2026-03-02 2025 2025-08-25 Smith, Justin D. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-09-24 El-Khouri, Joseph Abdul Noor ClaytonApproved SteinApproved PiwowarApproved JacksonApproved PeirceApproved 2025-02-12 Miller, Mark A. GenslerApproved PeirceApproved with ExceptionApproved except as to the disgorgement RoismanApproved LeeApproved CrenshawApproved 2025-12-12 Tadrus, Mina N. GenslerApproved PeirceApproved with ExceptionApproved except as to the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2025-12-22 McMillian, Bryan S. GenslerApproved PeirceApproved with ExceptionApproved except as to the disgorgement and prejudgment interest CrenshawApproved UyedaApproved LizárragaApproved 2025-12-23 Crockett, Tyler ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2025-12-23 Bowerman, Nicholas GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-12-23 Ellison, Caroline GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-12-23 Wang, Zixiao GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-12-23 Singh, Nishad GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-12-03 Kamboj, Dev GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-11-24 Rapid Therapeutic Science Laboratories, Inc. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-11-24 Schmidt, Donal R. Esq., CPA GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-11-26 Bond-Nelson, Stephen G. GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2025-11-26 Taylor, Trevor L. GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2025-11-26 Tournant, Gregoire P. GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2025-11-30 Miguel, Thomas San GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-12-02 Virtu Americas LLC GenslerApproved PeirceApproved with ExceptionApproved except as to the Section 17(a)(2)-(3) charges LeeApproved CrenshawApproved LizárragaApproved 2025-12-02 Virtu Financial Inc. GenslerApproved PeirceApproved with ExceptionApproved except as to the Section 17(a)(2)-(3) charges; the permanent injunction; the disgorgement and prejudgment interest, and the penalty LeeApproved CrenshawApproved LizárragaApproved 2025-12-03 Collins, James R. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-12-03 DiMeo, Robert F. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-12-03 Kamboj, Akshay GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-12-10 Oppenheimer & Co., Inc. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-12-11 D3 Gestion Immobiliere LLC (Florida LLC) GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-12-11 D3 Gestion Immobiliere LLC (Michigan LLC) GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-12-11 De Bastos, Paulo Fernando GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-12-11 Fonseca De Bastos, Joao Pedro GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-12-11 RBF Trust LLC (Florida LLC) GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-12-11 RBF Trust LLC (Michigan LLC) GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-12-12 Mason, Scott J GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaNot Present 2025-12-12 Orchard Park Real Estate Holdings LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaNot Present 2025-12-12 Rubicon Wealth Management, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaNot Present 2025-12-16 Fondo Toltec S de RL de CV GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-12-16 Mendia-Alcaraz, Bernardo GenslerApproved PeirceApproved with ExceptionApproved except as to the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2025-12-16 Ramirez Cano, Edith F. GenslerApproved PeirceNot Approved CrenshawApproved UyedaApproved LizárragaApproved 2025-12-16 Toltec Capital LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-12-16 Nightingale Properties, LLC UyedaApproved PeirceApproved CrenshawApproved 2025-12-16 Schwartz, Elchonon UyedaApproved PeirceApproved CrenshawApproved 2025-12-22 Demos, George N. UyedaApproved PeirceApproved with ExceptionApproved except as to the disgorgement, prejudgment interest, and officer and director bar CrenshawApproved 2025-12-23 Khachatryan, Artur AtkinsApproved PeirceApproved with ExceptionApproved except as to the disgorgement and prejudgement interest CrenshawApproved UyedaApproved 2025-12-29 Stiles, Edward Gray Jr. GenslerApproved PeirceApproved with ExceptionApproved except as to the disgorgement and prejudgment interest CrenshawApproved UyedaApproved LizárragaApproved 2025-12-29 Stiles, James Andrew Jr. GenslerApproved PeirceApproved with ExceptionApproved except as to the disgorgement, prejudgment interest, and officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2025-10-01 Braegelmann, Thomas GenslerApproved PeirceApproved with ExceptionApproved except as to the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2025-10-01 Secured Real Estate Income Fund I, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-10-01 Sullivan, Matthew GenslerApproved PeirceApproved with ExceptionApproved except as to the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2025-10-01 Tralka, Charles GenslerApproved PeirceApprovedApproved except as to the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2025-10-02 Integrated Consulting & Management, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-10-02 Melton, Marshall E. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-10-02 Lacy, Tyrone Johnny Jr. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-10-07 Naderi, Cyrus P. AtkinsApproved PeirceApproved CrenshawNot Present UyedaApproved 2025-10-14 Vivid Financial Management, Inc. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-10-17 Waters, Andrew Wyles GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-10-17 Waters, Helen Q. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-10-20 MintBroker International, Ltd. LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2025-10-28 Ward, James O. Jr. GenslerApproved PeirceApproved with ExceptionApproved except as to the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2025-11-19 VCM Global Asset Management Ltd. AtkinsApproved PeirceApproved with ExceptionApproved except as to the Section 206(4) charge CrenshawApproved UyedaApproved 2025-11-19 Vukota, Tomislav AtkinsApproved PeirceApproved with ExceptionApproved except as to the Section 206(4) charge CrenshawApproved UyedaApproved 2025-11-19 Vukota Capital Management, LLC AtkinsApproved PeirceApproved CrenshawApproved UyedaApproved 2025-11-20 Barr, Robert L. GenslerApproved PeirceApproved with ExceptionApproved except as to the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2025-11-20 Good Steward Capital Management, Inc. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-11-20 Secured Real Estate Income Strategies, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-11-21 Early, Demetrius L. AtkinsApproved PeirceApproved CrenshawApproved UyedaApproved 2025-11-24 Jefferson, Kevin L. AtkinsApproved PeirceApproved CrenshawApproved UyedaApproved 2025-02-28 DiRicco, Dennis GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2025-06-24 Bleckley, Nathan GenslerApproved PeirceApproved with ExceptionApproved except as to the disgorgement and prejudgment interest CrenshawApproved UyedaApproved LizárragaApproved 2025-06-24 Forlano, Stephen Anthony GenslerApproved PeirceApproved with ExceptionApproved except as to the disgorgement and prejudgment interest CrenshawApproved UyedaApproved LizárragaApproved 2025-06-24 Salamone, Christopher GenslerApproved PeirceApproved with ExceptionApproved except as to the disgorgement and prejudgment interest CrenshawApproved UyedaApproved LizárragaApproved 2025-09-10 Casey, Thomas GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2025-09-10 Global Business Development and Consulting Corp. GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2025-09-10 Mastroianni, Anthony Jr. GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2025-09-11 Giltman, Allen C. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-09-11 Golden Genesis, Inc. GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2025-09-11 Minuskin, Julie GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2025-09-11 Stoll, Joshua GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2025-09-15 Milton, Trevor R. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-09-15 Cole, Ryan AtkinsApproved PeirceApproved with ExceptionApproved except as to the disgorgement and prejudgment interest CrenshawApproved UyedaApproved 2025-09-19 Agridime LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-09-19 Link, Joshua GenslerApproved PeirceApproved with ExceptionApproved except as to the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2025-09-19 Wood, Jed GenslerApproved PeirceApproved with ExceptionApproved except as to the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2025-09-24 Elmaani, Amir Bruno ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2025-09-25 Azarmehr, Lixin GenslerApproved PeirceApproved CrenshawApproved UyedaApproved 2025-09-25 JL Real Estate Development Corporation GenslerApproved PeirceApproved CrenshawApproved UyedaApproved 2025-09-25 Nevada Skilled Nursing Development, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-09-25 Nevada Skilled Nursing Lender, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-09-26 Mercado, Frank Lynold GenslerApproved PeirceApproved with ExceptionApproved except as to officer and director bar CrenshawNot Participating UyedaApproved LizárragaApproved 2025-09-26 Tiger Wolf Capital, LLC GenslerApproved PeirceApproved CrenshawNot Participating UyedaApproved LizárragaApproved 2025-10-01 Miller, Robert Hillis ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2025-10-20 Gentile, Guy LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2025-10-02 Viggiano, Anthony GenslerApproved PeirceApproved with ExceptionApproved except as to the disgorgement and prejudgment interest CrenshawApproved UyedaApproved LizárragaApproved 2025-10-03 Corbman, Andrew Scott AtkinsApproved PeirceApproved with ExceptionApproved except as to the disgorgement CrenshawApproved UyedaApproved 2025-10-21 Patel, Pathyam AtkinsApproved PeirceApproved CrenshawNot Approved UyedaApproved 2025-08-27 Johnson, Jason GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-02-11 Autobahn Performance LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-02-11 Bagpipe Holdings LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-02-11 Bagpipe Multimedia LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-02-11 Hidden Springs Holdings Group LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-02-11 INR Consulting LLC (California Entity) GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-02-11 INR Consulting LLC (Wyoming Entity) GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-02-11 INR-CA Investment Holdings, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-02-11 Integrated National Resources, Inc. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-02-11 Oceans 19 Inc. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-02-11 One Click General Media Inc. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-02-11 Opus Collective GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-02-11 Total Solution Construction LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-02-11 West Coast Development LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-02-13 Bovee, Alexandria Porter GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-07-23 Borenstein, Abraham GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-07-23 Brown, Anthony GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-07-25 AmeriStar, LLC GenslerApproved PeirceApproved with ExceptionApproved except as to the temporary restraining order and the order to show cause why the temporary restraining order should not continue CrenshawApproved UyedaApproved LizárragaApproved 2025-07-25 AmeriStar MK Ltd. Liability Company GenslerApproved PeirceApproved with ExceptionApproved except as to the temporary restraining order and the order to show cause why the temporary restraining order should not continue CrenshawApproved UyedaApproved LizárragaApproved 2025-07-25 Freitag, Fred W. IV GenslerApproved PeirceApproved with ExceptionApproved except as to the temporary restraining order and the order to show cause why the temporary restraining order should not continue CrenshawApproved UyedaApproved LizárragaApproved 2025-07-25 HighLine Gold Inc. GenslerApproved PeirceApproved with ExceptionApproved except as to the temporary restraining order and the order to show cause why the temporary restraining order should not continue CrenshawApproved UyedaApproved LizárragaApproved 2025-07-25 Kashman, Brian M. AtkinsApproved PeirceApproved with ExceptionApproved except as to the disgorgement and prejudgment interest CrenshawApproved UyedaApproved 2025-07-31 Zucco, Matthew J. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-07-31 Cuesta, Christian A. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-08-04 Pereira, Paul A. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-08-06 Burleson, James GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-08-08 Rodriguez, Jesus GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-08-08 Moretz, Garrett GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-08-11 Olayinka Oyebola & Co. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-08-11 Oyebola, Olayinka Temitope GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-08-14 Mufareh, Ashraf GenslerApproved PeirceApproved with ExceptionApproved except as to the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2025-08-14 Mufareh, Asmahan GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-08-14 OnPassive LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-08-14 Financial Freedom Foundation GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-08-14 Stucki, Brandon K. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-08-14 Thompson, Robert M. GenslerApproved PeirceApproved with ExceptionApproved except as to the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2025-08-20 Campbell, Tyler GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-08-20 Delgado, Michael GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-08-20 Hirschmann, Rolf Max GenslerApproved PeirceApproved with ExceptionApproved except as to the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2025-08-20 Williams, Patrick Earl GenslerApproved PeirceApproved with ExceptionApproved except as to the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2025-08-26 Drexler, Ryan C. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-08-27 Marino, John Mark GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-09-04 Ellison-Meade, Austin D. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-03-03 1178137 BC LTD GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-03-03 Alternative Office Solutions, LLC GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-03-03 Arcooil Corp. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-03-03 Barron Energy Corporation GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-03-03 Barron Petroleum LLC GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-03-03 Brunson, Rustin Esq. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-03-03 Carson Oil Field Development Fund II, LP GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-03-03 Dallas Resources Inc. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-03-03 Dodson Prairie Oil & Gas LLC GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-03-03 Encypher Bastion, LLC GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-03-03 Heartland Drilling Fund I, LP GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-03-03 The Heartland Group Fund III, LLC GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-03-03 Heartland Production and Recovery Fund II LLC GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-03-03 Heartland Production and Recovery LLC GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-03-03 Heartland Production and Recovery Fund LLC GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-03-03 IGroup Enterprises LLC GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-03-03 Ikey, Bridy GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-03-03 Ikey, James Stewart GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-03-03 Leading Edge Energy, LLC GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-03-03 Panther City Energy LLC GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-03-03 Sahota Capital LLC GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-03-03 The Heartland Group Ventures, LLC GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-06-20 1800 Diagonal Lending, LLC GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved LizárragaApproved 2025-06-20 Geneva Roth Remark Holdings, Inc. GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved LizárragaApproved 2025-06-20 Kramer, Curt GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved LizárragaApproved 2025-06-20 Power Up Lending Group Ltd. GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved LizárragaApproved 2025-07-02 Cobb, Eric McKenzie GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-07-07 Guess & Co. Corporation GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-07-07 Guess, Jerry D. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-07-09 Gu, Suyun GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-07-09 Jacobson, Marian GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-07-09 Jacobson, Steven J. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-07-10 Fernandez, Diana Mae GenslerApproved PeirceApproved with ExceptionApproved except as to the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2025-07-14 Cuculich, Robert GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-07-14 Pinnacle Advisors, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-07-14 Quilty, Benjamin GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-07-14 Wadach, Mark GenslerApproved PeirceNot Approved CrenshawApproved UyedaApproved LizárragaApproved 2025-07-14 Williamson, Lawton "Charlie" GenslerApproved PeirceNot Approved CrenshawApproved UyedaApproved LizárragaApproved 2025-07-18 Church, Brendan H. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-07-18 Church, Edwin N. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-07-18 Thompson, Robert Brian GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-07-21 Old South Trading Co., LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-07-28 Sahota, Harprit GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-07-28 Sahota, Manjit Singh GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-07-28 Sahota, Monrose GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-07-28 Sahota, Sunny GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-07-29 Gupta, Dishant GenslerApproved PeirceApproved with ExceptionApproved except as to the disgorgement, prejudgment interest, and officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2025-07-29 Rocha, Jose D. GenslerApproved PeirceNot Participating CrenshawApproved UyedaApproved LizárragaApproved 2025-07-31 CF3 Enterprises, LLC GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-07-31 Chang, Billy GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-07-31 Cuesta, Christian Alberto GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-07-31 Fitchett, Clarence GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-07-31 Gandy, Robert GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-07-31 Givens-Gandy, Kathy GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-07-31 Silverback Promotions, LLC GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-02-06 Bendelac, Roger GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2025-02-06 Capellini, Thomas GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2025-03-10 Wexler, Michael ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2025-05-22 L2 Capital, LLC GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved LizárragaApproved 2025-05-22 Long, Adam R. GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved LizárragaApproved 2025-05-22 Oasis Capital, LLC GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved LizárragaApproved 2025-05-27 Knight, Brehnen ClaytonApproved SteinApproved JacksonApproved PeirceApproved RoismanApproved 2025-05-30 Ichabod’s Cranium Inc. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-05-30 Medallion Financial Corp. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-05-30 Meyers, Lawrence GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-05-30 Murstein, Andrew GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-06-02 GHAP, LLC d/b/a Blue Star Texas GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved LizárragaApproved 2025-06-02 Speers, Brady Jack GenslerApproved PeirceApproved w/ ExceptionApproved except as to the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2025-06-02 Thiranon, Chatree GenslerApproved PeirceApproved w/ ExceptionApproved except as to the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2025-06-03 Crews, Keith GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-06-04 Brite Advisors USA, Inc. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-06-06 Balina, Ian GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved LizárragaApproved 2025-06-06 Salandra, Anthony GenslerApproved PeirceApproved w/ ExceptionApproved except as to the disgorgement and pre-judgment interest LeeApproved CrenshawNot Approved 2025-06-10 Ross, Barton S. ClaytonApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-06-10 Golsharifi, Nima GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-06-10 NDB, Inc. GenslerApproved PeirceApproved w/ ExceptionApproved except as to the conduct-based injunction CrenshawApproved UyedaApproved w/ ExceptionApproved except as to the conduct-based injunction LizárragaApproved 2025-06-11 Ballout, Benjamin GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-06-11 Zayed, Mohamed GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-06-12 Lopez, Sergio Damian AtkinsApproved PeirceApproved CrenshawApproved UyedaApproved 2025-06-12 El Capitan Advisors, Inc. AtkinsApproved PeirceApproved CrenshawApproved UyedaApproved 2025-06-12 Nash, Andrew Daniel AtkinsApproved PeirceApproved CrenshawApproved UyedaApproved 2025-06-13 Ramaraj, Babu GenslerApproved PeirceApproved w/ ExceptionApproved except as to the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2025-06-18 Auctus Fund Management LLC GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved LizárragaApproved 2025-06-18 Auctus Fund, LLC GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved LizárragaApproved 2025-06-18 Posner, Louis GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved LizárragaApproved 2025-06-18 Sollami, Alfred GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved LizárragaApproved 2025-06-20 Chicago Venture Partners, L.P. ClaytonApproved PeirceNot Approved RoismanApproved LeeApproved CrenshawApproved 2025-06-20 Fife, John M. ClaytonApproved PeirceNot Approved RoismanApproved LeeApproved CrenshawApproved 2025-06-20 Iliad Research and Trading, L.P. ClaytonApproved PeirceNot Approved RoismanApproved LeeApproved CrenshawApproved 2025-06-20 St. George Investments LLC ClaytonApproved PeirceNot Approved RoismanApproved LeeApproved CrenshawApproved 2025-06-20 Tonaquint, Inc. ClaytonApproved PeirceNot Approved RoismanApproved LeeApproved CrenshawApproved 2025-06-20 Typenex Co-Investment, LLC ClaytonApproved PeirceNot Approved RoismanApproved LeeApproved CrenshawApproved 2025-06-23 Scalise, Peter III AtkinsApproved PeirceApproved CrenshawApproved UyedaApproved 2025-06-23 The3rdBevco Inc. AtkinsApproved PeirceApproved CrenshawApproved UyedaApproved 2025-06-27 Greyling, Clinton GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2025-06-30 Caine, Anthony GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-06-30 LJM Funds Management, Ltd. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-06-30 LJM Partners, Ltd. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-06-30 Parvataneni, Anish GenslerApproved PeirceApproved w/ ExceptionApproved except as to the Investment Advisers Act Sections 206(2), 206(4) and 206(4) and Investment Company Act Sections 15(b) and 34(b) charges RoismanApproved LeeApproved CrenshawApproved 2025-06-30 4TA Sports, Inc. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-06-30 NP Ventures Holdings, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-06-30 Palazzo, Nicholas A. GenslerApproved PeirceApproved w/ ExceptionApproved except as to the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2025-06-30 Play Caller Sports Gaming LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-07-01 Guayara, Bryant GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-05-23 LG Capital Funding, LLC GenslerApproved PeirceNot Approved LeeApproved CrenshawApproved 2025-05-23 Safdieh, Eli GenslerApproved PeirceNot Approved LeeApproved CrenshawApproved 2025-05-23 Forsythe, John Francis III GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved LizárragaApproved 2025-05-23 Tri-Bridge Ventures, LLC GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved LizárragaApproved 2025-05-29 BAM Management US Holdings Inc. GenslerApproved PeirceNot Participating CrenshawApproved UyedaNot Approved LizárragaApproved 2025-05-29 BAM Trading Services Inc. GenslerApproved PeirceNot Participating CrenshawApproved UyedaNot Approved LizárragaApproved 2025-05-29 Binance Holdings Limited GenslerApproved PeirceNot Participating CrenshawApproved UyedaNot Approved LizárragaApproved 2025-05-29 Changpeng Zhao GenslerApproved PeirceNot Participating CrenshawApproved UyedaNot Approved LizárragaApproved 2025-05-23 Greenberg, Boruch GenslerApproved PeirceNot Approved LeeApproved CrenshawApproved 2025-05-01 Balina, Ian GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved LizárragaApproved 2025-05-02 Lowe, Adam J. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-05-02 The Diamond Desk Corporation GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-05-02 Brackett, Michael GenslerApproved PeirceApproved with ExceptionApproved except as to the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2025-05-05 Santulan, Jeffrey S. a/k/a Jeffrey Ikahn GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2025-05-05 Safeguard Metals LLC GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2025-05-06 Alahakoon, Nishani GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-05-06 Janues Capital Incorporated GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-05-06 Perera, Surage Kamal Roshan GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-05-06 Hex GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-05-06 PulseChain GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-05-06 PulseX GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-05-06 Schueler, Richard aka Richard Heart GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-05-08 Rosas, Marco A. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-05-12 Bozzo, Victor GenslerApproved PeirceApproved with ExceptionApproved except as to the disgorgement CrenshawApproved UyedaApproved LizárragaApproved 2025-05-12 O’Donnell, Edward CPA GenslerApproved PeirceApproved with ExceptionApproved except as to the disgorgement CrenshawApproved UyedaApproved LizárragaApproved 2025-05-12 Parrino, Charles GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-05-20 Rohr, Eric ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2025-05-20 Stumberger, Charles Darren ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2025-05-20 Patient Access Solutions, Inc. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-05-22 Melnick, Mark GenslerApproved PeirceApproved with ExceptionApproved except as to the disgorgement and prejudgment interest RoismanApproved LeeApproved CrenshawApproved 2025-05-23 Gellman, Daniel GenslerApproved PeirceNot Approved LeeApproved CrenshawApproved 2025-05-23 Lerman, Joseph GenslerApproved PeirceNot Approved LeeApproved CrenshawApproved 2025-03-14 Jean-Louis, Laesha GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-01-22 Padilla, Joseph A. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-03-26 1101 N. Arthur Ashe Blvd Investment LLC UyedaApproved PeirceApproved CrenshawApproved 2025-03-26 1101 N. Arthur Ashe Blvd LLC UyedaApproved PeirceApproved CrenshawApproved 2025-03-26 OMAM 1002-1058 Woodstock Ln LLC UyedaApproved PeirceApproved CrenshawApproved 2025-03-26 OMAM 1221 Scotts Manor Ct LLC UyedaApproved PeirceApproved CrenshawApproved 2025-03-26 OMAM 1625 W Pembroke LLC UyedaApproved PeirceApproved CrenshawApproved 2025-03-26 OMAM 1971-1991 Rochelle Ave LLC UyedaApproved PeirceApproved CrenshawApproved 2025-03-26 OMAM 2237 Taft Circle LLC UyedaApproved PeirceApproved CrenshawApproved 2025-03-26 OMAM Beamons Mill LLC UyedaApproved PeirceApproved CrenshawApproved 2025-03-26 OMAM Manager LLC UyedaApproved PeirceApproved CrenshawApproved 2025-03-26 ORC 223 Vine Street LLC UyedaApproved PeirceApproved CrenshawApproved 2025-03-26 ORC KP Boulevard LLC UyedaApproved PeirceApproved CrenshawApproved 2025-03-26 OTD 1126 9th Street NW LLC UyedaApproved PeirceApproved CrenshawApproved 2025-03-26 OTD 1240 Mount Olivet Road LLC UyedaApproved PeirceApproved CrenshawApproved 2025-03-26 OTD 2106-2108 Vermont Ave LLC UyedaApproved PeirceApproved CrenshawApproved 2025-03-26 Outlier Development LLC UyedaApproved PeirceApproved CrenshawApproved 2025-03-26 Outlier Manager LLC UyedaApproved PeirceApproved CrenshawApproved 2025-03-26 Outlier Multifamily Asset Management LLC UyedaApproved PeirceApproved CrenshawApproved 2025-03-26 Outlier Newpointe Lynbrook LLC UyedaApproved PeirceApproved CrenshawApproved 2025-03-26 Outlier OMAM Holdco LLC UyedaApproved PeirceApproved CrenshawApproved 2025-03-26 Outlier OTD Holdco LLC UyedaApproved PeirceApproved CrenshawApproved 2025-03-26 Outlier PS-KP Holdco LLC UyedaApproved PeirceApproved CrenshawApproved 2025-03-26 Outlier PS-KP Holdings GP LLC UyedaApproved PeirceApproved CrenshawApproved 2025-03-26 Outlier PS-KP Manager LLC UyedaApproved PeirceApproved CrenshawApproved 2025-03-26 Outlier Realty Capital Management LLC UyedaApproved PeirceApproved CrenshawApproved 2025-03-26 Outlier-ERI Newpoint Lynbrook LLC UyedaApproved PeirceApproved CrenshawApproved 2025-03-26 Outlier-RM Vine Street LLC UyedaApproved PeirceApproved CrenshawApproved 2025-03-26 PS KP 2019 (MT) LP UyedaApproved PeirceApproved CrenshawApproved 2025-03-26 Stuart, Peter UyedaApproved PeirceApproved with ExceptionApproved except as to the officer and director bar CrenshawApproved 2025-03-27 Cumberland DRW LLC GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved LizárragaApproved 2025-04-07 Silver Point Capital, L.P. GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved LizárragaApproved 2025-04-09 Kennedy, David Andrew LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2025-04-09 Robinson, James Edward LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2025-04-09 Menard, Marc Henry GenslerApproved PeirceApproved with ExceptionApproved except as to the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2025-04-10 Barone, Frank GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-04-10 Chumenko, Kirill GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-04-10 Palatnik, Igor GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-04-11 Mallu, Dayakar R. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-04-11 Patel, Milan V. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-04-14 Quick, Jamie GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-04-14 BorrowMoney.com, Inc. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-04-14 Piscitello, Aldo GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-04-15 Smith, Steve A. Jr. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-04-15 Xtreme Fighting Championships, Inc. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-04-15 Fernandez, Karina N. Esq. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-04-16 Hernandez, Carlos GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-04-18 Medoff, Craig GenslerApproved PeirceApproved CrenshawApproved UyedaApproved Lizárraga Approved 2025-04-23 Nova Labs, Inc. GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved Lizárraga Approved 2025-04-24 Davenport, Dawson L. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-04-24 Gunton, Robert A. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-04-24 Lindstrom, Andrea J. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-04-24 Owens, Michael P. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-04-24 Tillman, Dustin B. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-04-24 Yale, Julie A. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-04-24 Zia, Zeeshawn S. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-04-24 Dragonchain Foundation GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved Lizárraga Approved 2025-04-24 Dragonchain, Inc. GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved Lizárraga Approved 2025-04-24 Roets, John Joseph GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved Lizárraga Approved 2025-04-24 The Dragon Company GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved Lizárraga Approved 2025-04-24 Castro Leon, Joel David GenslerApproved PeirceApproved CrenshawApproved UyedaApproved Lizárraga Approved 2025-04-24 Sherr, Shmuel A. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved Lizárraga Approved 2025-04-24 CannaCloud, Inc. UyedaApproved PeirceApproved CrenshawApproved 2025-04-24 D.A. Spargo & Co. LLC UyedaApproved PeirceApproved CrenshawApproved 2025-04-24 Spargo, David UyedaApproved PeirceApproved CrenshawApproved 2025-04-29 Langemeier, Loral L. GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2025-04-29 Live Out Loud, Inc. GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2025-02-20 BioTek Holdings LLC GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-02-20 Capital Care Management LLC GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-02-20 Cargnino, Susann GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-02-20 Cargnino, Zachari GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-02-20 Diagnostic Link Ltd GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-02-20 Tek Wellness Inc. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-02-20 Vital Systems Ltd LLC GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-02-20 Youssef, Gary GenslerApproved PeirceApproved with ExceptionApproved except as to the conduct-based injunction RoismanApproved LeeApproved CrenshawApproved 2025-02-20 Youssef, Julie Ann GenslerApproved PeirceApproved with ExceptionApproved except as to the conduct-based injunction RoismanApproved LeeApproved CrenshawApproved 2025-02-25 Harrison, Ron Keith GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-02-25 Bullard Enterprises, LLC GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-02-25 Bullard, Jason Dodd GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-02-25 DLJ Real Estate L.L.C. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-02-25 Empire Investments L.L.C. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-02-25 Empire Racing Stables L.L.C. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-02-25 Romero-Bullard, Angela GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-02-25 TI 13 L.L.C. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-02-25 Norman Meier International, Inc. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-02-28 Coinbase Global, Inc. GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved LizárragaApproved 2025-02-28 Coinbase, Inc. GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved LizárragaApproved 2025-03-06 D Dollar, Inc. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-03-06 Nukarapu, Dharma Teja GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-03-06 SharkDreams, Inc. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-03-06 Acosta, Rey D. UyedaApproved PeirceApproved CrenshawApproved 2025-03-07 Whittington, Charlie V. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-03-07 Baker, Anthony Michael GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2025-03-07 Herman, Justin Wallace GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2025-03-07 Island Capital Inc. GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2025-03-07 Baston, Wilson GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-03-11 Rivetz Corp. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-03-11 Rivetz International SEZC GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-03-11 Sprague, Steven K. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-03-13 Meier, Norman Victor GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-03-13 Texxon Oil Corp. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-03-13 Treuhand, Inc. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-03-13 Windeco Corporation GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-03-14 Collector's Coffee, Inc ClaytonApproved JacksonApproved PeirceApproved RoismanApproved 2025-03-14 Kontilai, Mykalai ClaytonApproved JacksonApproved PeirceApproved RoismanApproved 2025-03-14 Kontilai, Veronica Yliana ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2025-03-17 Matson, John N. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-03-17 South Bay Acquisitions, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-03-17 International Financial Services GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-03-19 Egbon, Blessing K. GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-03-19 Cambridge Investment Research Advisors, Inc. GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2025-03-20 Cambridge Investment Research, Inc. GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2025-03-25 Flippen, Penny GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2025-03-25 Mooney, Michael GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2025-03-25 Wright, Britt GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2025-03-26 Randolph, Richard J. III LeeApproved PeirceApproved RoismanApproved CrenshawApproved 2025-03-27 Payward Ventures, Inc. GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved LizárragaApproved 2025-03-27 Payward, Inc. GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved LizárragaApproved 2025-03-27 Consensys Software Inc. GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved LizárragaApproved 2025-03-28 Webb, Jonathan PeirceApproved CrenshawApproved UyedaApproved 2025-04-01 Niranjan, Akshay GenslerApproved PeirceApproved with ExceptionApproved except as to the disgorgement and prejudgment interest CrenshawApproved UyedaApproved LizárragaApproved 2025-02-04 Clever Solution Inc. ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2025-01-29 Wang, Xiaosong ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2025-01-31 Wong, Andre GenslerApproved PeirceApproved with ExceptionApproved except as to the disgorgement, prejudgment interest, and officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2025-01-31 Rebeiz, Gabriel GenslerApproved PeirceApproved with ExceptionApproved except as to the disgorgement, prejudgment interest, and officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2025-02-03 Zhu, Eric GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-02-04 Centum Fintech LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-02-04 Gounder, Sakthivel Palani GenslerApproved PeirceApproved with ExceptionApproved except as to the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2025-02-04 GSM Eternal LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-02-04 Himalayan FinTech LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-02-04 Krishnan, Gopala GenslerApproved PeirceApproved with ExceptionApproved except as to the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2025-02-04 Nanban Ventures LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-02-04 Shanmugan, Manivannan GenslerApproved PeirceApproved with ExceptionApproved except as to the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2025-02-05 Grybniak, Sergii ClaytonApproved JacksonApproved PeirceApproved with ExceptionApproved except as to the Section 5 charges RoismanApproved LeeApproved 2025-02-05 Opporty International, Inc. ClaytonApproved Jackson Approved PeirceApproved with ExceptionApproved except as to the Section 5 charges RoismanApproved LeeApproved 2025-02-05 Groom, Matthew GenslerApproved PeirceNot Approved CrenshawApproved UyedaNot Approved LizárragaApproved 2025-02-07 Auzins, Ivars GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-02-20 Garcia Jimenez, Eugenio Jr. ClaytonApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-01-14 Stack, William Andrew Esq. RoismanApproved PeirceApproved LeeApproved CrenshawApproved 2025-01-02 Caridi, Michael GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-01-02 Entergy Corporation GenslerApproved PeirceNot Approved CrenshawApproved UyedaApproved with ExceptionApproved except as to the penalty LizárragaApproved 2025-01-03 Kirchner, Christopher S. GenslerApproved PeirceApproved with ExceptionApproved except as to the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2025-01-07 Ou, Sai-Hong Ignatius GenslerApproved PeirceApproved with ExceptionApproved except as to disgorgement, prejudgment interest, and officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2025-01-08 Ichioka, William GenslerApproved PeirceApproved with ExceptionApproved except as to the officer and director bar CrenshawApproved UyedaApproved LizárragaApproved 2025-01-09 Dharmapurikar, Abhishek GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2025-01-09 Kamujula, Dileep Kumar Reddy GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2025-01-09 Lagudu, Lokesh GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2025-01-09 Nekkalapudi, Sai Mounika GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2025-01-09 Pulagam, Chetan Prabhu Sree Karteek GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2025-01-09 Pulagam, Chotu Prabhu Tej GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2025-01-09 Sure, Hari Prasad GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2025-01-10 Kennedy, Christopher Booth GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-01-13 Plutus Lending LLC GenslerApproved PeirceNot Approved CrenshawApproved UyedaApproved LizárragaApproved 2025-01-14 Susoeff, Steven James GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-01-10 Alvis, Manuel GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2025-01-14 Steve Susoeff, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-01-15 American Eagle Mortgage Management, LLC GenslerApproved PeirceApproved LeeApproved CrenshawApproved 2025-01-15 American Equities, Inc. 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GenslerApproved PeirceApproved with ExceptionApproved except as to the Section 17(a) and Rule 13a-1 charges and the penalty CrenshawApproved UyedaNot Approved LizárragaApproved 2025-01-22 Aksarben Evolution, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-01-22 AV Bhill, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-01-22 CFH Texas, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-01-22 Green Saddle, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-01-22 Kubler Consulting, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-01-22 Kubler Financial, Inc. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-01-22 Kubler, Jon P. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-01-22 Midwest PEG, LLC GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-01-24 Choi, Ryan GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved 2025-01-27 Poerio, Frank T. Jr. GenslerApproved PeirceApproved with ExceptionApproved except as to the disgorgement and prejudgment interest CrenshawApproved UyedaApproved LizárragaApproved 2025-01-28 Crystal World Holdings, Inc. ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2025-01-28 New Sports Economy Institute ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2025-01-28 Rabalais, Christopher Paul ClaytonApproved JacksonApproved PeirceApproved RoismanApproved LeeApproved 2025-01-28 Boucher, Jason M. CPA GenslerApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 2025-01-31 Burgos, Nathalia I. GenslerApproved PeirceApproved CrenshawApproved UyedaApproved LizárragaApproved