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).

See also Current Fair Funds and Disgorgement Plans.

List of Cases


AEGON USA Investment Management, LLC; Transamerica Asset Management, Inc.; Transamerica Capital, Inc.; and Transamerica Financial Advisors, Inc.

File Nos. 3-18681


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

File Nos. 3-15134 and 3-15135


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

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


American Skandia Investment Services, Inc.

File No. 3-13446


Ameriprise Financial Services, Inc.

File No. 3-13544

Note: Funds transferred to U.S. Treasury.


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

File No. 3-12115

See also:


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

File No. 3-13230

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


Ark Asset Management Co., Inc.

File No. 3-13714


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

See also, SEC Announces $103 Million Fair Fund Distribution to Investors Injured by Market Timing Involving Banc of America Capital Management and Affiliates (Press Release No. 2008-114, June 18, 2008)


Banc of America Securities, LLC

File No. 3-12591

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

See also, SEC Enforcement Action Against Banc of America Securities for Failing to Safeguard Nonpublic Research Information and Publishing Fraudulent Research; Firm To Pay $26 Million (Press Release No. 2007-42, March 14, 2007)


Banc One Investment Advisors Corporation and Mark A. Beeson

File No. 3-11530

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


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

File No. 3-12238

See also the following Press Releases:


Bethany Liou

File No. 3-19597


BISYS Fund Services

File No. 3-12432


BNY Mellon Securities LLC and Mark Shaw

File Nos. 3-14191 and 3-14192


BOKF, NA, and Lawson Financial Corporation and Robert Lawson

File Nos. 3-17533, 3-17901

Note: Funds were transferred to the Court Monitor.


Bridgeway Capital Management, Inc. and John Noland Ryan Montgomery

File No. 3-11659


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.


Cadaret and Grant & Co., Inc.

File No. 3-18087


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

File No. 3-18738


Canadian Imperial Holdings Inc. and CIBC World Markets Corp.

File No. 3-11987

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


Comprehensive Capital Management, Inc.

File No. 3-15393

Note: Funds were transferred to the Court Receiver.


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 


Dominick & Dominick LLC and Robert X. Reilly

File No. 3-15987


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

File No. 3-16751


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

File No. 3-11780

See also the following Press Releases:


Equinox Fund Management, LLC

File No. 3-17057


Evergreen Investment Management Company, LLC and Evergreen Investment

File No. 3-13507


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

File No. 3-12805

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


Fenway Partners, LLC, et al.

File No. 3-16938

---------


First Heartland Consultants, Inc..

File No. 3-20448

-----------------


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

File No. 3-12737


Fortius Financial Advisors, LLC

File No. 3-17385


Founding Partners Capital Management Company and William Gunlicks

File No. 3-12896


Franklin Advisers, Inc.

File No. 3-11572

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


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

File No. 3-11246


Fremont Investment Advisors, Inc.

File No. 3-11726


Gabelli Funds LLC

File No. 3-13019


Gary L. Pilgrim

File No. 3-11739


General American Life Insurance Company and William C. Thater

File No. 3-12720


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.


Gerson Asset Management, Inc. and Seth Gerson

File No. 3-12121


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

File No. 3-15641


Goelzer Investment Management, Inc. and Gregory W. Goelzer

File No. 3-15400


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


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

File No. 3-16554

See also other case files for 3-16554.


G-Trade Services LLC, ConvergEx Global Markets Limited, and ConvergEx Execution Solutions LLC

File No. 3-15654

Release Date Notice, Order, or Plan
34-100526 July 12, 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
34-87123 Sep. 26, 2019 Order Directing Sixth Disbursement of Fair Fund
34-81695 Sep. 25, 2017 Order Directing Fifth Disbursement of Fair Fund
34-81571 Sep. 11, 2017 Order Directing Fourth Disbursement of Fair Fund
34-80232 Mar. 13, 2017 Order Directing Third Disbursement of Fair Fund
34-80078 Feb. 22, 2017 Order Directing Second Disbursement of Fair Fund
34-79235 Nov. 3, 2016 Order Directing Disbursement of Fair Fund
34-75519 Jul. 24, 2015 Order Approving a Plan of Distribution
Plan of Distribution
34-74614 Mar. 31, 2015 Extension Order
34-73865 Dec. 17, 2014 Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount
34-73795 Dec. 9, 2014 Extension Order
34-72800 Aug. 8, 2014 Extension Order
34-72487 Jun. 27, 2014 Extension Order
34-72146 May 9, 2014 Notice of Proposed Plan of Distribution and Opportunity for Comment
Comments received are available for this proposal.
Proposed Plan of Distribution
34-71558 Feb. 18, 2014 Extension Order
34-71128 Dec. 18, 2013 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
34-71127 Dec. 18, 2013 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, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
34-71126 Dec. 18, 2013 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, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Harbour Investments, Inc.

File No. 3-18760


Harold J. Baxter

File No. 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

File No. 3-12936


Hennessee Group LLC and Charles J. Gradante

File No. 3-13454


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


International Equity Advisors, LLC and Richard Roger Lund

File No. 3-12068


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:


Inviva, Inc. and Jefferson National Life Insurance Company

File No. 3-11579


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

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


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..


John W. Adams and AIP, LLC

File No. 3-11676


Joseph Stilwell and Stilwell Value LLC

File No. 3-16444


JPMorgan Chase & Co.

File No. 3-15507


J.P. Morgan Securities Inc.

File No. 3-13673

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


Knight Securities L.P

File No. 3-11771


Logitech International, S.A., Michael Doktorczyk, and Sherralyn Bolles, CPA

File No. 3-17212


Lovelock & Lewes, Price Waterhouse, Bangalore, Price Waterhouse & Co., Bangalore, Price Waterhouse, Calcutta, and Price Waterhouse & Co., Calcutta

File No. 3-14321


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

File No. 3-9923


Mary Beth Stevens

File No. 3-13553


Massachusetts Financial Services Co.

File No. 3-11450

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

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


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

File No. 3-14167

Note: Funds were transferred to the Distribution Agent.


Metis Wealth Advisors, LLC and Juan R. Montermoso

File No. 3-16955


Michael D. Legoski

File No. 3-11620

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


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.


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

See also, the following Press Releases:


Monomoy Capital Management, L.P.

File No. 3-19764


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

File No. 3-13847

See also the following Press Release, 


Morgan Stanley & Co. Incorporated

File No. 3-12631


Morgan Stanley & Co. Incorporated

File No. 3-12907


Morgan Stanley DW, Inc.

File No. 3-11335

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.


New York Life Investment Management LLC

File No. 3-13487


Orthofix International N.V.; Jeffrey Hammel, CPA; Brian McCollum; Kenneth Mack and Bryan McMillan

File Nos. 3-17791, 3-17792, 3-17793, 3-17794

Release Date Notice, Order, or Plan
34-96737 Jan. 23, 2023 Order Authorizing the Transfer to the U.S. Treasury of Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, Cancelling the Administrator’s Bond, and Terminating the Fair Fund
34-89223 Jul. 6, 2020 Order Directing Disbursement of Fair Fund
34-86100 Jun. 13, 2019 Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-83497 Jun. 22, 2018 Order Approving Distribution Plan
Distribution Plan
34-83133 Apr. 30, 2018 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Distribution Plan
34-82933 Mar. 22, 2017 Third Extension Order
34-82410 Dec. 27, 2017 Order Consolidating Fair Funds, Appointing Fund Administrator, and Setting Administrator Bond Amount
34-81623 Sept. 14, 2017 Second Extension Order
34-81624 Sept. 14, 2017 Second Extension Order
34-81622 Sept. 14, 2017 Second Extension Order
34-81620 Sept. 14, 2017 Second Extension Order
34-81273 Jul. 31, 2017 Order Appointing Tax Administrator
34-81272 Jul. 31, 2017 Order Appointing Tax Administrator
34-81271 Jul. 31, 2017 Order Appointing Tax Administrator
34-81257 Jul. 31, 2017 Order Appointing Tax Administrator
34-80354 Mar. 31, 2017 Extension Order
34-80353 Mar. 31, 2017 Extension Order
34-80352 Mar. 31, 2017 Extension Order
34-80351 Mar. 31, 2017 Extension Order
34-79820
AAER-3848
Jan. 18, 2017 Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Cease-and-Desist Orders and Penalties
34-79819
AAER-3847
Jan. 18, 2017 Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Cease-and-Desist Orders and Remedies
33-10282
34-79817
AAER-3846
Jan. 18, 2017 Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 4C and 21C 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
33-10281
34-79815
AAER-3845
Jan. 18, 2017 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

Oxbow Advisors, LLC

File No. 3-19817


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

File No. 3-12868


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

See also the following Press Release:


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.


Pilgrim Baxter & Associates, Ltd.

File No. 3-11524

See also the following Press Releases, 


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


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


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

File No. 3-12400


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)

See also, Commission Announces Completion of Independent Assessment Consultant's Report on Losses Attributable to Market Timing and Excessive Short-Term Trading by Putnam Employees (Press Release No. 2005-26, March 3, 2005)


Putnam Investment Management LLC

File No. 3-11868

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


Ravi Iyer 

File No. 3-20166


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

File No. 3-14615

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


Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr.

File No. 3-17315


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

File No. 3-14564

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


Robertson Stephens, Inc.

File No. 3-11003


Ronald E. Huxtable II

File No. 3-15748


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

File No. 3-11696

See also, SEC Announces $30 Million Fair Fund Distribution to Investors Affected by Undisclosed Market Timing in RS Investments Mutual Funds (Press Release No. 2008-65, April 25, 2008)


Sandra Dyche

File No. 3-16398


Sarkauskas and Associates, Inc. and James M. Sarkauskas

File No. 3-15471


SCF Investment Advisors, Inc.

File No. 3-19912


Securities America Advisors, Inc.

File No. 3-18424


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

File No. 3-11935


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

File No. 3-11793


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

See also the following Press Releases:

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


Stephen R. Moynahan

File No. 3-13263


Strong Capital Management, Inc.

File No. 3-12448


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

File No. 3-16776


Thomas A. Kolbe

File No. 3-11618

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


Timothy J. Miller

File No. 3-11619

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


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

File No. 3-15081


UBS Fin Servs

File No. 3-20401 


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 Financial Services Inc. of Puerto Rico and Ramiro L. Colon, III

File Nos. 3-16846, 3-16847

Release Date Notice, Order, or Plan
34-96964 Feb. 22, 2023 Order Authorizing the Disposition of Funds Remaining in the Fair Fund 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
34-92512 Jul. 28, 2021 Order Directing Disbursement of Fair Fund
34-85891 May 20, 2019 Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-81100 Jul. 7, 2017 Order Approving Plan of Distribution and Consolidating Settlement Funds for Administration
Plan of Distribution
34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator
34-80535 Apr. 27, 2017 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
34-79513 Dec. 8, 2016 Third Extension Order
34-79227 Nov. 3, 2016 Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount
34-78002 Jun. 7, 2016 Second Extension Order
34-77206 Feb. 23, 2016 Extension Order
34-77130 Feb. 12, 2016 Order Appointing Tax Administrator
34-76014 Sep. 29, 2015 Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Ramiro L. Colon, III)
34-76013 Sep. 29, 2015 Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (UBS Financial Services Incorporated of Puerto Rico)


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

File No. 3-16909


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

File No. 3-13675


VCAP Securities, LLC, and Brett Thomas Graham

File No. 3-16389


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

File No. 3-12133

See also the following Press Release:


Voya Investments, LLC and Directed Services, LLC

File No. 3-18393


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

File No. 3-12372

See also:


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

See also:


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

File No. 3-14320

See also:


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

File No. 3-15660


Yale I. Asbell

File No. 3-16163

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


Zurich Capital Markets Inc.

File No. 3-12628

Last Reviewed or Updated: Jan. 27, 2025