Other

Archive of Terminated Fair Funds and Disgorgement Plans

July 15, 2022

For information on how the SEC administers Fair Funds, see Rules of Practice and Rules on Fair Funds and Disgorgement Plans. For information on the current tax administrator, see Release No. 34-81057 (June 30, 2017). For information on the previous tax administrator, see Release No. 34-68683 (January 17, 2013).

List of Cases

Aladdin Capital Management LLC and Aladdin Capital LLC and Joseph A. Schlim. (3-15134, 3-15135)
Alliance Capital Management, L.P. (3-11359)
Alexander Rekeda; Xavier Capdepon and Gwen Snorteland; and Delaware Asset Advisers and Wei (Alex) Wei (3-14952, 3-14953, 3-14954)
Alphabridge Capital Management, LLC, Thomas T. Kutzen and Michael J. Carino (3-16670)
Ameriprise Financial Services, Inc. (3-13544)
Ameriprise Financial Services, Inc. (formerly American Express Financial Advisors Inc.) (3-12115)
American Skandia Investment Services, Inc. (3-13446)
AmSouth Bank, N.A. (now known as Regions Bank), and AmSouth Asset Management, Inc. (now known as Morgan Asset Management) (3-13230)
Apex Fund Services (US), Inc. (3-17300)
Ark Asset Management Co., Inc. (3-13714)
Armando Ruiz and Maradon Holdings, LLC (3-14388)
Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC (3-11818)
Banc of America Securities, LLC (3-12591)
Banc One Investment Advisors Corporation and Mark A. Beeson (3-11530)
Barclays Capital Inc. (3-17978)
Bear, Stearns & Co., and Bear, Stearns Securities Corp. (3-12238)
BISYS Fund Services (3-12432)
BNY Mellon Securities LLC and Mark Shaw (3-14191, 3-14192)
BOKF, NA, and Lawson Financial Corporation and Robert Lawson (3-17533; 3-17901)
Bridgeway Capital Management, Inc. and John Noland Ryan Montgomery (3-11659)
Burrill Capital Management, LLC; G. Steven Burrill, CPA; Victor A. Hebert, Esq.; and Helena C. Sen, CPA (3-17186)
Cadaret and Grant & Co., Inc. (3-18087)
Cadaret, Grant & Co., Inc., Arthur Grant, Beda Lee Johnson, and Eugene Long (3-18738)
Canadian Imperial Holdings Inc. and CIBC World Markets Corp. (3-11987)
Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Network; Detwiler, Mitchell, Fenton & Graves, Inc.; James X. McCarty (3-12749, 3-12750, 3-12751)
Comprehensive Capital Management, Inc. (3-15393)
Credit Suisse Securities (USA) LLC, DLJ Mortgage Capital, Inc., Credit Suisse First Boston Mortgage Acceptance Corp., Credit Suisse First Boston Mortgage Securities Corp., and Asset Backed Securities Corporation (3-15098)
Credit Suisse Securities (USA) LLC; Sanford Michael Katz (3-17899 and 3-17900)
David Henry Disraeli and Lifeplan Associates, Inc. (3-12288)
Dennis Gibb and Sweetwater Investments, Inc. (3-19123)
Dominick & Dominick LLC and Robert X. Reilly (3-15987)
Edward D. Jones & Co., L.P. (3-16751)
Edward D. Jones & Co., L.P. (3-11780)
Equinox Fund Management, LLC (3-17057)
Evergreen Investment Management Company, LLC and Evergreen Investment (3-13507)
Evergreen Investment Management Company, LLC, Evergreen Investment Services, Inc., Evergreen Service Company, LLC, and Wachovia Securities, LLC (3-12805)
Federated Investment Management Company, Federated Securities Corp. and Federated Shareholder Services Company (3-12111)
Folger Nolan Fleming Douglas Capital Management, Inc., Neil C. Folger and David M. Brown (3-12737)
Founding Partners Capital Management Company and William Gunlicks (3-12896)
Franklin Advisers, Inc. (3-11572)
Franklin Advisers, Inc. and Franklin/Templeton Distributors, Inc. (3-11769)
Freedom Financial, Inc., Freedom Track, Inc., Freedom Financial Group, Inc., Associated Investment Management, Inc., Jon Patrick Pierce, Gary L. Winn (3-11246)
Fremont Investment Advisors, Inc. (3-11726)
Gabelli Funds LLC (3-13019)
Gary L. Pilgrim (3-11739)
General American Life Insurance Company and William C. Thater (3-12720)
Gerald T. Malone (3-11914)
Gerson Asset Management, Inc. and Seth Gerson (3-12121)
GLG Partners, Inc. and GLG Partners, L.P. (3-15641)
Goelzer Investment Management, Inc. and Gregory W. Goelzer (3-15400)
Grant Thornton, LLP; Doeren Mayhew & Co., P.C.; Peter M. Behrens, CPA; Marvin J. Morris, CPA and Benedict P. Rybicki, CPA (3-11377)
Gray Financial Group, Inc., Laurence O. Gray, and Robert C. Hubbard, IV (3-16554)
Harbour Investments, Inc. (3-18760)
Harold J. Baxter (3-11740)
Heartland Advisors, Inc., William J. Nasgovitz, Paul T. Beste, Thomas J. Conlin, Greg D. Winston, Kevin D. Clark, Kenneth J. Della, and Hugh F. Denison (3-12936)
Hennessee Group LLC and Charles J. Gradante (3-13454)
Huntington Bancshares, Inc., Thomas E. Hoaglin, Michael J. McMennamin, and John Van Fleet, CPA (3-11940)
Huron Consulting Group Inc., Gary L. Burge, CPA, and Wayne F. Lipski, CPA (3-14958)
International Equity Advisors, LLC and Richard Roger Lund (3-12068)
Invesco Funds Group, Inc., AIM Advisors, Inc., and AIM Distributors, Inc. (3-11701)
Inviva, Inc. and Jefferson National Life Insurance Company (3-11579)
Janus Capital Management LLC (3-11590)
Jefferies & Co., Inc. and Scott Jones (3-12495)
J. Michael Scarborough and Royal Alliance Associates, Inc. (3-11538)
John D. Carifa (3-11915)
John W. Adams and AIP, LLC (3-11676)
Joseph Stilwell and Stilwell Value LLC (3-16444)
J.P. Morgan Securities Inc. (3-13673)
Kenneth C. Meissner, James Doug Scott and Mark S. "Mike" Tomich (3-16175)
Knight Securities L.P (3-11771)
L.T. Lawrence & Co., Inc., Todd E. Roberti, and Lawrence Principato (3-9923)
Mary Beth Stevens (3-13553)
Massachusetts Financial Services Co. (3-11450)
Massachusetts Financial Services Co., John W. Ballen, and Kevin R. Parke (3-11393)
Maxwell Technologies, Inc., Van M. Andrews, David J. Schramm, and James W. Dewitt, Jr., CPA (3-18408)
Metis Wealth Advisors, LLC and Juan R. Montermoso (3-16955)
Michael D. Legoski (3-11620)
Michael J. Laughlin (3-11916)
Millennium Partners, L.P., Millennium Management, L.L.C., Millennium International Management, L.L.C., Israel Englander, Terence Feeney, Fred Stone, and Kovan Pillai; and Steven B. Markovitz (3-12116 and 3-11292)
Moore Stephens Wurth Frazer & Torbet LLP and K. Dean Yamagata, CPA (3-14167)
Morgan Asset Management, Inc.; Morgan Keegan & Company, Inc.; James C. Kelsoe, Jr.; and Joseph Thompson Weller, CPA (3-13847)
Morgan Stanley & Co. Incorporated (3-12631)
Morgan Stanley & Co. Incorporated (3-12907)
Morgan Stanley DW, Inc. (3-11335)
Nancy C. Tengler (3-11727)
New York Life Investment Management LLC (3-13487)
Oxbow Advisors, LLC (3-19817)
Packetport.com, Inc., Ronald Durando, Microphase Corp., Robert H. Jaffe, Gustave Dotoli, M. Christopher Agarwal, and Theodore Kunzog (3-12868)
Paul George Chironis (3-13869)
Paul W. Oliver, Jr. (3-13554)
Pilgrim Baxter & Associates, Ltd. (3-11524)
PA Fund Management LLC f/k/a PIMCO Advisors Fund Management LLC, PEA Capital LLC f/k/a PIMCO Equity Advisors LLC, and PA Distributors LLC f/k/a PIMCO Advisors Distributors LLC (3-11645)
Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Rose M. Rudden, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells (3-13532)
Prudential Equity Group, LLC f/k/a Prudential Securities Inc. (3-12400)
Putnam Investment Management LLC (3-11317)
Putnam Investment Management LLC (3-11868)
Raymond James Financial Services, Inc. and J. Stephen Putnam (3-11692)
RBC Capital Markets, LLC (formerly known as RBC Capital Markets Corp.) (3-14564)
Resolute Capital Partners Ltd, LLC, et al. (3-20597)
Ritchie Capital Management L.L.C., Ritchie Multi-Strategy Global Trading, Ltd., A.R. Thane Ritchie, and Warren Louis DeMaio (3-12947)
Robertson Stephens (3-11003)
Ronald E. Huxtable II (3-15748)
Ronald St. Clair, CPA, and Lawrence Swan, CA (3-14615)
RS Investment Management, Inc., RS Investment Management, L.P., G. Randall Hecht and Steven M. Cohen (3-11696)
Sarkauskas and Associates, Inc. and James M. Sarkauskas (3-15471)
SCF Investment Advisors, Inc. (3-19912)
Smith Barney Fund Management LLC and Citigroup Global Markets, Inc. (3-11935)
Southwest Securities, Inc., Daniel R. Leland, Kerry M. Rigdon and Kevin J. Marsh (3-11793)
Specialist: Bear Wagner Specialists LLC, Fleet Specialist, Inc., LaBranche & Co. LLC, Spear, Leeds & Kellogg Specialists LLC, Van der Moolen Specialists USA, LLC, Performance Specialist Group LLC, SIG Specialists, Inc. (3-11445, 3-11446, 3-11447, 3-11448, 3-11449, 3-11558, 3-11559)
Stephen R. Moynahan (3-13263)
Strong Capital Management, Inc. (3-12448)
Taberna Capital Management, LLC, Michael Fralin, and Raphael Licht (3-16776)
Thomas A. Kolbe (3-11618)
Timothy J. Miller (3-11619)
Tilden Loucks & Woodnorth, LLC, LaSalle St. Securities, LLC, and Ralph B. Loucks. (3-15081)
UBS Fin Servs (3-20401)
UBS Financial Services Inc. of Puerto Rico (3-14863)
UBS Willow Management L.L.C. and UBS Fund Advisor L.L.C.
Value Line, Inc., Value Line Securities, Inc., Jean Bernhard Buttner, and David Henigson (3-13675)
VCAP Securities, LLC, and Brett Thomas Graham (3-16389)
Veras Capital Master Fund, VEY Partners Master Fund, Veras Investment Partners, LLC, Kevin D. Larson, and James R. McBride (3-12133)
Voya Investments, LLC and Directed Services, LLC (3-18393)
Waddell & Reed, Inc., Waddell & Reed Investment Management Company, and Waddell & Reed Services Company (3-12372)
Weiss Research, Inc., Martin Weiss, and Lawrence Edelson (3-12341)
Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC and Shawn Patrick McMurtry (3-14982)
Wells Fargo Securities LLC (f/k/a Wachovia Capital Markets LLC) (3-14320)
West Coast Asset Management, Inc. and Lance W. Helfert (3-15660)
Yale I. Asbell (3-16163)
Zurich Capital Markets Inc. (3-12628)

Aladdin Capital Management LLC and Aladdin Capital LLC and Joseph A. Schlim

File Nos. 3-15134 and 3-15135

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-87890	Jan. 6, 2020	Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging Fund Administrator, and Terminating the Fair Fund
34-83996	Aug. 30, 2018	Order Directing Disbursement of Fair Fund
34-82400	Dec. 22, 2017	Order Directing Disbursement of Fair Fund
34-82183	Nov. 30, 2017	Order Approving Plan of Distribution
		Plan of Distribution
34-81910	Oct. 19, 2017	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-80742	May 22, 2017	Order Consolidating Fair Funds
34-71937	Apr. 11, 2014	Extension Order
34-71170	Dec. 20, 2013	Extension Order
34-70043	Jul. 26, 2013	Extension Order
34-68988	Feb. 26, 2013	Order Appointing Tax Administrator
34-68931	Feb. 14, 2013	Extension Order
33-9374 IA-3514	Dec. 17, 2012	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order (Aladdin Capital Management LLC and Aladdin Capital LLC)
33-9375 IA-3515	Dec. 17, 2012	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order (Joseph A. Schlim)

Alexander Rekeda; Xavier Capdepon and Gwen Snorteland; and Delaware Asset Advisers and Wei (Alex) Wei

File Nos. 3-14952, 3-14953, 3-14954

Note: Funds were transferred to the U.S. Treasury.

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-69600	May 16, 2013	Extension Order
34-68167	Nov. 6, 2012	Extension Order
33-9339 IA-3434	Jul. 18, 2012	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders (Delaware Asset Advisers And Wei (Alex) Wei, File No. 3-14952)
33-9340 34-67455 IC-30140	Jul. 18, 2012	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order (Alexander Rekeda, File No. 3-14953)
33-9341 34-67456 IC-30141	Jul. 18, 2012	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order (Xavier Capdepon and Gwen Snorteland, File No. 3-14954)

Alliance Capital Management, L.P.

File No. 3-11359

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-80528	Apr. 25, 2017	Order Directing Transfer of Remaining Funds and Any Future Funds Received by the Fair Fund to the U.S. Treasury, Discharging the Fund Administrator, and Terminating the Fair Fund
34-78033	Jun. 10, 2016	Order Directing Disbursement of Fair Fund
34-71591	Feb. 20, 2014	Order Directing Disbursement of Fair Fund
34-71274	Jan. 9, 2014	Order Amending the Plan of Distribution
34-64568	May 31, 2011	Order Directing Disbursement of Fair Fund
34-60446	Aug. 5, 2009	Order Directing Disbursement of Fair Fund
34-59926	May 14, 2009	Order Directing Disbursement of Fair Fund
34-59832	Apr. 28, 2009	Order Directing Disbursement of Fair Fund
34-59657	Mar. 31, 2009	Order Directing Disbursement of Fair Fund
34-59389	Feb. 11, 2009	Order Directing Disbursement of Fair Fund
34-59280	Jan. 22, 2009	Order Directing Disbursement of Fair Fund
34-57825	May 15, 2008	Order Approving Distribution Plan, Appointing a Fund Administrator, and Waiving Bond
		Final Plan of Distribution
34-57489	Mar. 13, 2008	Notice of Proposed Distribution Plan and Opportunity for Comment
		Proposed Plan of Distribution
34-51341	Mar. 9, 2005	Order Directing Appointment of Tax Administrator
IA-2205A IC-26312A	Jan. 15, 2004	Amended Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also, SEC Announces Start of $321 Million Fair Fund Distribution to Investors Harmed by Alliance Capital Market Timing (Press Release No. 2009-21, February 6, 2009)

Alphabridge Capital Management, LLC, Thomas T. Kutzen and Michael J. Carino

File No. 3-16670

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-80582	May 3, 2017	Order Authorizing the Transfer of Remaining Funds and Any Future Funds Returned to the Fair Fund to the United States Treasury and Terminating the Fair Fund

American Skandia Investment Services, Inc.

File No. 3-13446

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-73896	Dec. 19, 2014	Order Authorizing the Transfer of Residual Funds and Any Future Funds Received By the Fair Fund to the U.S. Treasury, Discharging the Fund Administrator, and Terminating the Fair Fund
34-67149	Jun. 6, 2012	Order Directing Disbursement of Fair Fund
34-66425	Feb. 17, 2012	Order Directing Disbursement of Fair Fund
34-64651	Jun. 13, 2011	Order Directing Disbursement of Fair Fund
34-63765	Jan. 25, 2011	Order Directing Disbursement of Fair Fund
34-62733	Aug. 16, 2010	Order Approving Plan of Distribution, Appointing Fund Administrator, and Waiving Bond
		Final Distribution Plan
34-62106	May 13, 2010	Notice of Proposed Distribution Plan and Opportunity for Comment
		Proposed Plan of Distribution
34-59984	May 27, 2009	Order Appointing Tax Administrator
33-9029	Apr. 17, 2009	Order Granting a Waiver
33-9028 34-59780	Apr. 17, 2009	Order Granting Waivers
IA-2867	Apr. 17, 2009	Order Instituting Administrative and Cease-and-Desist, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Ameriprise Financial Services, Inc.

File No. 3-13544

Note: Funds transferred to U.S. Treasury.

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
33-9051 34-60279	Jul. 10, 2009	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order

Ameriprise Financial Services, Inc. (formerly American Express Financial Advisors Inc.)

File No. 3-12115

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-81904	Oct. 19, 2017	Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-58388	Aug. 19, 2008	Order Directing Disbursement of Fair Fund
34-57639	Apr. 9, 2008	Order Approving Distribution Plan, Appointing an Administrator, and Waiving Bond
34-57341	Feb. 15, 2008	Notice of Proposed Distribution Plan and Opportunity for Comment Comments due: March 17, 2008
		Proposed Plan of Distribution
33-8638 34-52862	Dec. 1, 2005	Order Directing Appointment of Tax Administrator
33-8637 34-52861	Dec. 1, 2005	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also:

SEC Announces $32 Million Fair Fund Distribution in Ameriprise Revenue Sharing Settlement (Press Release No. 2008-229, September 25, 2008)
American Express Financial Advisors (Now Known as Ameriprise Financial Services, Inc.) to Pay $30 Million to Settle Revenue Sharing Charges (Press Release No. 2005-168, December 1, 2005)

AmSouth Bank, N.A. (now known as Regions Bank), and AmSouth Asset Management, Inc. (now known as Morgan Asset Management)

File No. 3-13230

RELEASE	DATE	NOTICE, ORDER, OR PLAN
IA-2784a IC-28387A	Sep. 23, 2008	Corrected Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(E) and 203(K) of the Investment Advisers Act of 1940, and Sections 9(B) and 9(F) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also, AmSouth to Pay $11 Million for Improper, Undisclosed Use of Funds to Pay Marketing, Other Expenses (Press Release No. 2008-222, September 23, 2008)

Apex Fund Services (US), Inc.

File No. 3-17300

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-89200	Jun. 30, 2020	Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund
34-85528	Apr. 5, 2019	Order Directing Disbursement of Fair Fund
34-84609	Nov. 16, 2018	Order Approving Amended Plan of Distribution
		Amended Distribution Plan
34-84415	Oct. 12, 2018	Notice of Amended Plan of Distribution and Opportunity to Comment
		Amended Proposed Plan of Distribution
34-83496	Jun. 22, 2018	Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
34-83131	Apr. 30, 2018	Notice of Proposed Plan of Distribution and Opportunity to Comment Comments received are available for this proposed plan.
		Proposed Plan of Distribution
34-82186	Nov. 30, 2017	Order Appointing Tax Administrator
IA-4429	Jun. 16, 2016	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order

Ark Asset Management Co., Inc.

File No. 3-13714

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-75265	Jun. 23, 2015	Order Authorizing The Transfer Of Remaining Funds And Any Future Funds Returned To The Disgorgement Fund To The U.S.Treasury, Discharging The Plan Administrator, And Terminating The Disgorgement Fund
34-70171	Aug. 13, 2013	Amended Order Directing Disbursement of Disgorgement Fund
34-67524	Jul. 27, 2012	Order Directing Disbursement of Disgorgement Fund
34-63993	Mar. 1, 2011	Order Approving Distribution Plan and Appointing a Plan Administrator
		Final Plan of Distribution
34-63666	Jan. 6, 2011	Notice of Proposed Distribution Plan and Opportunity for Comment
		Proposed Plan of Distribution
34-63118	Oct. 15, 2010	Order Appointing Tax Administrator
IA-3091	Sep. 29, 2010	Order Making Findings and Imposing Sanctions
IA-2962	Dec. 14, 2009	Order Instituting Cease and Desist Proceedings and Notice of Hearing

Armando Ruiz and Maradon Holdings, LLC

File No. 3-14388

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-71462	Jan. 31, 2014	Order Appointing Tax Administrator
33-9301 34-66573 IC-29978	Mar. 12, 2012	Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order
33-9209 34-64501 IC-29672	May 16, 2011	Order Instituting Administrative and Cease-and-Desist Proceedings

Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC

File No. 3-11818

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-84232	Sep. 20, 2018	Order Directing Transfer of Remaining Funds and Any Future Funds Received by the Fair Fund to the U.S. Treasury, Discharging the Fund Administrator, and Terminating the Fair Fund
34-82133	Nov. 20, 2017	Order Directing Disbursement of Fair Fund
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-70082	Jul. 31, 2013	Order Directing Disbursement of Fair Fund
34-68208	Nov. 9, 2012	Order Directing Disbursement of Fair Fund
34-67415	Jul. 11, 2012	Order Directing Disbursement of Fair Fund
34-65746	Nov. 14, 2011	Order Directing Disbursement of Fair Fund
33-9254 34-65223 IA-3268 IC-29775	Aug. 30, 2011	Order Modifying Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(e) and 203(k) of the Investment Advisers Act of 1940 and Sections 9(b) and 9(f) of the Investment Company Act of 1940
34-64606	Jun. 6, 2011	Order Directing Disbursement of Fair Fund
34-63360	Nov. 23, 2010	Order Directing Disbursement of Fair Fund
34-62212	Jun. 3, 2010	Order Directing Disbursement of Fair Fund
34-61088	Dec. 1, 2009	Order Directing Disbursement of Fair Fund
34-60080	Jun. 9, 2009	Order Directing Disbursement of Fair Fund
34-59520	Mar. 5, 2009	Order Directing Disbursement of Fair Fund
34-58896	Nov. 3, 2008	Order Directing Disbursement of Fair Fund
34-58322	Aug. 6, 2008	Order Directing Disbursement of Fair Fund
34-57926	Jun. 5, 2008	Order Directing Disbursement of Fair Fund
34-57048	Dec. 27, 2007	Order Approving the Distribution Plan
34-56783	Nov. 13, 2007	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 12/4/07)
34-56385	Sep. 11, 2007	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan
34-56077	Jul. 16, 2007	Notice of Proposed Distribution Plan and Opportunity for Comment Comments received are available for this notice.
		Proposed Plan of Distribution
34-51341	Mar. 9, 2005	Order Directing Appointment of Tax Administrator
33-8539	Feb. 9, 2005	Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions Of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934
33-8538 34-51167 IA-2355 IC-26756	Feb. 9, 2005	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order

Banc of America Securities, LLC

File No. 3-12591

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-68023	Oct. 9, 2012	Order Amending Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Banc of America Securities LLC with Merrill Lynch, Pierce, Fenner & Smith Incorporated as Successor)
34-63571	Dec. 17, 2010	Order Terminating the Fair Fund, Discharging the Distribution Fund Admininstrator and Cancelling the Administrator’s Bond
34-57893	May 30, 2008	Order Directing Disbursement of a Fair Fund
34-56472	Sep. 20, 2007	Order Approving Distribution Plan of a Fair Fund
34-56451	Sep. 18, 2007	Order Approving the Administrator’s Bond
34-56234	Aug. 9, 2007	Notice of Proposed Distribution Plan and Opportunity for Comment
		Proposed Plan of Distribution
34-55506	Mar. 22, 2007	Order Appointing Tax Administrator
34-55467	Mar. 14, 2007	Order Appointing Distribution Fund Administrator and Directing Submission of Proposed Distribution Plan
34-55466	Mar. 14, 2007	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
33-8788 34-55468	Mar. 14, 2007	Order Granting Waivers
33-8787	Mar. 14, 2007	Order Granting Waiver

See also, SEC Announces $26 Million Fair Fund Distribution in Banc of America Securities LLC Settlement (Press Release No. 2008-118, June 23, 2008)

Banc One Investment Advisors Corporation and Mark A. Beeson

File No. 3-11530

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-61252	Dec. 29, 2009	Order Discharging Plan Administrator and Terminating Fair Fund
34-56038	Jul. 10, 2007	Order Directing Disbursement of Fair Fund
34-55730	May 9, 2007	Order Approving a Modified Distribution Plan
		Modified Plan of Distribution
34-55010	Dec. 26, 2006	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan
34-54582	Oct. 6, 2006	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan
34-54280	Aug. 7, 2006	Notice of Proposed Distribution Plan and Opportunity For Comment Comments received are available for this notice.
		Proposed Plan of Distribution Plan
34-53468	Mar. 10, 2006	Order Appointing Tax Administrator
IA-2254 IC-26490	Jun. 29, 2006	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also, SEC Announces $55 Million Fair Fund Distribution to Investors Injured in Banc One Investment Advisors Market Timing Fraud (Press Release No. 2005-165, August 13, 2007)

Barclays Capital Inc.

File No. 3-17978

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-90453	Nov. 18, 2020	Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future and Terminating the Fair Fund
33-10355 34-80639 IA-4705	May 10, 2017	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Bear, Stearns & Co., and Bear, Stearns Securities Corp.

File No. 3-12238

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-80543	Apr. 27, 2017	Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund
34-60310	Jul. 15, 2009	Order Directing Disbursement of Fair Fund
34-60049	Jun. 5, 2009	Order Directing Disbursement of Fair Fund
34-59828	Apr. 28, 2009	Order Directing Disbursement of Fair Fund
34-59356	Feb. 4, 2009	Order Approving Distribution Plan, Appointing a Fund Administrator, and Waiving Bond
		Modified Plan of Distribution
		Distribution Plan
34-59065	Dec. 8, 2008	Notice of Proposed Distribution Plan and Opportunity for Comment
		Proposed Plan of Distribution
34-53625	Apr. 10, 2006	Order Appointing Tax Administrator
33-8671	Mar. 16, 2006	Order Granting Waivers
33-8670	Mar. 16, 2006	Order Granting a Waiver
33-8668 34-53490 IC-27262	Mar. 16, 2006	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

BISYS Fund Services

File No. 3-12432

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-71301	Jan. 14, 2014	Order Authorizing the Transfer of Residual Funds and Any Future Funds Received by the Fair Fund to the U.S. Treasury, Discharging the Fund Administrator, and Terminating the Fair Fund
34-62498	Jul. 14, 2010	Order Directing Disbursement of Fair Fund
34-60719	Sep. 25, 2009	Order Approving Distribution Plan, Appointing a Fund Administrator, and Waiving Bond
34-60435	Aug. 5, 2009	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan
		Proposed Distribution Plan
34-60011	May 29, 2009	Notice of Proposed Distribution Plan and Opportunity for Comment
34-54635	Oct. 20, 2006	Order Appointing Tax Administrator
IA-2554 IC-27500	Sep. 26, 2006	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
33-8742 34-54513	Sep. 26, 2006	Order Granting Waivers

BNY Mellon Securities LLC and Mark Shaw

File Nos. 3-14191 and 3-14192

Release	Date	Notice, Order, or Plan
34-97172	Mar. 20, 2023	Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Idc and Fund Administrator, Canceling the Administrator's Bond, and Terminating the Fair Fund
34-84058	Sep. 7, 2018	Order Directing Second Disbursement of Fair Fund
34-81064	Jun. 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-72962	Sep. 3, 2014	Order Directing Disbursement of Fair Fund
34-71638	Feb. 28, 2014	Order Approving Modified Plan of Distribution, Appointing Fund Administrator, and Setting Fund Administrator Bond Amount
		Modified Plan of Distribution
34-68796	Jan. 31, 2013	Notice of Proposed Plan of Distribution and Opportunity For Comment
		Proposed Plan of Distribution
33-9215	Mar. 30, 2012	Extension Order
33-9215	Jun. 2, 2011	Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-63938	Feb. 22, 2011	Order Appointing Tax Administrator
34-63937	Feb. 22, 2011	Order Appointing Tax Administrator
34-63724	Jan. 14, 2011	Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
33-9174 34-63725	Jan. 14, 2011	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

BOKF, NA, and Lawson Financial Corporation and Robert Lawson

File Nos. 3-17533, 3-17901

Note: Funds were transferred to the Court Monitor.

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-81905	Oct. 17, 2017	Order Establishing Fair Funds and Transferring Fair Funds to a Court-Appointed Monitor
33-10334 34-80376 IC-32591	Apr. 5, 2017	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Lawson Financial Corporation and Robert Lawson)
33-10204 34-78794	Sep. 9, 2016	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order (BOKF, NA)

Bridgeway Capital Management, Inc. and John Noland Ryan Montgomery

File No. 3-11659

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-62065	May 10, 2010	Order Discharging Plan Administrator and Terminating Disgorgement Fund
IA-2473	Jan. 11, 2006	Order Amending Plan of Disgorgement Distribution
IA-2367	Mar. 16, 2005	Order Approving Plan of Disgorgement Distribution and Appointing Administrator
IA-2358	Feb. 10, 2005	Notice of Proposed Distribution Plan and Opportunity for Comment
IA-2294	Sep. 15, 2004	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Burrill Capital Management, LLC; G. Steven Burrill, CPA; Victor A. Hebert, Esq.; and Helena C. Sen, CPA

File No. 3-17186

Note: Funds were disbursed via Order Instituting Proceeding.

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-77713	Apr. 26, 2016	Order Appointing Tax Administrator
34-77473	Mar. 30, 2016	Order Instituting Public Administrative and Cease-and-Desist Proceedings, Pursuant To Sections 4C And 21C of the Securities Exchange Act Of 1934, Sections 203(E), 203(F) And 203(K) of the Investment Advisers Act of 1940, Section 9(B) of the Investment Company Act of 1940, and Rule 102(E)(1)(III) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Cadaret and Grant & Co., Inc.

File No. 3-18087

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-85858	May 14, 2019	Order Authorizing the Transfer of Remaining Funds, and Any Funds Returned to the Fair Fund in the Future, to the U.S. Treasury and Terminating the Fair Fund
34-81274	Aug. 1, 2017	Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Cadaret, Grant & Co., Inc., Arthur Grant, Beda Lee Johnson, and Eugene Long

File No. 3-18738

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-87816	Dec. 20, 2019	Order Authorizing the Transfer of Remaining Funds and Any Future Funds Returned to the Fair Fund to the U.S. Treasury and Terminating the Fair Fund
33-10542 34-84074 IA-5003	Sep. 11, 2018	Order Instituting Administrative and Cease-and-Desist Proceedings Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order

Canadian Imperial Holdings Inc. and CIBC World Markets Corp.

File No. 3-11987

Release	Date	Notice, Order, or Plan
34-99586	Feb. 22, 2024	Termination Order
34-85017	Jan. 31, 2019	Order Directing Disbursement of Fair Fund
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-65892	Dec. 5, 2011	Order Directing Disbursement of Fair Fund
34-65798	Nov. 21, 2011	Order Directing Disbursement of Fair Fund
34-65697	Nov. 7, 2011	Order Directing Disbursement of Fair Fund
34-61568	Feb. 23, 2010	Order Approving Plan, Appointing a Fund Administrator, and Waiving Bond
		Corrected Plan of Distribution
34-61142	Dec. 10, 2009	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Distribution Plan
34-53768	May 8, 2006	Order Appointing Tax Administrator
33-8593 34-52064	Jul. 20, 2005	Order Granting Waivers
33-8592 34-52063 IA-2407 IC-26994	Jul. 20, 2005	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also, SEC Announces Agreement with Canadian Imperial Bank of Commerce and Two Executives to Settle Charges of Aiding and Abetting Enron Accounting Fraud (Press Release No. 2003-180, December 22, 2003)

Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Network; Detwiler, Mitchell, Fenton & Graves, Inc.; James X. McCarty

File Nos. 3-12749, 3-12750, 3-12751

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-73656	Nov. 20, 2014	Order Authorizing the Transfer of Remaining Funds and Any Future Funds Returned to the Fair Fund to the U.S. Treasury, Discharging the Fund Administrator and Terminating the Fair Fund
34-62705	Aug. 12, 2010	Order Directing Disbursement of Fair Fund
34-57843	May 21, 2008	Order Directing Disbursement of Fair Fund
34-57310	Feb. 12, 2008	Order Approving Distribution Plan
		Plan of Distribution
34-56981	Dec. 18, 2007	Notice of Proposed Distribution Plan and Opportunity for Comment
		Proposed Plan of Distribution
34-56364	Sep. 6, 2007	Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
34-56363	Sep. 6, 2007	Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
34-56362	Sep. 6, 2007	Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
34-56549	Sep. 27, 2007	Order Appointing Tax Administrator

Comprehensive Capital Management, Inc.

File No. 3-15393

Note: Funds were transferred to the Court Receiver.

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-76720	Dec. 21, 2015	Order Directing Disbursement of Fair Fund
34-75264	Jun. 23, 2015	Order Approving Plan of Distribution
		Plan of Distribution
34-74899	May 7, 2015	Notice of Proposed Plan of Distribution Transferring Fair Fund Funds to a Court-Appointed Receiver and Opportunity for Comment
		Proposed Plan of Distribution
34-74606	Mar. 30, 2015	Extension Order
34-73792	Dec. 9, 2014	Extension Order
34-73127	Sep. 17, 2014	Extension Order
IA-3636	Jul. 29, 2013	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Credit Suisse Securities (USA) LLC, DLJ Mortgage Capital, Inc., Credit Suisse First Boston Mortgage Acceptance Corp., Credit Suisse First Boston Mortgage Securities Corp., and Asset Backed Securities Corporation

File No. 3-15098

Release	Date	Notice, Order, or Plan
34-96992	Feb. 27, 2023	Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the FPD Fair Fund in the Future, Discharging the Fund Administrator, Canceling the Administrator’s Bond, and Terminating the FPD Fair Fund
34-96991	Feb. 27, 2023	Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Bulk Settlement Fair Fund in the Future, Discharging the Fund Administrator, Canceling the Administrator’s Bond, and Terminating the Bulk Settlement Fair Fund
34-81703	Sep. 25, 2017	Order Directing Disbursement of the Bulk Settlement Practice Fair Fund
34-81702	Sep. 25, 2017	Order Directing Disbursement of the First Payment Default Practice Fair Fund
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-75878	Sep. 10, 2015	Order Establishing Fair Fund and Approving Plan of Distribution Bulk Settlement Practice
		Plan of Distribution Bulk Settlement Practice
34-75877	Sep. 10, 2015	Order Establishing Fair Fund and Approving Plan of Distribution First Payment Default Practice
		Plan of Distribution First Payment Default Practice
34-75118	Jun. 5, 2015	Extension Order
34-74806	Apr. 24, 2015	Extension Order
34-74397	Feb. 27, 2015	Extension Order
34-73890	Dec. 19, 2014	Extension Order
34-72851	Aug. 14, 2014	Notice of Proposed Plan of Distribution (First Payment Default Practice) and Opportunity for Comment Comments received are available for this proposed plan.
		Proposed Plan of Distribution First Payment Default Practice and Exhibit A; Exhibit B
34-72850	Aug. 14, 2014	Notice of Proposed Plan of Distribution (Bulk Settlements Practice) and Opportunity for Comment Comments received are available for this proposed plan.
		Proposed Plan of Distribution Bulk Settlement Practice and Exhibit A; Exhibit B
34-71300	Jan. 14, 2014	Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount
34-70695	Oct. 16, 2013	Extension Order
34-68593	Jan. 7, 2013	Extension Order
34-68349	Dec. 4, 2012	Order Appointing Tax Administrator
33-9368 34-68251	Nov. 16, 2012	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order

Credit Suisse Securities (USA) LLC and Sanford Michael Katz

File Nos. 3-17899 and 3-17900

Release	Date	Notice, Order, or Plan
34-99541	Feb. 14, 2024	Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, Canceling the Administrator's Bond, and Terminating the Fair Fund
34-87921	Jan. 9, 2020	Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-85027	Feb. 1, 2019	Corrected Order Directing Disbursement of Fair Fund
34-83999	Aug. 30, 2018	Order Approving Plan of Distribution
		Distribution Plan
34-83621	Jul. 12, 2018	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Distribution Plan
34-82722	Feb. 15, 2018	Order Appointing Tax Administrator
34-82595	Jan. 29, 2018	Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-82200	Dec. 1, 2017	Second Extension Order
34-80887	June 8, 2017	Extension Order
34-80886	June 8, 2017	Extension Order
34-80373	April 4, 2017	Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Order
IA-4679	Apr. 4, 2017	Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Order

David Henry Disraeli and Lifeplan Associates, Inc.

File No. 3-12288

Note: No settlement obtained and no funds ordered.

RELEASE	DATE	NOTICE, ORDER, OR PLAN
	Jun. 19, 2009	Court of Appeals Opinion
33-8880 34-57027 IA-2686	Dec. 21, 2007	Opinion of the Commission
33-8824 34-56045 IA-2618	Jul. 11, 2007	Order Denying Motion for Leave to Take Additional Evidence
34-56012	Jul. 5, 2007	Order Granting Partial Protective Order
633	Mar. 21, 2007	Order Denying Motion to Correct Manifest Errors of Fact
ID-328	Mar. 5, 2007	Initial Decision
33-8682 34-53765 IA-2513	May 5, 2006	In the Matter of David Henry Disraeli And Lifeplan Associates, Inc.
	May 5, 2006	Order Instituting Administrative and Cease-And-Desist Proceedings

Dennis Gibb and Sweetwater Investments, Inc.

File No. 3-19123

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-87893	Jan. 6, 2020	Order Authorizing the Transfer to the U.S. Treasury of Any Funds Returned to the Disgorgement Fund in the Future, Discharging Fund Administrator, and Terminating the Disgorgement Fund
34-86957	Sep. 12, 2019	Order Approving Plan of Distribution and Authorizing Transfer of Disgorgement Fund
		Distribution Plan
34-86601	Aug. 8, 2019	Notice of Proposed Plan of Distribution and Opportunity to Comment
		Proposed Distribution Plan
33-10623	Mar. 28, 2019	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Dominick & Dominick LLC and Robert X. Reilly

File No. 3-15987

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-90959	Jan. 21, 2021	Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Disgorgement Fund in the Future and Terminating the Disgorgement Fund
34-72694	Jul. 28, 2014	Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders

Edward D. Jones & Co., L.P.

File No. 3-16751

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-82157	Nov. 27, 2017	Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds in the Disgorgement Fund
33-9889 34-75688	Aug. 13, 2015	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Edward D. Jones & Co., L.P.

File No. 3-11780

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-68079	Oct. 22, 2012	Order Authorizing the Transfer of Residual Funds and Any Future Funds Returned to the Fair Fund to the U.S. Treasury, Discharging the Fund Administrator, and Terminating the Fair Fund
33-8520A 34-50910A	Jul. 13, 2007	Amended Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
34-54637	Oct. 20, 2006	Order Directing Distribution of Fair Fund and Extending the Date for Distribution
34-53918A	Jun. 1, 2006	Order Approving Distribution Plan and Appointing an Administrator
34-53660	Apr. 17, 2006	Notice of Proposed Distribution Plan and Opportunity for Comment
		Proposed Distribution Plan
33-8632 34-52677	Oct. 26, 2005	Order Granting a Waiver as to the Jones Financial Companies, L.L.L.P.
33-8631	Oct. 26, 2005	Order Granting a Waiver
34-51341	Mar. 9, 2005	Order Directing Appointment of Tax Administrator
33-8520 34-50910	Dec. 22, 2004	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Equinox Fund Management, LLC

File No. 3-17057

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-88849	May 11, 2020	Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Disgorgement Fund in the Future and Terminating the Disgorgement Fund
33-10004 34-76927 IA-4315	Jan. 19, 2016	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Evergreen Investment Management Company, LLC and Evergreen Investment

File No. 3-13507

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-65179	Aug. 22, 2011	Order Approving Final Accounting, Directing Payment of Remainder of Fair Fund to United States Treasury, and Terminating the Fair Fund
33-9039 34-60060	Jun. 8, 2009	Order Granting Waivers
33-9038	Jun. 8, 2009	Order Granting Waiver
34-60059 IA-2888 IC-28759	Jun. 8, 2007	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Evergreen Investment Management Company, LLC Evergreen Investment Services, Inc., Evergreen Service Company, LLC, and Wachovia Securities, LLC

File No. 3-12805

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-86052	Jun. 6, 2019	Order Authorizing the Transfer to U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-73923	Dec. 23, 2014	Order Directing Disbursement
34-63814	Feb. 1, 2011	Order Directing Disbursement of Fair Fund
34-63424	Dec. 3, 2010	Order Directing Disbursement of Fair Fund
34-63204	Oct. 28, 2010	Order Directing Disbursement of Fair Fund
34-62017	Apr. 30, 2010	Order Approving Distribution Plan
		Final Plan of Distribution
34-61746	Mar. 19, 2010	Order Appointing a Fund Administrator and Waiving Bond
34-61745	Mar. 19, 2010	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-56658	Oct. 12, 2007	Order Appointmenting Tax Administrator
33-8843	Sep. 19, 2007	Order Granting Waiver
33-8842 34-56463	Sep. 19, 2007	Order Granting Waivers
34-56462 IA-2648 IC-27973	Sep. 19, 2007	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also, Evergreen Investment Management Company and Affiliates to Pay $32.5 Million to Settle Market Timing Violations (Press Release No. 2007-186, September 19, 2006) and In the Matter of William M. Ennis (Release No. 34-56464, September 19, 2007)

Federated Investment Management Company, Federated Securities Corp. and Federated Shareholder Services Company

File No. 3-12111

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-75741	Aug. 19, 2015	Order Authorizing Transfer of Remaining Funds and Any Future Funds Received by the Fair Fund to the U.S. Treasury, Discharging the Fund Administrator, and Terminating the Fair Fund
34-70367	Sep. 10, 2013	Order Directing Disbursement of Fair Fund
34-67187	Jun. 12, 2012	Order Modifying Distribution Plan and Directing Disbursement
34-62836	Sep. 2, 2010	Order Directing Disbursement of Fair Fund
34-62542	Jul. 21, 2010	Order Directing Disbursement of Fair Fund
34-61437	Jan. 28, 2010	Order Approving Plan, Appointing an Administrator, and Waiving Bond
		Distribution Plan
34-61118	Dec. 4, 2009	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-52879 IA-2456 IC-27175	Dec. 2, 2005	Order Directing Appointment of Tax Administrator
34-52839 IA-2448 IC-27167	Nov. 28, 2005	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Folger Nolan Fleming Douglas Capital Management, Inc., Neil C. Folger and David M. Brown

File No. 3-12737

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-81086	Jul. 6, 2017	Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Distribution Fund
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-65152	Aug. 17, 2011	Order Directing Disbursement of Distribution Fund
34-64295	Apr. 13, 2011	Order Approving Plan of Distribution
		Final Plan of Distribution
34-63994	Mar. 1, 2011	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-59976	May 27, 2009	Order Appointing Tax Administrator
IA-2639	Aug. 23, 2007	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, And Imposing Remedial Sanctions and a Cease-and-Desist Order

Founding Partners Capital Management Company and William Gunlicks

File No. 3-12896

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-67188	Jun. 12, 2012	Order Discharging Fund Administrator and Terminating Disgorgement Fund
34-61109	Dec. 3, 2009	Order Directing Disbursement of Disgorgement Fund
34-57976	Jun. 17, 2008	Order Appointing Tax Administrator
34-57807	May 9, 2008	Order Approving Distribution Plan and Appointing Fund Administrator
34-57423	Mar. 3, 2008	Notice of Proposed Distribution Plan and Opportunity for Comment
		Proposed Plan of Distribution
34-57024	Dec. 21, 2007	Order Extending Time to Publish a Proposed Plan of Distribution
33-8866 IA-2680	Dec. 3, 2007	Corrected Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions

Franklin Advisers, Inc.

File No. 3-11572

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-65390	Apr. 30, 2010	Order Discharging Plan Administrator and Terminating Fair Fund
34-62016	Apr. 30, 2010	Order Directing Disbursement of Fair Fund
IA-2906 IC-28821	Jul. 20, 2009	Order Modifying Respondent’s Obligation to Undergo Third Party Compliance Reviews
34-59000	Nov. 21, 2008	Order Directing Disbursement of Fair Fund
34-58463	Sep. 4, 2008	Order Directing Disbursement of Fair Fund
34-57808	May 9, 2008	Order Approving Modified Distribution Plan
		Modified Distribution Plan Comments received are available for this notice
34-56829	Nov. 20, 2007	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan
34-56603	Oct. 3, 2007	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (to 11/30/07)
34-56187	Aug. 2, 2007	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (to 10/4/07)
34-55868	Jun. 6, 2007	Notice of Proposed Distribution Plan and Opportunity for Comment
		Proposed Plan of Distribution Comments received are available for this notice
34-51341	Mar. 9, 2005	Order Directing Appointment of Tax Administrator
IA-2271 IC-26523	Aug. 2, 2004	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also, SEC Announces Fair Fund Distribution to Investors Harmed by Market Timing in Franklin-Templeton Funds (Press Release No. 2008-223, September 23, 2008)

Franklin Advisers, Inc. and Franklin/Templeton Distributors, Inc.

File No. 3-11769

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-58106	Jul. 7, 2008	Order Approving Final Accounting, Directing Payment of Remainder of Fair Fund to United States Treasury, and Discharging Administrator
34-54342	Aug. 21, 2006	Order Directing Distribution of Fair Fund
34-54037	Jun. 23, 2006	Order Approving Distribution Plan and Appointing an Administrator
34-53844	May 19, 2006	Notice of Proposed Plan for Distribution of a Fair Fund and Opportunity for Comment
		Proposed Plan of Distribution
	May 19, 2006	Distribution of SEC Settlement to FT Funds
34-51341	Mar. 9, 2005	Order Directing Appointment of Tax Administrator
34-50841A IA-2337A IC-26692A	Dec. 13, 2004	Corrected Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
34-50841 IA-2337 IC-26692	Dec. 13, 2004	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Freedom Financial, Inc., Freedom Track, Inc., Freedom Financial Group, Inc., Associated Investment Management, Inc., Jon Patrick Pierce, Gary L. Winn

File No. 3-11246

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-70208	Aug. 15, 2013	Freedom Financial, Inc., et al.
34-54845	Nov. 30, 2006	Order Appointing a Tax Administrator
34-54547	Sep. 29, 2006	Order Approving Distribution of Disgorgement Fund
34-53814	May 16, 2006	Order Approving Plan of Disgorgement Distribution and Appointing Administrator
33-8643 34-52945 IA-2460	Dec. 13, 2005	Notice of Proposed Plan of Disgorgement Distribution and Opportunity for Comment by Non-Parties Comments due: January 12, 2006
		Proposed Plan of Disgorgement Distribution as to Respondent Associated Investment Management, Inc.
33-8426 34-49744 IA-2240	May 20, 2004	Order Making Findings and Imposing Remedial Sanctions and Cease-and-Desist Orders
33-8280 34-48446 IA-2168	Sep. 4, 2003	Proceedings Instituted Against Freedom Financial, Inc., Freedom Track, Inc., Freedom Financial Group, Inc., Associated Investment Management, Inc., Jon Patrick Pierce, and Gary L. Winn

Fremont Investment Advisors, Inc.

File No. 3-11726

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-71426	Jan. 28, 2014	Order Discharging Fund Administrator, Transfer of Residual and Terminating Fair Fund
34-67483	Jul. 20, 2012	Order Directing Disbursement
34-63203	Oct. 28, 2010	Order Directing Disbursement of Fair Fund
34-62381	Jun. 25, 2010	Order Approving Plan, Appointing a Fund Administrator, and Waiving Bond
		Final Plan of Distribution
34-62090	May 12, 2010	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-51341	Mar. 9, 2005	Order Directing Appointment of Tax Administrator
IA-2317 IC-26650	Nov. 4, 2004	Order Instituting Adminstrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and Issuing a Cease-and-Desist Order

Gabelli Funds LLC

File No. 3-13019

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-68733	Jan. 25, 2013	Order Authorizing the Transfer of Remaining Funds and Any Future Funds Returned to the Fair Fund to the U.S. Treasury, Terminating the Fair Fund, and Discharging the Fund Administrator
34-62806	Aug. 31, 2010	Order Directing Disbursement of Fair Fund
34-62728	Aug. 16, 2010	Order Directing Disbursement of Fair Fund
34-61256	Dec. 30, 2009	Order Approving Distribution Plan
		Final Plan of Distribution
34-61255	Dec. 30, 2009	Order Appointing A Fund Administrator and Waiving Bond
34-60656	Sep. 11, 2009	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-57796	May 7, 2008	Order Appointing Tax Administrator
33-8911 34-57708	Apr. 24, 2008	Order Granting Waivers
IA-2727 IC-28253	Apr. 24, 2008	Order Instituting Adminstrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Gary L. Pilgrim

File No. 3-11739

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-65017	Aug. 3, 2011	Order Disbursing Funds, Terminating Fair Fund, Discharging Plan Administrator, and Transferring Remaining Funds to the U.S. Treasury
34-51341	Mar. 9, 2005	Order Directing Appointment of Tax Administrator
33-8505 34-50680 IA-2328 IC-26655	Nov. 17, 2004	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

General American Life Insurance Company and William C. Thater

File No. 3-12720

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-63144	Oct. 21, 2010	Order Discharging Plan Administrator and Terminating Fair Fund
34-60447	Aug. 5, 2009	Order Directing Disbursement of Fair Fund
		Distribution Plan
34-58225	Jul. 25, 2008	Order Approving Distribution Plan, Appointing a Plan Administrator, and Waiving Bond
34-57863	May 23, 2008	Notice of Proposed Distribution Plan and Opportunity for Comment
		Proposed Plan of Distribution
34-56702	Oct. 25, 2007	Order Appointing Tax Administrator
33-8832 34-56229 IC-27925	Aug. 9, 2007	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Gerald T. Malone

File No. 3-11914

Note: this case has been consolidated with File No. 3-11359. Future materials will appear at the Alliance Capital Management, L.P. listing.

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-53445 IC-26858	Mar. 8, 2006	Order Directing Appointment of Tax Administrator
IA-2378 IC-26858	Apr. 28, 2005	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Gerson Asset Management, Inc. and Seth Gerson

File No. 3-12121

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-63449	Dec. 7, 2010	Order Discharging Fund Administrator and Terminating Disgorgement Fund
34-60024	Jun. 2, 2009	Order Directing Disbursement of the Disgorgement Fund and Approving Amendments to the Distribution Plan
34-56911	Dec. 5, 2007	Order Approving a Plan for the Administration and Distribution of the Disgorgement Fund
34-56659	Oct. 15, 2007	Notice of Proposed Modified Distribution Plan and Opportunity for Comment
		Modified Plan for the Administration and Distribution of the Disgorgement Fund
34-56623	Oct. 5, 2007	Order Extending Time for Approval or Disapproval of the Distribution Plan
34-54006	Jun. 16, 2006	Order Extending Period for Comments on the Proposed Plan for the Administration And Distribution of the Disgorgement Fund
34-53760	May 5, 2006	Notice of Proposed Plan for the Administration and Distribution of the Disgorgement Fund and Opportunity to Comment Comments due: June 19, 2006
		Proposed Plan for the Administration and Distribution of the Disgorgement Fund
34-53416	Mar. 6, 2006	Order Appointing Tax Administrator
34-52880 IA-2457 IC-27176	Dec. 2, 2005	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order

GLG Partners, Inc. and GLG Partners, L.P.

File No. 3-15641

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-85044	Feb. 4, 2019	Order Authorizing the Transfer of Remaining Funds and Any Future Funds Returned to the Fair Fund to the U.S. Treasury, Discharging Fund Administrator, Canceling Administrator's Bond, and Terminating the Fair Fund
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-76722	Dec. 21, 2015	Order Directing Disbursement of Fair Fund
34-75706	Aug. 14, 2015	Order Approving Application of Fund Administrator for Payment of Fees and Expenses
34-73423	Oct. 24, 2014	Order Approving Plan of Distribution
		Plan of Distribution
34-73155	Sep. 19, 2014	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-72430	Jun. 19, 2014	Extension Order
34-72247	May 23, 2014	Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount
34-71590	Feb. 20, 2014	Extension Order
34-71544	Feb. 12, 2014	Order Appointing Tax Administrator
34-71050 AAER-3516	Dec. 12, 2013	Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order

Goelzer Investment Management, Inc. and Gregory W. Goelzer

File No. 3-15400

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-82001	Nov. 2, 2017	Order Authorizing The Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Disgorgement Fund in the Future and Terminating the Disgorgement Fund

Grant Thornton, LLP; Doeren Mayhew & Co., P.C.; Peter M. Behrens, CPA; Marvin J. Morris, CPA and Benedict P. Rybicki, CPA

File No. 3-11377

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-63565	Dec. 16, 2010	Termination of Fair Fund and Discharge of Administrator and Tax Administrator
34-56365	Sep. 6, 2007	Order Authorizing Disbursement of Distribution Fund, Approving Procedures and Amending Distribution Plan
34-54903	Dec. 11, 2006	Order Appointing Tax Administrator
34-53170	Jan. 24, 2006	Order Granting Administrator's Motion for Additional Time to Complete the Tasks Identified in Paragraphs 8(g) and 8(h) of the Distribution Plan
34-51711	May 19, 2005	Order Approving Plan of Disgorgement Distribution and Appointing Administrator
34-50861 AAER-2151	Dec. 15, 2004	Notice of Proposed Distribution Plan and Opportunity for Comment
34-50148 AAER-2076	Aug. 5, 2004	Order Making Findings and Imposing Remedial Sanctions
	Jan. 20, 2004	Order Instituting Cease-and- Desist Proceedings and Instituting Public Administrative Proceedings
33-8355 34-49101 AAER-1945	Jan. 20, 2004	SEC Institutes Enforcement Action Against Grant Thornton, Doeren Mayhew and Others in Connection with Financial and Offering Fraud by Michigan Mortgage Banking Company

Gray Financial Group, Inc., Laurence O. Gray, and Robert C. Hubbard, IV

File No. 3-16554

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-91255	Mar. 4, 2021	Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund
34-87895	Jan. 6, 2020	Order Directing Disbursement of Fair Fund
34-87284	Oct. 10, 2019	Order Approving Plan of Distribution
		Plan of Distribution
34-86738	Aug. 22, 2019	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Distribution Plan
34-85091	Feb. 11, 2019	Extension Order
34-83172	May 4, 2018	Order Appointing Tax Administrator
IA-4812 IC-32905	Nov. 22, 2017	Order Making Findings and Imposing Remedial Sanctions and Cease and Desist Order
33-9789 34-75021 IA-4094 IC-31643	May 21, 2015	Order Instituting Administrative and Cease-and-Desist Proceedings

Harbour Investments, Inc.

File No. 3-18760

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-89096	Jun. 18, 2020	Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future and Terminating the Fair Fund
34-84115 IA-5006	Sep. 13, 2018	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Harold J. Baxter

File No. 3-11740

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-65017	Aug. 3, 2011	Order Disbursing Funds, Terminating Fair Fund, Discharging Plan Administrator, and Transferring Remaining Funds to the U.S. Treasury
34-51341	Mar. 9, 2005	Order Directing Appointment of Tax Administrator
33-8506 34-50681 IA-2329 IC-26656	Nov. 17, 2004	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Heartland Advisors, Inc., William J. Nasgovitz, Paul T. Beste, Thomas J. Conlin, Greg D. Winston, Kevin D. Clark, Kenneth J. Della, and Hugh F. Denison

File No. 3-12936

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-67243	Jun. 22, 2012	Order Approving the Final Accounting, Authorizing the Transfer of Residual Funds and Any Future Funds Received by the Fair Fund to the U.S. Treasury, Discharging the Fund Administrator, and Terminating the Fair Fund
34-63173	Oct. 25, 2010	Order Directing Disbursement of Fair Fund
34-61823	Apr. 1, 2010	Order Approving Plan, Appointing a Fund Administrator, and Approving Administrator Bond
		Final Plan of Distribution
34-61481	Feb. 3, 2010	Notice of Proposed Distribution Plan and Opportunity for Comment
		Proposed Plan of Distribution
34-57651	Apr. 11, 2008	Order Appointing a Tax Administrator
33-8884 34-57206 IA-2698 IC-28136	Jan. 25, 2008	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders

Hennessee Group LLC and Charles J. Gradante

File No. 3-13454

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-73885	Dec. 19, 2014	Order Authorizing the Transfer of Residual Funds and Any Future Funds Received By the Fair Fund to the U.S. Treasury, Discharging the Fund Administrator, and Terminating the Fair Fund
34-67514	Jul. 26, 2012	Order Directing Disbursement of Fair Fund
34-64156	Mar. 31, 2011	Order Approving Plan and Appointing a Fund Administrator
		Final Plan of Distribution
34-63890	Feb. 11, 2011	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-61477	Jan. 29, 2010	Order Appointing Tax Administrator
IA-2871	Apr. 22, 2009	Order Instituting Administrative and Cease-Anddesist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Huntington Bancshares, Inc., Thomas E. Hoaglin, Michael J. McMennamin, and John Van Fleet, CPA

File No. 3-11940

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-83997	Aug. 30, 2018	Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Plan Administrator, and Terminating the Fair Fund
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-63290	Nov. 9, 2010	Order Directing Disbursement of Fair Fund
34-56292	Aug. 21, 2007	Order Approving Application of Fund Administrator for Compensation and Reimbursement of Expenses
34-54663	Oct. 27, 2006	Order Approving Application of Fund Administrator for Compensation and Reimbursement of Expenses
34-54554	Oct. 2, 2006	Order Approving Modified Plan of Distribution of a Fair Fund
34-54322	Aug. 15, 2006	Notice of Modified Plan of Distribution of Disgorgement Fund
		Modified Distribution Plan
34-54218	Jul. 26, 2006	Order Approving Application of Fund Administrator for Compensation and Reimbursement of Expenses
34-53495	Mar. 16, 2006	Order Approving a Plan of Distribution of a Fair Fund and Appointing a Plan Administrator
		Distribution Plan
34-53035	Dec. 29, 2005	Notice of Proposed Plan of Distribution of Disgorgement Fund and Opportunity for Comment by Non-Parties
		Proposed Distribution Plan
34-52884	Dec. 5, 2005	Order Directing Appointment of Tax Administrator
33-8579 34-51781 AAER-2252	Jun. 2, 2005	Order Instituting Public Administrative and Cease-and- Desist Proceedings, Making Findings, Imposing a Cease-and-Desist Order, Imposing Remedial Sanctions, and Other Relief

Huron Consulting Group Inc., Gary L. Burge, CPA, and Wayne F. Lipski, CPA

File No. 3-14958

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-76699	Dec. 18, 2015	Order Authorizing the Transfer to the U.S. Treasury of Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund
34-68737	Jan. 25, 2013	Order Establishing Fair Fund, Appointing a Fund Administrator, Approving Distribution Plan and Authorizing Transfer of Distribution Fund
34-68420	Dec. 13, 2012	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-68200	Nov. 9, 2012	Extension Order
34-67472 AAER-3394	Jul. 19, 2012	Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of tThe Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-And-Desist Order and Remedial Sanctions

International Equity Advisors, LLC and Richard Roger Lund

File No. 3-12068

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-76704	Dec. 21, 2015	Order Authorizing the Transfer to the U.S. Treasury of Residual Funds and Any Funds Received By the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund
34-58490	Sept. 8, 2008	Order Directing Disbursement of Fair Fund
34-56220	Aug. 8, 2007	Order Approving Distribution Plan
		Plan of Distribution
34-55665	Apr. 25, 2007	Notice of Proposed Distribution Plan and Opportunity for Comment
		Proposed Distribution Plan
34-53352	Feb. 23, 2006	Order Appointing Tax Administrator
33-8648 34-53019 IA-2467 IC-27198	Dec. 23, 2005	Order Establishing Fair Fund
33-8621 34-52545 IA-2437 IC-27108	Sep. 30, 2005	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Invesco Funds Group, Inc., AIM Advisors, Inc., and AIM Distributors, Inc.

File No. 3-11701

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-70825	Nov. 6, 2013	Order Authorizing Transfer of Remaining Funds and Any Future Funds Received by the Fair Fund to the U.S. Treasury, Discharging the Fund Administrator, and Terminating the Fair Fund
34-69375	April 15, 2013	Order Amending May 11, 2011 Order
34-69346	April 8, 2013	Order Authorizing Transfer of Funds, Discharging Fund Adminstrator, and Terminating Fair Fund
34-64472	May 11, 2011	Order Amending Distribution Plan and Directing Disbursement
34-62746	Aug. 19, 2010	Order Directing Disbursement
34-60292a	Nov. 20, 2009	Amended Order Directing Disbursement of Fair Fund
34-59929	May 14, 2009	Order Directing Disbursement of Fair Fund
34-57860	May 23, 2008	Order Approving Modified Distribution Plan
		Modified Distribution Plan (Invesco Funds Group, Inc.)
34-57859	May 23, 2008	Order Approving Modified Distribution Plan
		Modified Distribution Plan (AIM Advisors, Inc. and AIM Distributors, Inc.)
34-56877	Nov. 30, 2007	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 12/28/07)
34-56746	Nov. 5, 2007	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 11/30/07)
34-56745	Nov. 5, 2007	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 11/30/07)
34-56335	Aug. 29, 2007	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 11/5/07)
34-56333	Aug. 29, 2007	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 11/5/07)
34-56027	Jul. 6, 2007	Notice of Proposed Distribution Plan and Opportunity for Comment
		Proposed Distribution Plan
34-56025A	Jul. 6, 2007	Notice of Proposed Distribution Plan and Opportunity for Comment Comments received are available for this notice.
		Proposed Distribution Plan
34-53437	Mar. 7, 2006	Order Directing Appointment of Tax Administrator
34-50506 IA-2311 IC-26629	Oct. 8, 2004	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also:

Invesco Funds Group, Inc., AIM Advisors, Inc., and AIM Distributors, Inc. (Press Release No. 2009-124, Jun. 1, 2009)

Inviva, Inc. and Jefferson National Life Insurance Company

File No. 3-11579

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-71882	Apr. 4, 2014	Order Authorizing the Transfer of Remaining Funds and Any Future Funds Returned to the Fair Fund to the U.S. Treasury, Discharging the Fund Administrator and Terminating the Fair Fund
34-62228	Jun. 4, 2010	Order Directing Disbursement of Fair Fund
34-61600	Feb. 26, 2010	Order Approving Plan, Appointing a Fund Administrator, and Waiving Bond
34-61210	Dec. 18, 2009	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-51341	Mar. 9, 2005	Order Directing Appointment of Tax Administrator
33-8456 34-50166 IC-26527	Aug. 9, 2004	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Janus Capital Management LLC

File No. 3-11590

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-66236	Jan. 25, 2012	Order Transferring Remaining Funds to the U.S. Treasury, Terminating Fair Fund, and Discharging Fund Administrator
34-63407	Dec. 1, 2010	Order Directing Disbursement of Fair Fund
IA-3065 IC-29377	Aug. 5, 2010	Order Modifying Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
34-59992	May 28, 2009	Order Directing Disbursement Of Fair Fund
34-59059	Dec. 5, 2008	Order Directing Disbursement of Fair Fund
34-58810	Oct. 17, 2008	Order Directing Disbursement of Fair Fund
34-58475	Sep. 8, 2008	Order Directing Disbursement of Fair Fund
34-57721	Apr. 25, 2008	Order Approving Modified Distribution Plan
		Modified Distribution Plan
34-57201	Jan. 25, 2008	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 04/25/08)
34-56995	Dec. 19, 2007	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 01/25/08)
34-56815	Nov. 19, 2007	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 12/19/07)
34-56569	Sep. 27, 2007	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 11/20/07)
34-56171	Jul. 31, 2007	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 10/1/07)
34-55835	May 31, 2007	Notice of Proposed Distribution Plan and Opportunity for Comment Comments received are available for this notice.
		Proposed Plan of Distribution
34-52642	Oct. 20, 2005	Order Directing Appointment of Tax Administrator
IA-2277 IC-26532	Aug. 18, 2004	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also, SEC Announces $18 Million Fair Fund Distribution to Investors Affected by Undisclosed Market Timing in Janus Mutual Funds (Press Release No. 2008-177, August 15, 2008)

Jefferies & Co., Inc. and Scott Jones

File No. 3-12495

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-63510	Dec. 9, 2010	Order Supplementing Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
34-55592	Apr. 6, 2007	Order Appointing Tax Administrator
34-54861	Dec. 1, 2006	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also, Jefferies Settles SEC Charges Involving Illegal Gifts and Entertainment (Press Release No. 2006-198, December 4, 2006)

J. Michael Scarborough and Royal Alliance Associates, Inc.

File No. 3-11538

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-81513	Aug. 31, 2017	Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-67002	May 16, 2012	Order Directing Disbursement of Fair Fund
34-62210	Jun. 2, 2010	Order Directing Disbursement of Fair Fund
34-59930	May 15, 2009	Order Approving Plan of Distribution
		Proposed Distribution Plan
34-59368	Feb. 6, 2009	Notice of Proposed Plan of Distribution and Opportunity for Comment
34-54838	Nov. 29, 2006	Order Approving Tax Administrator
33-8438 34-49982	Jul. 8, 2004	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

John D. Carifa

File No. 3-11915

Note: this case has been consolidated with File No. 3-11359. Future materials will appear at the Alliance Capital Management, L.P..

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-53446	Mar. 8, 2006	Order Directing Appointment of Tax Administrator
IA-2379 IC-26859	Apr. 28, 2005	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and- Desist Order

John W. Adams and AIP, LLC

File No. 3-11676

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-82882	March 15, 2018	Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Disgorgement Fund in the Future, Discharging the Plan Administrator, Canceling the Plan Administrator's Bond, and Terminating the Disgorgement Fund
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-74905	May 7, 2015	Order Modifying the Modified Distribution Plan
34-68736	Jan. 25, 2013	Order Modifying Distribution Plan and Directing Disbursement of Disgorgement Fund
		Modified Plan of Distribution
34-59870	May 6, 2009	Order Approving Distribution Plan of a Disgorgement Fund
34-59433	Feb. 23, 2009	Proposed Plan of Disgorgement Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-59431	Feb. 20, 2009	Order Approving Publication of Notice of Proposed Distribution Plan and Opportunity for Comment, Approving Plan Administrator, and Approving Administrator Bond
34-51341	Mar. 9, 2005	Order Directing Appointment of Tax Administrator
34-50427	Sep. 23, 2004	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order

Joseph Stilwell and Stilwell Value LLC

File No. 3-16444

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-77075	Feb. 5, 2016	Order Directing Transfer of Remaining Funds to the United States Treasury
IA-4049	Mar. 16, 2015	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

J.P. Morgan Securities Inc.

File No. 3-13673

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-72303	Jun. 3, 2014	Order Authorizing the Transfer of Remaining Funds and Any Future Funds Returned to the Fair Fund to the U.S. Treasury, Discharging Plan Administrator and Terminating the Fair Fund
34-63812	Feb. 1, 2011	Order Directing Disbursement of Fair Fund
34-63060	Oct. 7, 2010	Order Approving Distribution Plan and Appointing a Plan Administrator
		Final Plan of Distribution
34-62738	Aug. 18, 2010	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-61673	Jan. 19, 2010	Extension Order
33-9078	Nov. 4, 2009	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
33-9079	Nov. 4, 2009	Order Granting a Waiver
33-9080	Nov. 4, 2009	Order Granting Waivers

See also, J.P. Morgan Settles SEC Charges in Jefferson County, Ala. Illegal Payments Scheme (Press Release No. 2009-232, November 4, 2009)

Kenneth C. Meissner, James Doug Scott and Mark S. "Mike" Tomich

File No. 3-16175

Release	Date	Notice, Order, or Plan
34-97496	May 12, 2023	Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Plan Administrator, and Terminating the Fair Fund
34-91115	Feb. 11, 2021	Order Directing Third Disbursement of Fair Fund
34-85173	Feb. 22, 2019	Order Directing Second Disbursement of Fair Fund
34-81696	Sep. 25, 2017	Order Approving Plan of Distribution, Appointing a Distribution Plan Administrator, and Authorizing Transfer of Fair Fund Funds
		Plan of Distribution
34-81449	Aug. 21, 2017	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-81385	Aug. 14, 2017	Order Establishing Fair Fund
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-79522	Dec. 9, 2016	Order Appointing Tax Administrator
34-76001	Sep. 28, 2015	Finality Order - James Doug Scott
34-75005	May 20, 2015	Finality Order - Kenneth C. Meissner
34-73226	Sep. 25, 2014	Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 9(b) of the Investment Company Act of 1940

Knight Securities L.P

File No. 3-11771

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-72744	Aug. 1, 2014	Order Authorizing the Transfer of Remaining Funds and Any Future Funds Returned to the Fair Fund to the U.S. Treasury, Discharging the Fund Administrator, and Terminating the Fair Fund
34-59512	Mar. 5, 2009	Order Directing Disbursement of Fair Fund
34-57222	Jan. 29, 2008	Order Directing Disbursement of Fair Fund and Approving an Amended Fair Fund Distribution Plan
		Amended Fair Fund Distribution Plan
34-55530	Mar. 26, 2007	Order Approving Distribution Plan and Appointment of an Administrator of the Distribution Fund
		Independent Distribution Consultant’s Fair Fund Distribution Plan
34-54939	Dec. 14, 2006	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan
34-54627	Oct. 19, 2006	Notice of Proposed Distribution Plan and Opportunity for Comment Comments received are available for this notice
		Independent Distribution Consultant’s Proposed Fair Fund Distribution Plan
34-52136	Jul. 27, 2005	Order Modifying Prior Order, Extending Period of Time Granted to the Independent Distribution Consultant to Submit Distribution Plan
34-51850	Jun. 14, 2005	Order Directing Appointment of Tax Administrator
34-50867	Dec. 16, 2004	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions

L.T. Lawrence & Co., Inc., Todd E. Roberti, and Lawrence Principato

File No. 3-9923

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-70172	Aug. 13, 2013	Order Creating a Fair Fund and Transferring the Fair Fund to a Court Registry for Deposit Into a Criminal Restitution Fund
33-7876 34-43067	July 24, 2000	Order Making Findings and Imposing Remedial Sanctions

Mary Beth Stevens

File No. 3-13553

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-76152	Oct. 14, 2015	Order Authorizing the Transfer to the U.S. Treasury of Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund
34-68732	Jan. 25, 2013	Order Directing Disbursement of Fair Fund
34-66468	Feb. 24, 2012	Order Approving Plan of Distribution and Appointing a Fund Administrator
		Final Plan of Distribution
34-66039	Dec. 22, 2011	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
IA-2973	Jan. 5, 2010	Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order
IA-2902	Jul. 17, 2009	Securities and Exchange Commission Institutes Administrative Proceedings Against Mary Beth Stevens
	Jul. 17, 2009	Order Instituting Administrative and Cease-and-Desist Proceedings

Massachusetts Financial Services Co.

File No. 3-11450

Note: Funds were distributed according to the Plan of Distribution (Link to IA-2343)

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-51341	Mar. 9, 2005	Order Directing Appointment of Tax Administrator
IA-2343 IC-26724	Jan. 21, 2005	Order Approving a Plan of Distribution
IA-2303 IC-26617	Sep. 22, 2004	Notice of Proposed Plan for the Distribution of a Fair Fund and Opportunity for Comment
IA-2224 IC-26409	Mar. 31, 2004	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also, Mutual Fund Manager MFS Pays $50 Million Fine To Settle SEC Enforcement Action (Press Release No. 2004-44, Mar. 31, 2004)

Massachusetts Financial Services Co., John W. Ballen and Kevin R. Parke

File No. 3-11393

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-81701	Sep. 25, 2017	Order Authorizing the Transfer to the U.S. Treasury of Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
IA-3312 IC-29858	Nov. 9, 2011	Order Modifying Order Instituting Administrative and Cease- and-Desist Proceedings Pursuant to Sections 203(E), 203(F) and 203(K) of the Investment Advisers Act of 1940 and Sections 9(B) and 9(F) of The Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease- and-Desist Order as to Massachusetts Financial Services Company
34-65245	Sep. 1, 2011	Order Directing Disbursement of Distribution Fund
34-63240	Nov. 3, 2010	Order Modifying Distribution Plan and Directing Disbursement
34-59741	Apr. 9, 2009	Order Approving and Ratifying Prior Disbursement of Fair Fund
34-59048	Dec. 3, 2008	Order Directing Disbursement of Fair Fund
34-58412	Aug. 22, 2008	Order Directing Disbursement of Fair Fund
34-58320	Aug. 6, 2008	Order Directing Disbursement of Fair Fund
34-58090	Ju1. 2, 2008	Order Directing Disbursement of Fair Fund
34-57980	Jun. 17, 2008	Order Directing Disbursement of Fair Fund
34-57915	Jun. 4, 2008	Order Directing Disbursement of Fair Fund
34-57783	May 6, 2008	Order Directing Disbursement of Fair Fund
34-57687	Apr. 18, 2008	Order Directing Disbursement of Fair Fund
34-57396	Feb. 28, 2008	Order Directing Disbursement of Fair Fund
34-57276	Feb. 6, 2008	Order Directing Disbursement of Fair Fund
34-57117	Jan. 9, 2008	Order Directing Disbursement of Fair Fund
34-56922	Dec. 6, 2007	Order Directing Disbursement of Fair Fund
34-56743	Nov. 5, 2007	Order Directing Disbursement of Fair Fund
34-56527	Sep. 25, 2007	Revised Order Approving Modified Distribution Plan
34-56122	Jul. 24, 2007	Order Approving Modified Distribution Plan
		Plan of Distribution
34-55394	Mar. 2, 2007	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan
34-54744	Nov. 13, 2006	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan
34-54440A	Sep. 14, 2006	Notice of Proposed Distribution Plan and Opportunity for Comment Comments received are available for this notice
		Proposed Plan of Distribution
34-51829	Jun. 13, 2005	Order Directing Appointment of Tax Administrator and Establishing a Fair Fund
IA-2213 IC-26347	Feb. 5, 2004	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order; See also Dissent of Commissioner Glassman

See also, SEC Announces $31.5 Million Fair Fund Distribution to Investors Injured by Undisclosed Market Timing in MFS Funds (Press Release No. 2007-241, Nov. 20, 2007)

Maxwell Technologies, Inc., Van M. Andrews, David J. Schramm, and James W. Dewitt, Jr., CPA

File No. 3-18408

Release	Date	Notice, Order, or Plan
34-99587	Feb. 22, 2024	Order Authorizing the Transfer to the U.S. Treasury of Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, Canceling the Fund Administrator's Bond, and Terminating the Fair Fund
34-93025	Sep. 16, 2021	Order Directing Second Disbursement of Fair Fund
34-86125	Jun. 17, 2019	Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-86102	Jun. 13, 2019	Order Directing Disbursement of Fair Fund
34-84531	Nov. 5, 2018	Order Approving Plan of Distribution
		Plan of Distribution
34-84296	Sep. 27, 2018	Notice of Proposed Plan of Distribution and Opportunity to Comment
		Proposed Plan of Distribution
34-83727	Jul. 27, 2018	Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-83333	May 25, 2018	Order Appointing Tax Administrator
33-10472	Mar. 27, 2018	Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (“Order”

Moore Stephens Wurth Frazer & Torbet LLP and K. Dean Yamagata, CPA

File No. 3-14167

Note: Funds were transferred to the Distribution Agent.

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-81307	Aug. 3, 2017	Order Combining Funds with the China Energy Fair Fund
33-9166 34-63579 AAER-3221	Dec. 20, 2010	Order Instituting Public Administrative and Cease-and Desist Proceedings Pursuant To Section 8A of the Securities Act of 1933 and Section 4C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Metis Wealth Advisors, LLC and Juan R. Montermoso

File No. 3-16955

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-76595	Dec. 9, 2015	Order Appointing Tax Administrator
34-76432 IA-4262 IC-31900	Nov. 12, 2015	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 21c of the Securities Exchange Act of 1934, Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Michael D. Legoski

File No. 3-11620

Note: Funds were transferred to the U.S. Treasury.

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-51341	Mar. 9, 2005	Order Directing Appointment of Tax Administrator
34-50289 IA-2290 IC-26590	Aug. 30, 2004	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Michael J. Laughlin

File No. 3-11916

Note: this case has been consolidated with File No. 3-11359. Future materials will appear at the Alliance Capital Management, L.P. listing.

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-53447	Mar. 8, 2006	Order Directing Appointment of Tax Administrator
34-51642 IA-2380 IC-26860	Apr. 28, 2005	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Millennium Partners, L.P., Millennium Management, L.L.C., Millennium International Management, L.L.C., Israel Englander, Terence Feeney, Fred Stone, and Kovan Pillai; and Steven B. Markovitz

File Nos. 3-12116 and 3-11292

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-82046	Nov. 9, 2017	Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-67513	Jul. 26, 2012	Order Directing Disbursement of Fair Fund
34-63445	Dec. 6, 2010	Order Directing Disbursement of Fair Fund
34-62057	May 12, 2010	Corrected Order Directing Disbursement of Fair Fund
34-60593	Aug. 31, 2009	Order Directing Disbursement of Fair Fund
34-60056A	Jun. 5, 2009	Corrected Order Directing Disbursement of Fair Fund
34-56196	Aug. 3, 2007	Order Approving Distribution Plan, Appointing an Administrator, and Waiving Bond
34-55841	May 31, 2007	Notice of Proposed Distribution Plan and Opportunity for Comment Comments received are available for this notice.
		Proposed Plan of Distribution
34-54835	Nov. 29, 2006	Order Permitting Attorney to Resume Appearing and Practicing
33-8748 34-54586 IA-2561 IC-27513	Oct. 11, 2006	Order Making Findings and Imposing Disgorgement and Civil Penalties
34-53452	Mar. 8, 2006	Order Appointing Tax Administrator
33-8639 34-52863 IA-2453 IC-27172	Dec. 1, 2005	Order Instituting Administrative And Cease-and- Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
33-8298 34-48588 IA-2180 IC-26201	Oct. 2, 2003	Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions

Morgan Asset Management, Inc.; Morgan Keegan & Company, Inc.; James C. Kelsoe, Jr.; and Joseph Thompson Weller, CPA

File No. 3-13847

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-86602	Aug. 8, 2019	Order Authorizing the Transfer to U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, Canceling Fund Administrator's Bond, and Terminating the Fair Fund
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-80048	Feb. 15, 2017	Order Setting Fund Administrator's Bond Amount
34-78541	Aug. 11, 2016	Second Order Directing Disbursement of Fair Fund
34-72599	Jul. 11, 2014	Order Directing Disbursement of Fair Fund
34-70222	Aug. 16, 2013	Order Approving Modified Plan and Setting Fund Administrator Bond Amount
		Modified Plan of Distribution
34-70016	Jul. 23, 2013	Extension Order
34-69288	Apr. 3, 2013	Notice of Proposed Plan of Distribution and Opportunity for Comment Comments received are available for this notice.
		Proposed Plan of Distribution
34-65919	Dec. 8, 2011	Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-65227	Aug. 30, 2011	Order Appointing Fund Administrator
34-64917	Jul. 19, 2011	Order Appointing Tax Administrator
34-64720 IA-3218 IC-29704 AAER-3296	Jun. 22, 2011	Corrected Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order, and Imposing Suspension
33-9116 34-61856 IA-3009 IC-29203 AAER-3125	Apr. 7, 2010	Order Instituting Administrative and Cease-and-Desist Proceedings

Morgan Stanley & Co. Incorporated

File No. 3-12631

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-68299	Nov. 27, 2012	Order Authorizing the Transfer of Remaining Funds and Any Future Funds Returned to the Disgorgement Fund to the United States Treasury, Terminating the Disgorgement Fund, and Discharging the Plan Administrator
34-64078	Mar. 11, 2011	Order Directing Disbursement of Disgorgement Fund
34-63399	Nov. 30, 2010	Order Directing Disbursement of Disgorgement Fund
34-62162	May 24, 2010	Order Directing Disbursement of Disgorgement Fund
34-60568	Aug. 25, 2009	Order Approving Plan of Distribution
34-60567	Aug. 25, 2009	Order Appointing a Plan Administrator and Waiving Bond
34-60160	Jun. 23, 2009	Notice of Proposed Plan of Disgorgement and Opportunity for Comment
		Proposed Plan of Distribution
34-55911	Jun. 15, 2007	Order Appointing Tax Administrator
34-55726	May 9, 2007	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
33-8802 34-55727	May 9, 2007	Corrected Order Granting Waivers
33-8801	May 9, 2007	Corrected Order Granting a Waiver

Morgan Stanley & Co. Incorporated

File No. 3-12907

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-77559	Apr. 7, 2016	Order Authorizing the Transfer to the U.S. Treasury of Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund
34-70648	Oct. 9, 2013	Order Directing Disbursement of Fair Fund
34-61882	Apr. 9, 2010	Order Approving Plan and Appointing a Plan Administrator
		Final Plan of Distribution
34-61598	Feb. 26, 2010	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-57723 IC-28078	Apr. 28, 2008	Order Appointing Tax Administrator
34-56980 IC-28078	Dec. 18, 2007	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Morgan Stanley DW, Inc.

File No. 3-11335

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-53997	Jun. 15, 2006	Order Approving Final Accounting, Directing Payment of Remainder of Fair Fund to United States Treasury, and Discharging Plan Administrator
34-53996	Jun. 15, 2006	Order Directing Payment of Plan Administrator’s Fees and Expenses
33-8634 34-52735	Nov. 4, 2005	Notice Concerning Distribution Plan
33-8620 34-52540	Sep. 30, 2005	Order Directing Distribution of Fair Fund
33-8615 34-52482	Sep. 21, 2005	Order Approving Plan of Distribution and Appointing An Administrator
33-8602 34-52245	Aug. 12, 2005	Notice of Proposed Plan for the Distribution of a Fair Fund and Opportunity for Comment
34-51341	Mar. 9, 2005	Order Directing Appointment of Tax Administrator
33-8339 34-48789	Nov. 17, 2003	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also, SEC Charges Morgan Stanley With Inadequate Disclosure in Mutual Fund Sales (Press Release No. 2003-159, November 17, 2003)

Nancy C. Tengler

File No. 3-11727

Note: this case has been consolidated with File No. 3-11726. Future materials will appear at the Fremont Investment Advisors, Inc. listing.

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-51341	Mar. 9, 2005	Order Directing Appointment of Tax Administrator
IA-2318	Nov. 4, 2004	Order Instituting Adminstrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and Issuing a Cease-and-Desist Order

New York Life Investment Management LLC

File No. 3-13487

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-64750	Jun. 27, 2011	Order Terminating the Fair Fund
IA-2883 IC-28747	May 27, 2009	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Oxbow Advisors, LLC

File No. 3-19817

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-95873	Sep. 22, 2022	Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future and Terminating the Fair Fund

Packetport.com, Inc., Ronald Durando, Microphase Corp., Robert H. Jaffe, Gustave Dotoli, M. Christopher Agarwal, and Theodore Kunzog

File No. 3-12868

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-81874	Oct. 16, 2017	Order Authorizing the Transfer to the U.S. Treasury of Any Funds Returned to the Disgorgement Fund in the Future, Discharging the Fund Administrator, Canceling the Fund Administrator's Bond, and Terminating the Disgorgement Fund
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-76533	Dec. 1, 2014	Order Approving Application of Fund Administrator for Payment of Fees and Expenses
34-72598	Jul. 11, 2014	Order Directing Disbursement of Disgorgement Fund
34-65936	Dec. 12, 2011	Order Approving Distribution Plan
		Final Plan of Distribution
34-65498	Oct. 6, 2011	Order Appointing a Fund Administrator and Approving Administrator Bond
34-65490	Oct. 6, 2011	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-60852	Oct. 21, 2009	Order Appointing Tax Administrator
33-8858 34-56672	Oct. 18, 2007	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Paul George Chironis

File No. 3-13869

RELEASE	DATE	NOTICE, ORDER, OR PLAN
33-9170 34-63661 IC-29548	Jan. 6, 2011	Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order
33-9119 34-61968	Apr. 23, 2010	Order Instituting Administrative and Cease-and-Desist Proceedings

Paul W. Oliver, Jr.

File No. 3-13554

Note: this case has been consolidated with File No. 3-13553. Future materials will appear at the Mary Beth Stevens listing.

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-66039	Dec. 22, 2011	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
IA-2903 IC-28747	Jul. 17, 2009	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Pilgrim Baxter & Associates, Ltd.

File No. 3-11524

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-65017	Aug. 3, 2011	Order Disbursing Funds, Terminating Fair Fund, Discharging Plan Administrator, and Transferring Remaining Funds to the U.S. Treasury
34-59445	Feb. 25, 2009	Order Directing Disbursement of Fair Fund
34-56320	Aug. 24, 2007	Order Directing Disbursement of Fair Fund
34-55831	May 30, 2007	Order Directing Disbursement of Fair Fund
34-55627	Apr. 12, 2007	Order Directing Disbursement of Fair Fund
34-54812	Nov. 22, 2006	Order Approving a Distribution Plan
		Plan of Distribution
34-54073	Jun. 30, 2006	Notice Of Proposed Distribution Plan and Opportunity for Comment Comments received are available for this notice
		Proposed Plan of Distribution
IA-2458 IC-27181	Dec. 7, 2004	Order Directing Appointment of Tax Administrator
IA-2275 IC-26531	Aug. 11, 2004	Order Amending June 21, 2004 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and an Order to Cease and Desist
IA-2251 IC-26470	Jun. 21, 2004	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and an Order to Cease-and-Desist

PA Fund Management LLC f/k/a PIMCO Advisors Fund Management LLC, PEA Capital LLC f/k/a PIMCO Equity Advisors LLC, and PA Distributors LLC f/k/a PIMCO Advisors Distributors LLC

File No. 3-11645

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-81514	Aug. 31, 2017	Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-74071	Jan. 15, 2015	Order Directing Disbursement
34-65935	Dec. 9, 2011	Order Directing Disbursement of Fair Fund
34-64477	May 12, 2011	Order Directing Disbursement of Fair Fund
34-63518	Dec. 10, 2010	Order Approving Plan of Distribution, Appointing a Fund Administrator, and Waiving Bond
		Final Plan of Distribution
34-63059	Oct. 7, 2010	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-51341	Mar. 9, 2005	Order Directing Appointment of Tax Administrator
34-50354 IA-2292 IC-26594	Sep. 13, 2004	Order Instituting Administrative and Cease-and-Desist Proceedings Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Rose M. Rudden, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells

File No. 3-13532

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-76534	Dec. 1, 2015	Order Authorizing the Transfer of Remaining Funds and Any Funds Returned to the Fair Fund in the Future to the U.S. Treasury, Discharging the Fund Administrator, and Terminating the Fair Fund
34-71118	Dec. 18, 2013	Order Directing Disbursement of Fair Fund Residual
34-66947	May 8, 2012	Order Approving and Ratifying Prior Disbursement
34-64081	Mar. 14, 2011	Order Approving Distribution Plan of a Fair Fund and Appointing a Fund Administrator
34-63813	Feb. 1, 2011	Notice of Proposed Modified Plan of Distribution and Opportunity for Comment
		Proposed Modified Plan of Distribution
34-63563	Dec. 16, 2010	Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells
34-62979	Sep. 23, 2010	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-62264	Jun. 10, 2010	Order Appointing Tax Administrator
33-9113 34-61719	Mar. 16, 2010	Order Making Findings and Imposing Remedial Sanctions as to Prime Capital Services, Inc. and Gilman Ciocia, Inc.
34-61079 IA-2957	Nov. 30, 2009	Order Making Findings and Imposing Remedial Sanctions as to Christie A. Andersen
33-9047 34-60190 IA-2898	Jun. 30, 2009	Order Instituting Administrative and Cease-and-Desist Proceedings
	Jun. 30, 2009	Order Instituting Administrative and Cease-and-Desist Proceedings

Prudential Equity Group, LLC f/k/a Prudential Securities Inc.

File No. 3-12400

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-81444	Aug. 21, 2017	Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Distribution Fund in the Future, Discharging the Fund Administrator, and Terminating the Distribution Fund
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-64328	Apr. 22, 2011	Order Directing Disbursement of Distribution Fund
34-62848	Sep. 3, 2010	Order Directing Disbursement of Distribution Fund
34-62551	Jul. 22, 2010	Order Directing Disbursement of Distribution Fund
34-62265	Jun. 10, 2010	Order Directing Disbursement of Distribution Fund
34-61974	Apr. 23, 2010	Corrected Order Directing Disbursement of Distribution Fund
34-61691	Mar. 11, 2010	Corrected Order Directing Disbursement of Distribution Fund
34-61501	Feb. 4, 2010	Order Approving Distribution Plan, Appointing a Fund Administrator, and Waiving Bond
34-61117	Dec. 4, 2009	Notice of Proposed Distribution Plan and Opportunity For Comment
		Proposed Plan of Distribution
34-54470	Sep. 19, 2006	Order Appointing Tax Administrator
34-54371	Aug. 28, 2006	Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
33-8734 34-54372	Aug. 28, 2006	Order Granting Waivers
33-8733	Aug. 28, 2006	Order Granting a Waiver

Putnam Investment Management LLC

File No. 3-11317

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-67591	Aug. 2, 2012	Order Authorizing the Transfer of Residual Funds and Any Future Funds Received by the Fair Fund to the U.S. Treasury, Discharging the Fund Administrator, and Terminating the Fair Fund
34-65243A	Dec. 12, 2011	Amended Order Directing Disbursement of Fair Fund Residual
34-65243	Sep. 1, 2011	Order Directing Disbursement of Fair Fund Residual
34-64034	Mar. 4, 2011	Order Directing Disbursement of Fair Fund
34-63221	Nov. 1, 2010	Order Directing Disbursement of Fair Fund
34-61463	Feb. 2, 2010	Order Directing Disbursement of Fair Fund
34-61098	Dec. 2, 2009	Order Directing Disbursement of Fair Fund
34-60412	Jul. 31, 2009	Order Directing Disbursement of Fair Fund
34-59994	May 28, 2009	Order Directing Disbursement of Fair Fund
34-59447	Feb. 25, 2009	Order Directing Disbursement of Fair Fund
34-59041	Dec. 2, 2008	Order Directing Disbursement of Fair Fund
34-58369a	Aug. 15, 2008	Corrected Order Directing Disbursement of Fair Fund
34-56115	Jul. 20, 2007	Order Approving Modified Distribution Plans
		Plan of Distribution
34-55849	Jun. 1, 2007	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (to 7/16/07
34-55561	Mar. 30, 2007	Notice of Proposed Distribution Plan and Opportunity For Comment Comments received are available for this proposal.
		Proposed Plan of Distribution
34-51341	Mar. 9, 2005	Order Directing Appointment of Tax Administrator
34-50039	Jul. 20, 2004	Order Denying Motion to Vacate Administrative Orders
IA-2226 IC-26412	Apr. 8, 2004	Order Making Findings and Imposing Supplemental Remedial Sanctions
614	Apr. 7, 2004	Order
613	Mar. 26, 2004	Order
IA-2192 IC-26255	Nov. 13, 2003	Order Making Findings and Imposing Partial Relief, Including a Final Censure, Remedial Undertakings and a Cease and Desist Order
IA-2185	Oct. 28, 2003	In the Matter of Putnam Investment Management LLC

See also, SEC Announces Fair Fund Distribution to Harmed Investors in Putnam Mutual Funds (Press Release No. 2008-178, August 18, 2008)

Putnam Investment Management LLC

File No. 3-11868

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-53042	Dec. 29, 2005	Order Appointing Plan Administrator
34-53041	Dec. 29, 2005	Order Directing Appointment of Tax Administrator
IA-2425 IC-27062	Sep. 12, 2005	Order Approving a Plan of Distribution of a Fair Fund and Appointing a Plan Administrator
IA-2387 IC-26873	May 19, 2005	Notice of Proposed Plan for the Distribution of a Fair Fund and Opportunity for Comment
IA-2370 IC-26788	Mar. 23, 2005	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also, Mutual Fund Manager Putnam Pays $40 Million Fine to Settle SEC Enforcement Action (Press Release No. 2005-40, March 23, 2005)

Raymond James Financial Services, Inc. and J. Stephen Putnam

File No. 3-11692

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-60700	Sep. 21, 2009	Order Discharging Plan Administrator and Terminating Fair Fund
34-54436	Sep. 13, 2006	Order Approving Plan of Fair Fund Distribution, Approving Distribution of Funds, and Appointing Administrator
34-53572	Mar. 30, 2006	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Distribution Plan
34-53353	Feb. 23, 2006	Order Appointing Tax Administrator
33-8636 34-52810	Nov. 21, 2005	Notice That Initial Decision Has Become Final
622	Oct. 14, 2005	Order Denying Motion to Correct Manifest Errors of Fact
ID-296	Sep. 15, 2005	Initial Decision
33-8597 34-52164 IA-2411	Jul. 29, 2005	Order Granting Extension
619	Feb. 10, 2005	Order on Motion to Quash
34-51090 IA-2345	Jan. 28, 2005	Order Making Findings and Imposing Remedial Sanctions as to David Lee Ullom
33-8499 34-50476 IA-2309	Sep. 30, 2004	In the Matter of Raymond James Financial Services, Inc., J. Stephen Putnam and David Lee Ullom
	Sep. 30, 2004	Order Instituting Public Administrative and Cease-and-Desist Proceedings and Notice of Hearing

Ronald St. Clair, CPA, and Lawrence Swan, CA

File No. 3-14615

Note: Funds were transferred to the U.S. Treasury.

RELEASE	DATE	NOTICE, ORDER, OR PLAN
33-9274 34-65698 IC-29856	Nov. 7, 2011	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

RBC Capital Markets, LLC (formerly known as RBC Capital Markets Corp.)

File No. 3-14564

RELEASE	DATE	NOTICE, ORDER, OR PLAN
33-9262 34-65404 IA-3289	Sep. 27, 2011	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also, SEC Charges RBC Capital Markets in Sale of Unsuitable CDO Investments to Wisconsin School Districts (Press Release No. 2011-191, September 27, 2011)

Resolute Capital Partners Ltd, LLC, et al.

File No. 3-20597

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-94779	Apr. 22, 2022	Extension Order

Ritchie Capital Management L.L.C., Ritchie Multi-Strategy Global Trading, Ltd., A.R. Thane Ritchie, and Warren Louis DeMaio

File No. 3-12947

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-65309	Sep. 9, 2011	Order Discharging Plan Administrator and Terminating Fair Fund
34-60986	Nov. 10, 2009	Order Directing Disbursement of Fair Fund
34-59085	Dec. 11, 2008	Order Approving Distribution Plan, Appointing A Plan Administrator, and Waiving Bond
		Notice of Proposed Distribution Plan and Opportunity for Comment
34-57549	Mar. 24, 2008	Order Appointing a Tax Administrator
33-8890 34-57271 IA-2701 IC-28142	Feb. 5, 2008	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Robertson Stephens, Inc.

File No. 3-11003

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-54527	Sep. 27, 2006	Order Authorizing Disbursement of Funds From Fair Fund to Pay Fees and Taxes and Disbursement of Remaining Fund Balance to U.S. Treasury
34-51406	Mar. 22, 2005	Order Directing Distribution of Disgorgement Fund
34-51341	Mar. 9, 2005	Order Directing Appointment of Tax Administrator
34-49299	Feb. 23, 2004	Order Approving Plan for the Distribution of Disgorgement Fund
		Notice of Proposed Plan of Distribution and Proposed Plan of Distribution
34-47144	Jan. 9, 2003	Order Instituting Administrative Proceedings, Making Findings and Imposing Sanctions

Ronald E. Huxtable II

File No. 3-15748

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-72505	Jul. 1, 2014	Order Appointing Tax Administrator
33-9547 34-71537 IA-3777 IC-30918	Feb. 12, 2014	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, And Imposing Remedial Sanctions and a Cease-and-Desist Order

RS Investment Management, Inc., RS Investment Management, L.P., G. Randall Hecht and Steven M. Cohen

File No. 3-11696

RELEASE	DATE	NOTICE, ORDER, OR PLAN
IA-3353 IC-29917	Jan. 13, 2012	Order Modifying Order Instituting Administrative and Cease-And-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order as to RS Investment Management, Inc. and RS Investment Management, L.P.
34-63904	Feb. 14, 2011	Order Discharging Fund Administrator and Terminating Fair Fund
34-61037	Nov. 19, 2009	Order Directing Disbursement
34-57661	Apr. 14, 2008	Order Directing Disbursement of Fair Fund
34-56222	Aug. 8, 2007	Order Approving Modified Distribution Plan
		Plan of Distribution
34-56043	Jul. 11, 2007	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan
34-55753	May 14, 2007	Notice of Proposed Distribution Plan and Opportunity for Comment Comments received are available for this proposal.
		Proposed Distribution Plan
34-51341	Mar. 9, 2005	Order Directing Appointment of Tax Administrator
IA-2310 IC-26627	Oct. 6, 2004	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Sarkauskas and Associates, Inc. and James M. Sarkauskas

File No. 3-15471

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-87173	Sep. 30, 2019	Order Authorizing the Transfer of Remaining Funds and Any Future Funds Returned to the Fair Fund to the U.S. Treasury, Discharging Fund Administrator, Cancelling Administrator's Bond, and Terminating the Fair Fund
34-81416	Aug. 17, 2017	Order Directing Disbursement of Fair Fund, Payment of Fund Administrator's Fees and Approval for Future Fees and Expenses
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-77048	Feb. 3, 2016	Order Approving Plan of Distribution
		Plan of Distribution
34-76775	Dec. 24, 2015	Notice of Proposed Plan of Distribution and Oppurtunity for Comment
		Proposed Plan of Distribution
34-76318	Oct. 30, 2015	Extension Order
34-75034	May 21, 2015	Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount
34-74851	Apr. 30, 2015	Extension Order
34-73655	Nov. 20, 2014	Extension Order
34-73323	Oct. 8, 2014	Order Appointing Tax Administrator
34-70388 IA-3669 IC-30687	Sep. 13, 2013	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

SCF Investment Advisors, Inc.

File No. 3-19912

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-96255	Nov. 8, 2022	Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future and Terminating the Fair Fund

Smith Barney Fund Management LLC and Citigroup Global Markets, Inc.

File No. 3-11935

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-81700	Sep. 25, 2017	Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-65460	Sep. 30, 2010	Order Modifying the Distribution Plan
34-62088	May 12, 2010	Order Directing Disbursement of Fair Fund
34-61917	Apr. 15, 2010	Order Approving Plan of Distribution
		Final Plan of Distribution
34-61587	Feb. 25, 2010	Notice of Proposed Plan of Distribution and Extension of Opportunity for Comment
		Proposed Plan of Distribution (with attachments)
34-61312	Jan. 7, 2010	Notice of Proposed Plan of Distribution and Opportunity for Comment
34-53453	Mar. 8, 2006	Order Appointing Tax Administrator
33-8577 34-51762	May 31, 2005	Order Granting Waivers
33-8576	May 31, 2005	Order Granting a Waiver
34-51761 IA-2390	May 31, 2005	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Southwest Securities, Inc., Daniel R. Leland, Kerry M. Rigdon and Kevin J. Marsh

File No. 3-11793

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-82000	Nov. 2, 2017	Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-65016	Aug. 2, 2011	Order Directing Disbursement of Fair Fund
34-63172	Oct. 25, 2010	Order Approving Plan of Distribution
		Final Plan of Distribution
34-62810	Sep 1, 2010	Order Appointing Fund Administrator and Waiving the Bond Requirement
34-62809	Sep. 1, 2010	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-53460	Mar. 9, 2006	Order Appointing Tax Administrator
33-8521	Jan. 10, 2005	Order Granting a Waiver
34-51002 IA-2341 IC-26721	Jan. 10, 2005	Order Instituting Public Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions, and Instituting Cease-and-Desist Proceedings and Imposing a Cease-and-Desist Order

Specialist

Bear Wagner Specialists LLC, File No. 3-11445
Fleet Specialist, Inc., File No. 3-11446
LaBranche & Co. LLC, File No. 3-11447
Spear, Leeds & Kellogg Specialists LLC, File No. 3-11448
Van der Moolen Specialists USA, LLC, File No. 3-11449
Performance Specialist Group LLC, File No. 3-11558
SIG Specialists, Inc., File No. 3-11559

Stephen R. Moynahan

File No. 3-13263

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-65937	Dec. 12, 2011	Order Discharging Plan Administrator and Terminating Fair Fund
34-61069	Nov. 30, 2009	Order Directing Disbursement of Fair Fund
34-59693	Apr. 2, 2009	Order Approving Distribution Plan
		Proposed Distribution Plan
34-59339	Feb. 2, 2009	Notice of Proposed Distribution Plan and Opportunity for Comment
34-58689	Sep. 30, 2008	Order Instituting Administrative and Cease-and-Desist Proceedings

Strong Capital Management, Inc.

File No. 3-12448

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-70003	Jul. 18, 2013	Order Authorizing the Transfer of Remaining Funds and Any Future Funds Received by the Fair Fund to the U.S. Treasury, Discharging the Fund Administrator, and Terminating the Fair Fund
34-66496	Mar. 1, 2012	Order Directing Disbursement of Fair Fund
34-65465	Oct. 3, 2011	Order Approving Plan of Distribution
34-65023	Aug. 3, 2011	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-65022	Aug. 3, 2011	Order Appointing Fund Administrator and Waiving Bond Requirement
34-54639	Oct. 23, 2006	Order Appointing Tax Administrator
IA-2560 IC-27508	Sep. 29, 2006	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions

Taberna Capital Management, LLC, Michael Fralin, and Raphael Licht

File No. 3-16776

Release	Date	Notice, Order, or Plan
34-97388	Apr. 27, 2023	Order Authorizing the Transfer to the U.S. Treasury of Funds Remaining in the Fair Fund and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, Canceling the Fund Administrator's Bond, and Terminating the Fair Fund
34-93704	Dec. 2, 2021	Order Directing Second Disbursement of Fair Fund
34-93026	Sep. 16, 2021	Order Directing Disbursement of Fair Fund
34-85762	May 2, 2019	Order Approving Modified Plan of Distribution
		Modified Distribution Plan
34-85092	Feb. 11, 2019	Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
34-84725	Dec. 6, 2018	Notice of Proposed Plan of Distribution and Opportunity for Comment *Comments due:* 30 days from date of this Notice Comments received are available for this proposed plan.
		Proposed Distribution Plan
34-84329	Oct. 1, 2018	Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-82124	Nov. 20, 2017	Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-81477	Aug. 24, 2017	Order Establishing a Fair Fund
34-81244	Jul. 27, 2017	Order Appointint Tax Administrator
34-75814 IA-4186 IC-31803	Sep. 2, 2015	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Thomas A. Kolbe

File No. 3-11618

Note: Funds were transferred to the U.S. Treasury.

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-51341	Mar. 9, 2005	Order Directing Appointment of Tax Administrator
IA-2288 IC-26588	Aug. 30, 2004	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Timothy J. Miller

File No. 3-11619

Note: Funds were transferred to the U.S. Treasury.

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-51341	Mar. 9, 2005	Order Directing Appointment of Tax Administrator
IA-2289 IC-26589	Aug. 30, 2004	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Tilden Loucks & Woodnorth, LLC, LaSalle St. Securities, LLC, and Ralph B. Loucks

File No. 3-15081

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-81221	Jul. 26, 2017	Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Disgorgement Fund in the Future, and Terminating the Disgorgement Fund
34-68118 IA-3494	Oct. 29, 2012	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

UBS Fin Servs

File No. 3-20401

Release	Date	Notice, Order, or Plan
34-99579	Feb. 21, 2024	Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future and Terminating the Fair Fund
IA-5781	July 19, 2021	Order Instituting Administrative and Cease-And-Desist Proceedings, Pursuant To Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions And A Cease-and-Desist Order

UBS Financial Services Inc. of Puerto Rico

File No. 3-14863

Release	Date	Notice, Order, or Plan
34-96419	Dec. 1, 2022	Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, Canceling the Administrator's Bond, and Terminating the Fair Fund
34-89195	Jun. 30, 2020	Order Directing Disbursement of Fair Fund
34-87586	Nov. 21, 2019	Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-80070	Feb. 21, 2017	Order Approving Plan of Distribution
		Plan of Distribution; Exhibit A; Exhibit B
34-79754	Jan. 6, 2017	Notice of Proposed Plan of Distribution and Opportunity for Comment *Comments due:* 30 days from date of this Notice Comments received are available for this proposed plan.
		Proposed Plan of Distribution
34-68600	Jan. 8, 2013	Order Appointing a Fund Administrator and Approving Fund Administrator Bond
33-9343 34-67526	Jul. 27, 2012	Order Extending the Time by Which UBS PR Shall Submit to the Commission the Findings of the Independent Consultant Making Recommendations for Any Changes in or Improvements To UBS PR’s Policies, Procedures, and Practices, and a Procedure for Implementing Such Recommended Changes
33-9332 34-67359	Jul. 5, 2012	Order Extending Time to Retain an Independent Third-Party Consultant
34-67148	Jun. 6, 2012	Extension Order
34-67042	May 22, 2012	Order Appointing Tax Administrator
33-9318 34-66893	May 1, 2012	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

UBS Willow Management L.L.C. and UBS Fund Advisor L.L.C.

File No. 3-16909

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-82096	Nov. 16, 2017	Order Approving Final Accounting and Authorizing Transfer of the Distribution Residual to the United States Treasury
33-9964 IA-4233 IC-31869	Oct. 16, 2017	Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8a of The Securities Act of 1933, Sections 203(E) And 203(K) of The Investment Advisers Act of 1940, and Sections 9(B) and 9(F) of The Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Value Line, Inc., Value Line Securities, Inc., Jean Bernhard Buttner, and David Henigson

File No. 3-13675

Release	Date	Notice, Order, or Plan
34-97949	Jul. 19, 2023	Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-79553	Dec. 14, 2016	Order Directing Disbursement of Fair Fund and Vacating Prior Order Of Disbursement
34-69469	Apr. 26, 2013	Order Directing Disbursement of Fair Fund
34-63640	Jan. 4, 2011	Order Approving Distribution Plan
		Final Plan of Distribution
34-63269	Nov. 8, 2010	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-62837	Sep. 2, 2010	Order Appointing a Fund Administrator and Waiving Bond
34-61316	Jan. 8, 2010	Extension Order
34-61045	Nov. 20, 2009	Order Appointing Tax Administrator
33-9081 34-60936 IA-2945 IC-28989	Nov. 4, 2009	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

VCAP Securities, LLC, and Brett Thomas Graham

File No. 3-16389

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-90451	Nov. 18, 2020	Order Authorizing the Transfer to the U.S. Treasury of the Remaning Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-79850	Jan. 19, 2017	Order Directing Disbursement of Fair Fund
34-76877	Jan. 12, 2016	Order Approving Plan of Distribution
		Plan of Distribution
34-76511	Nov. 24, 2015	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-75924	Sep. 15, 2015	Extension Order
34-74993	May 19, 2015	Extension Order
34-74508	Mar. 13, 2015	Order Appointing Tax Administrator
34-74305	Feb. 19, 2015	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Veras Capital Master Fund, VEY Partners Master Fund, Veras Investment Partners, LLC, Kevin D. Larson, and James R. McBride

File No. 3-12133

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-60705	Sep. 22, 2009	Order Discharging Plan Administrator and Terminating Fair Fund
34-55847	Jun. 1, 2007	Second Order Directing Disbursement of Fair Fund
34-55363	Feb. 27, 2007	Order Directing Disbursement of Fair Fund
34-54568A	Oct. 4, 2006	Corrected Order Approving Distribution Plan of a Fair Fund
34-54299	Aug. 10, 2006	Notice of Proposed Distribution Plan and Opportunity for Comment
		Distribution Plan
34-53466	Mar. 10, 2006	Order Appointing Tax Administrator
33-8646 34-53011 IA-2466 IC-27197	Dec. 22, 2005	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Voya Investments, LLC and Directed Services, LLC

File No. 3-18393

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-83764	August 2, 2018	Order Authorizing the Transfer to the U.S. Treasury of Any Funds Returned to the Disgorgement Fund in the Future and Terminating the Disgorgement Fund
34-82837 IA-4868	March 8, 2018	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 15(B) of the Securities Exchange Act of 1934 and Sections 203(E) and 203(K) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Waddell & Reed, Inc., Waddell & Reed Investment Management Company, and Waddell & Reed Services Company

File No. 3-12372

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-84815	Dec. 13, 2018	Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund
34-82333	Dec. 14, 2017	Order Directing Disbursement of a Fair Fund
34-81064	Jun. 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-75485	Jul. 17, 2015	Order Directing Disbursement of a Fair Fund
34-74756	Apr. 17, 2015	Order Directing Disbursement of a Fair Fund
34-74079	Jan. 16, 2015	Order Directing Disbursement of a Fair Fund
34-72610	Jul. 15, 2014	Order Directing Disbursement of a Fair Fund
34-70151	Aug. 9, 2013	Order Approving Plan of Distribution, Appointing a Fund Administrator, and Waiving Bond Requirement
34-69437	Apr. 23, 2013	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-55369	Feb. 28, 2007	Order Appointing Tax Administrator
34-54193 IA-2537 IC-27424	Jul. 24, 2006	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also:

Division of Corporation Finance No-Action Letter (October 31, 2006)

Weiss Research, Inc., Martin Weiss, and Lawrence Edelson

File No. 3-12341

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-67940	Oct. 2, 2012	Order Authorizing Payment of Final Invoices for the Tax Administrator and Plan Administrator, Transferring Remaining Funds and Any Future Funds Returned to the Fair Fund to the U.S. Treasury, Terminating the Fair Fund, and Discharging the Plan Administrator
34-64650	Jun. 13, 2011	Order Approving Application of Distribution Administrator for Fees and Expenses
34-60901	May 11, 2010	Order Approving Application of Distribution Administrator for Fees and Expenses and Directing Disbursement of Fair Fund
34-60901	Oct. 29, 2009	Order Approving Application of Distribution Administrator for Fees and Expenses
34-60125	Jun. 17, 2009	Order Approving Application of Distribution Administrator for Fees and Expenses
34-59813	Apr. 22, 2009	Order Directing Disbursement of Fair Fund
34-59269	Jan. 21, 2009	Order Approving Application of Fund Administrator for Fees and Expenses
34-58417	Aug. 25, 2008	Order Approving Application of Fund Administrator for Fees and Expenses
34-57732	Apr. 29, 2008	Order Approving Application of Fund Administrator for Fees and Expenses
34-56310	Aug. 23, 2007	Order Approving Distribution Plan
34-56011	Jul. 5, 2007	Notice of Proposed Distribution Plan and Opportunity for Comment
		Proposed Plan of Distribution
34-55952	Jun. 25, 2007	Order Granting Extension of Time to File Proposed Plan of Distribution, Approving Plan Administrator, and Approving Administrator Bond
34-54662	Oct. 27, 2006	Order Granting Motion for Extension of Time to File Distribution Plan
34-54406	Sep. 6, 2006	Order Granting Motion for Extension of Time to File Distribution Plan
34-54405	Sep. 6, 2006	Order Appointing a Tax Administrator
IA-2525	Jun. 22, 2006	Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC and Shawn Patrick McMurtry

File No. 3-14982

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-94768	Apr. 21, 2022	Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, Canceling the Administrator's Bond, and Terminating the Fair Fund
34-85384	Mar. 21, 2019	Order Disbursement of Fair Fund
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-80302	Mar. 23, 2017	Order Approving Plan of Distribution
		Plan of Distribution
34-79888	Jan. 27, 2017	Notice of Proposed Plan of Distribution and Oppurtunity for Comment
		Proposed Plan of Distribution
34-69917	Jul. 2, 2013	Order Appointing Fund Administrator and Approving Fund Administrator Bond Amount
34-69149	Mar. 15, 2013	Extension Order
34-67972	Oct. 3, 2012	Extension Order
34-67829	Sep. 11, 2012	Order Appointing Tax Administrator
33-9349 34-67649 IC-30167	Aug. 14, 2012	Order Instituting Administrative and Cease-and-Desist Proceedings Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also:

SEC Announces Securities Laws Violations by Wachovia Involving Mortgage-Backed Securities (Press Release No. 2011-83, April 5, 2011)

Wells Fargo Securities LLC (f/k/a Wachovia Capital Markets LLC)

File No. 3-14320

RELEASE	DATE	NOTICE, ORDER, OR PLAN
33-9201	Apr. 5, 2011	Order Granting Waivers as to Wells Fargo Securities and Its Affiliates
33-9200	Apr. 5, 2011	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also:

SEC Announces Securities Laws Violations by Wachovia Involving Mortgage-Backed Securities (Press Release No. 2011-83, April 5, 2011)

West Coast Asset Management, Inc. and Lance W. Helfert

File No. 3-15660

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-71474	Feb. 4, 2014	Order Appointing Tax Administrator
33-9501 34-3746	Dec. 23, 2013	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8a of the Securities Act of 1933, and Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Yale I. Asbell

File No. 3-16163

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-73478	Oct. 30, 2014	Order Appointing Tax Administrator
34-73206 IA-3933 IC-31260	Sep. 24, 2014	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Note: distribution made by the Order Instituting Proceedings, Release No. 34-73206.

Zurich Capital Markets Inc.

File No. 3-12628

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-74154	Jan. 27, 2015	Order Authorizing the Transfer of Residual Funds and Any Future Funds Returned to the Fair Fund to the U.S. Treasury, Discharging the Fund Administrator and Terminating the Fair Fund
34-63420	Dec. 2, 2010	Order Directing Disbursement of Fair Fund
34-62217	Jun. 3, 2010	Order Approving Plan, Appointing a Fund Administrator, and Waiving Bond
		Final Plan of Distribution
34-61918	Apr. 15, 2010	Notice of Proposed Distribution Plan and Opportunity for Comment
		Proposed Plan of Distribution
34-56397	Sep. 12, 2007	Order Appointing Tax Administrator
34-55711 IC-27819	May 7, 2007	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

RELEASE	DATE	NOTICE, ORDER, OR PLAN
34-67809	Sep. 10, 2012	Order Denying Request of Robert J. Peacock for "Review And Repeal" of Commission's Order of May 26, 2011
34-64553	May 26, 2011	Order Approving Transfer of Remaining Distribution Funds to the U.S. Treasury Note: See also the Dissent of Commissioner Paredes in this matter
34-61199A	Dec. 17, 2009	Corrected Order Approving a Distribution, Authorizing Disbursement of Funds, Modifying Prior Order, and Modifying Distribution Plan
34-60403	Jul. 30, 2009	Notice of Closing of the Distribution Funds and Opportunity for Comment as to Use of Remaining Funds Comments received are available for this proposal.
34-60402	Jul. 30, 2009	Order Approving Audit Reports, Announcing the Decision to Close the Distribution Funds Following a Final Distribution, Approving Publication of a Notice Seeking Comments on the Use of the Remaining Funds, Modifying Prior Order and Modifying Distribution Plan
34-58035	Jun. 26, 2008	Order Approving a Distribution, Authorizing Disbursement of Funds, Modifying Prior Order, and Modifying Distribution Plan
34-56944	Dec. 12, 2007	Order Approving a Distribution and Authorizing Disbursement of Funds
34-55915	Jun. 15, 2007	Order Approving a Distribution, Authorizing Disbursement of Funds, Modifying Prior Order, and Modifying Distribution Plan
34-54815	Nov. 24, 2006	Order Approving a Distribution and Authorizing Disbursement of Funds
34-54102	Jul. 5, 2006	Order Modifying Prior Order, Modifying Distribution Plan, Approving a Distribution, and Authorizing Disbursement of Funds
		Fund Administrator's Modified Fair Fund Distribution Plan
34-53823	May 17, 2006	Order Approving a Distribution Plan
34-53025	Dec. 27, 2005	Notice of Proposed Distribution Plan and Opportunity for Comment Comments received are available for this proposal.
		Fund Administrator's Proposed Fair Fund Distribution Plan
Order Authorizing Disbursement of Funds from Fair Fund to Pay Estimated Taxes
34-52443	Sep. 15, 2005	Bear Wagner Specialists LLC
34-52442	Sep. 15, 2005	Fleet Specialist, Inc.
34-52441	Sep. 15, 2005	LaBranche & Co. LLC
34-52440	Sep. 15, 2005	Performance Specialist Group LLC
34-52439	Sep. 15, 2005	Spear, Leeds & Kellogg Specialists LLC
34-52438	Sep. 15, 2005	SIG Specialists, Inc.
34-52437	Sep. 15, 2005	Van der Moolen Specialists, USA, LLC
Order Modifying Prior Orders, Extending Period of Time Granted to Heffler, Radetich & Saitta L.L.P. to Submit Plan Identifying Injured Customers
34-52233	Aug. 10, 2005	LaBranche & Co. LLC
34-52232	Aug. 10, 2005	SIG Specialists, Inc.
34-52231	Aug. 10, 2005	Performance Specialist Group LLC
34-52230	Aug. 10, 2005	Van der Moolen Specialists, USA, LLC
34-52229	Aug. 10, 2005	Spear, Leeds & Kellogg Specialists LLC
34-52228	Aug. 10, 2005	Bear Wagner Specialists LLC
34-52227	Aug. 10, 2005	Fleet Specialist, Inc.
Order Authorizing Disbursement of Funds from Fair Fund to Pay Estimated Taxes
34-51849	Jun. 14, 2005	SIG Specialists, Inc.
34-51848	Jun. 14, 2005	Performance Specialist Group LLC
34-51847	Jun. 14, 2005	Van der Moolen Specialists, USA, LLC
34-51846	Jun. 14, 2005	Spear, Leeds & Kellogg Specialists LLC
34-51845	Jun. 14, 2005	LaBranche & Co. LLC
34-51844	Jun. 14, 2005	Fleet Specialist, Inc.
34-51843	Jun. 14, 2005	Bear Wagner Specialists LLC
Order Authorizing Disbursement of Funds from Fair Fund to Pay Estimated Taxes
34-51557	Apr. 15, 2005	Van der Moolen Specialists, USA, LLC
34-51556	Apr. 15, 2005	Spear, Leeds & Kellogg Specialists LLC
34-51555	Apr. 15, 2005	SIG Specialists, Inc.
34-51554	Apr. 15, 2005	Performance Specialist Group LLC
34-51553	Apr. 15, 2005	LaBranche & Co. LLC
34-51552	Apr. 15, 2005	Fleet Specialist, Inc.
34-51551	Apr. 15, 2005	Bear Wagner Specialists LLC
Order Modifying Prior Order, Extending Period of Time Granted to Heffler, Radetich & Saitta L.L.P. to Submit Plan Identifying Injured Customers
34-51495	Apr. 6, 2005	Bear Wagner Specialists LLC
34-51494	Apr. 6, 2005	Fleet Specialist, Inc.
34-51493	Apr. 6, 2005	LaBranche & Co. LLC
34-51492	Apr. 6, 2005	Spear, Leeds & Kellogg Specialists LLC
34-51491	Apr. 6, 2005	Van der Moolen Specialists, USA, LLC
34-51490	Apr. 6, 2005	Performance Specialist Group LLC
34-51489	Apr. 6, 2005	SIG Specialists, Inc.
Order Supplementing Prior Order, Creating a Fair Fund, Appointing Heffler, Radetich & Saitta L.L.P. as Fund Administrator, and Directing the Transfer of Funds
34-50535	Oct. 13, 2004	Van der Moolen Specialists, USA, LLC
34-50534	Oct. 13, 2004	SIG Specialists, Inc.
34-50533	Oct. 13, 2004	Spear, Leeds & Kellogg Specialists LLC
34-50532	Oct. 13, 2004	Performance Specialist Group LLC
34-50531	Oct. 13, 2004	LaBranche & Co. LLC
34-50530	Oct. 13, 2004	Fleet Specialist, Inc.
34-50529	Oct. 13, 2004	Bear Wagner Specialists LLC
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
34-50076	Jul. 26, 2004	SIG Specialists, Inc.
34-50075	Jul. 26, 2004	Performance Specialist Group LLC
34-49502	Mar. 30, 2004	Van der Moolen Specialists, USA, LLC (Corrected Order)
34-49501	Mar. 30, 2004	Spear, Leeds & Kellogg Specialists LLC
34-49500	Mar. 30, 2004	LaBranche & Co. LLC
34-49499	Mar. 30, 2004	Fleet Specialist, Inc.
34-49498	Mar. 30, 2004	Bear Wagner Specialists LLC