-18 Smith, Theresa GenslerApproved PeirceApproved with ExceptionApproved except as to the conduct-based injunction RoismanApproved LeeApproved CrenshawApproved 2024-07-24 Megas, Thomas ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2024-07-24 Elbanna, Angela GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-06-26 Amah, Evarist C. CA GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-06-25 Lufkin, Chauncey Forbush III GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-06-25 Collins, Anthony GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-06-20 Todd Financial Services, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-06-25 Lufkin Advisors, LLC GenslerApproved PeirceApproved w/ExceptionApproved except as to the asset freeze CrenshawApproved UyedaApproved LizárragaApproved 2024-06-25 Windsor Jones LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-06-20 Todd, Joseph Michael GenslerApproved PeirceApproved w/ExceptionApproved except as to the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2024-06-20 TFS Insurance Services LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-06-20 Gerard Veldhuis, Mike Koean GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-06-20 Sexton, Paul GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-06-20 Kelln, Courtney GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-06-20 Gasarch, Zhiying Yvonne GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-06-20 Friesen, Jackson Thomas GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-06-17 Krieger, Peter GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-06-14 Rosenberger, Karen CPA GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2024-06-13 Terraform Labs PTE Ltd. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-06-13 Kwon, Do Hyeong GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-06-10 Ni, Zhou Min GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-06-10 Ni, Jian Ming "Jonathan" CPA GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-23 Do, Mai ClaytonApproved JacksonApproved PeirceApproved RoismanApproved 2024-04-08 Lanni, Joanna CPA GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2024-04-02 Bowen, Ryan GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-04-10 Burns, Stephen Scott GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-04-12 Borden, Mark Esq. GenslerApproved PeirceApproved with ExceptionApproved except as to the disgorgement and prejudgment interest CrenshawApproved UyedaApproved LizárragaApproved 2024-04-18 SLIG High Interest Liquid Savings Company GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-04-18 Strategic Legacy Investment Group, Inc. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-01 208 Sears Street LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-01 211 Crooked Cedar Way LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-01 302 Keithwood Drive LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-01 313 Sliding Rock Drive LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-01 Ally’s Farm LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-01 Dugout Enterprises LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-01 French, Michael J. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-01 MJF Capital, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-01 MJF Holdings, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-06 R. Pierre Consulting Group, LLC ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2024-05-08 Bhandari, Sanjay GenslerApproved PeirceApproved with ExceptionApproved except as to the disgorgement and prejudgment interest CrenshawApproved UyedaApproved LizárragaApproved 2024-05-08 Jain, Rakesh GenslerApproved PeirceApproved with ExceptionApproved except as to the disgorgement and prejudgment interest CrenshawApproved UyedaApproved LizárragaApproved 2024-05-08 Singhi, Vinod GenslerApproved PeirceApproved with ExceptionApproved except as to the disgorgement and prejudgment interest CrenshawApproved UyedaApproved LizárragaApproved 2024-05-09 Blount, Jack B. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-10 Heckler, George LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2024-05-10 Mehrian, Pedram Abraham GenslerApproved PeirceApproved with ExceptionApproved except as to the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2024-05-13 Crotty, Kevin GenslerApproved PeirceApproved with ExceptionApproved except as to the officer and director bar, disgorgement and prejudgment interest CrenshawApproved UyedaApproved LizárragaApproved 2024-05-14 Benja Incorporated ClaytonApproved PeirceApproved with ExceptionApproved except as to the penalty RoismanApproved LeeApproved CrenshawApproved 2024-05-15 Pierre, Ruless ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2024-05-21 Parker, Gerald C. ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2024-05-21 Fierro, John D. ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2024-05-21 JDF Capital, Inc. ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2024-05-23 52 Rivermont Road LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-28 Anderson, Jacob S. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-28 Anderson, Jason R. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-28 Archer Drilling, LLC GenslerApproved Pierce Approved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-28 B & B Investment Group, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-28 Blox Lending, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-28 Brannon, Schad E. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-28 Business Funding Solutions, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-28 BW Holdings, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-28 Calmes & Co. Inc. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-28 Calmfritz Holdings, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-28 Daniels, Benjamin Frank GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-28 Digital Licensing Inc. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-28 Flaherty Enterprises, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-28 Flaherty, Travis A. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-28 Franklin, James E. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-28 Fritzsche, Matthew Dillon GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-28 iX Global, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-28 IX Ventures FZCO GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-28 Martinez, Joseph Anthony GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-28 Nelson, Roydon B. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-28 Parker, Alton Oman GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-28 Purdy Oil, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-28 Schuler, Mark Williams GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-28 Stangis, Brendon Jhon GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-28 The Gold Collective, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-28 UIU Holdings, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-28 Western Oil Exploration Company, Inc. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-28 Betanabhatla, Ganesh H. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-28 Loudon, Tyler GenslerApproved PeirceApproved with ExceptionApproved except as to the officer and director bar, disgorgement, and prejudgment interest CrenshawApproved UyedaApproved LizárragaApproved 2024-05-30 Bechtolsheim, Andreas GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-31 Bellatorum Resources, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-31 Bentley, Christopher R. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-02-02 John Doe No.1 GenslerApproved PeirceNot Participating CrenshawApproved UyedaNot Participating LizárragaApproved 2024-02-02 John Doe No.2 GenslerApproved PeirceNot Participating CrenshawApproved UyedaNot Participating LizárragaApproved 2024-02-02 John Doe No.3 GenslerApproved PeirceNot Participating CrenshawApproved UyedaNot Participating LizárragaApproved 2024-02-02 John Doe No.4 GenslerApproved PeirceNot Participating CrenshawApproved UyedaNot Participating LizárragaApproved 2024-03-26 Alexander, Casey GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-03-26 Scott-Britten, Aaron David GenslerApproved PeirceApproved with ExceptionApproved except as to the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2024-03-26 Stewart, Ohran GenslerApproved PeirceApproved with ExceptionApproved except as to the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2024-03-26 Charles Winn LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-03-28 Felton, Ryan ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2024-03-28 CoinSpark ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2024-03-28 FLiK ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2024-03-29 Cutting, Janine M. LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2024-03-29 Cuttinng, Shawn C. LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2024-03-29 Crypto Traders Management, LLC LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2024-03-29 Golden Cross Investments, LLC LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2024-03-29 Lake View Trust LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2024-03-29 Tyson Trust LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2024-03-29 BenHarav, Ronn GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-03-29 Mimun, Jonathan Jason GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-04-01 GA Investors GenslerApproved PeirceNot Participating CrenshawApproved UyedaNot Participating LizárragaApproved 2024-04-01 Commonwealth Equity Services, LLC ClaytonApproved JacksonApproved PeirceNot Approved RoismanApproved LeeApproved 2024-04-09 Smith, Charlie Jake GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-04-10 Cook, Roy N. GenslerApproved PeirceNot Approved CrenshawApproved UyedaApproved LizárragaApproved 2024-04-10 Natrop, Jeffrey A. GenslerApproved PeirceNot Approved CrenshawApproved UyedaApproved LizárragaApproved 2024-04-10 Renner, Peter S. GenslerApproved PeirceNot Approved CrenshawApproved UyedaApproved LizárragaApproved 2024-04-10 Rudolph, James GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved LizárragaApproved 2024-04-10 Williams, Peter GenslerApproved PeirceNot Approved CrenshawApproved UyedaApproved LizárragaApproved 2024-04-12 Korb, Mark GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2024-04-12 Lindell, Scott GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-04-15 Brown, Stephanie ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2024-04-15 Felton, Dale ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2024-04-15 Stubos, Dori-Ann GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2024-04-15 Felton, Jennifer ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2024-04-15 Hyperion Holdings LLC ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2024-04-18 Beck, Michael M. GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2024-04-18 Robinson, Helen P. GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2024-04-22 Ginster, Ryan GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-04-23 Kelly, Sean GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-04-23 Spencer, Anthony GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-04-23 Ward, Jeffrey GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-04-23 Red Rock Secured, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-04-26 Rivero, Mario E. Jr. GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2024-04-26 McKelvey, Douglas GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-04-29 Sumichrast, Martin A. GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2024-04-30 Levin, Daniel E. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-05-02 Urness, Daniel CPA GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-03-26 Covington and Burling LLP GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved LizárragaApproved 2024-04-04 Nicosia, Matthew GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-04-04 Reininger, William GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-04-04 Touchard, Ronald GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-01-17 Crowd Machine, Inc. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-01-17 Metavine Pty. Ltd. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-01-17 Metavine, Inc. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-01-17 Holthausen, Max C.B. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-01-17 Knight, Craig M. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-03-01 Ramani, Sameer GenslerApproved PeirceNot Approved LeeApproved CrenshawApproved UyedaNot Approved 2024-03-01 Do, Mai ClaytonApproved JacksonApproved PeirceApproved RoismanApproved 2024-03-01 Nguyen, Richard Vu ClaytonApproved JacksonApproved PeirceApproved RoismanApproved 2024-03-08 Foundation for Those with Special Needs, Inc. GenslerApproved PeirceNot Approved LeeApproved CrenshawApproved 2024-03-08 Special Needs Law Firm, PLLC GenslerApproved PeirceNot Approved LeeApproved CrenshawApproved 2024-03-11 Lazarus, Jason D. Esq. GenslerApproved PeirceNot Approved LeeApproved CrenshawApproved 2024-03-11 Synergy Settlement Services, Inc. GenslerApproved PeirceNot Approved LeeApproved CrenshawApproved 2024-03-11 Prieto, Anthony F, Jr GenslerApproved PeirceNot Approved LeeApproved CrenshawApproved 2024-03-15 Parekh, Imran GenslerApproved PeirceApproved CrenshawNot Participating UyedaApproved LizárragaApproved 2024-03-20 Findley, Bernard ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2024-03-20 Halitron, Inc. ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2024-03-26 Cattlin, Daniel GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-03-27 King, Justin Robert ClaytonApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-03-27 Di Carlo, Fabrizio GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-03-28 Nielsen, Jason C. ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2024-01-30 Comer Capital Group, LLC ClaytonApproved JacksonNot Participating PeirceApproved RoismanApproved 2024-01-30 Comer, Brandon L. ClaytonApproved JacksonNot Participating PeirceApproved RoismanApproved 2024-02-05 Gonzalez, Christian J. GenslerApproved PeirceApproved with ExceptionApproved except as to the Sections 17(a) and 10(b) and Rule 10b-5 charges CrenshawApproved UyedaApproved LizárragaApproved 2024-02-07 iFresh, Inc. GenslerApproved PeirceApproved with ExceptionApproved except as to the Sections 17(a) and 10(b) charges LeeApproved CrenshawApproved 2024-02-07 Holverson, Joyce GenslerApproved PeirceApproved with ExceptionApproved except as to the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2024-02-07 Woodbury, Arline GenslerApproved PeirceApproved with ExceptionApproved except as to the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2024-02-08 Levine, Scott GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-02-08 Feloni, John GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-02-08 Stock Squirrel, Inc. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-02-08 Rockwell Capital Management, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-02-08 Sewell , Brian GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-02-13 BC Holdings 2017, LLC GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2024-02-13 Boron Capital, LLC GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2024-02-13 Blake Robert Templeton GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2024-02-13 United BNB Fund 2018, LLC GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2024-02-13 Beaxy Digital, Ltd. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-02-13 Hamazaspyan, Artak GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-02-13 Adar Alef, LLC GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved LizárragaApproved . 2024-02-13 Adar Bays, LLC GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved LizárragaApproved 2024-02-13 Goldstein, Aryeh GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved LizárragaApproved 2024-02-14 Anthony, Deyonte Jahtori GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-02-20 Breitling, Todd Stuart GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-02-20 Plummer, Mark Allen GenslerApproved PeirceApproved with ExceptionApproved except as to the conduct-based injunction RoismanApproved LeeApproved CrenshawApproved 2024-02-20 Richmond Engineering, Inc. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-02-20 Dishinger, Ann M. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-02-21 Barrera, Emilio Jr. GenslerApproved PeirceApproved with ExceptionApproved except as to the conduct-based injunction RoismanApproved LeeApproved CrenshawApproved 2024-02-21 Prince, Todd J. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-02-21 PRT Consulting, LLC GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-02-21 Rauch, George GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-02-23 Miller, William GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-02-28 Liddle, Anthony B. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-02-27 1420527 Alberta Ltd. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-02-27 Bhogal, Jatinder GenslerApproved PeirceApproved with ExceptionApproved except as to the Section 9(a)(2) charge CrenshawApproved UyedaApproved LizárragaApproved 2024-02-27 Rayat, Harmel Singh GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-02-27 RenovaCare, Inc. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-01-02 Carnovale, Vicenzo GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-01-02 Woodard, Steven Keith Sr. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-01-03 Medsis International, Inc. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-01-05 Levin, Adam GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-01-08 Filoramo, Ronald E. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-01-08 Benjamin, Matthew ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2024-01-08 Clear Solutions Group, LLC ClaytonApproved PeirceApproved RoismanApproved LeeApproved 2024-01-09 Armijo, Robert Joseph GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-01-09 Joseph Financial, Inc. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-01-11 Deluca, Nicholas F. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-01-11 Fairbourn, Eric J. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-01-11 Goff, Louis Peter GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-01-11 Hubbard, Brian GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-01-11 McLaughlin, Derek A. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-01-11 McLaughlin, Michael P. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-01-11 Edger Solutions Management, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-01-11 Phoenix Outsourced Development, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-01-16 Hyzon Motors, Inc. GenslerApproved PeirceApproved with ExceptionApproved except as to the penalty CrenshawApproved UyedaApproved with ExceptionApproved except as to the penalty LizárragaApproved 2024-01-17 Holthausen, Max C.B. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-01-17 Knight, Craig M. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2024-01-22 Dirden, Katherine E. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-01-22 Rose, Lupe L. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-01-22 Shelby, Sonja F. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-01-22 SHE Beverage Company, Inc. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-01-22 Bolton, David J.C. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-01-24 Boucher, Mark J. ClaytonApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-01-24 Strategic Wealth Advisor Group Services Inc. ClaytonApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2024-12-29 Chiriva-Internati, Maurizio GenslerApproved PeirceApproved with ExceptionApproved except as to the Section 13(a) and Rules 12b-20, 13a-13, and 13a-15(a) aiding and abetting charges CrenshawApproved UyedaApproved LizárragaApproved