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

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:

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

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

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)

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

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

See also the following Press Releases:

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

See also the following Press Releases:

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

Fenway Partners, LLC, et al.

File No. 3-16938

RELEASE DATE NOTICE, ORDER, OR PLAN
34-101799 Dec. 3, 2024 Order Authorizing the Transfer to the U.S. Department of the Treasury of Any Funds Returned to the Fair Fund in the Future and Terminating the Fair Fund
IA-4253 Nov. 3, 2015 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, 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

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

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:

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

JPMorgan Chase & Co.

File No. 3-15507

Release Date Notice, Order, or Plan
34-101134 Sept. 23, 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
34-86727 Aug. 22, 2019 Order Directing Disbursement of Fair Fund
34-84532 Nov. 5, 2018 Order Setting Fund Administrator's Bond Amount
Feb. 7, 2017 Motion to Amend Plan of Distribution
34-81383 Aug. 11, 2017 Order Directing Disbursement of Fair Fund
34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator
34-74266 Feb. 12, 2015 Order Approving Plan of Distribution
Plan of Distribution
34-73824 Dec. 11, 2014 Notice of Proposed Distribution Plan and Opportunity for Comment
Proposed Distribution Plan
34-72181 May 16, 2014 Extension Order
34-71825 Mar. 27, 2014 Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount
34-71654 Mar. 5, 2014 Order Establishing a Fair Fund
34-70780 Oct. 30, 2013 Extension Order
34-70615 Oct. 4, 2013 Order Appointing Tax Administrator
34-70458
AAER-3490		 Sep. 19, 2013 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing 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

See also, the following Press Releases:

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

See also the following Press Release, 

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

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.

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

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

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)

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

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

Ravi Iyer 

File No. 3-20166

RELEASE DATE NOTICE, ORDER, OR PLAN
34-101484 Oct. 31, 2024 Order Authorizing the Transfer to the U.S. Treasury of Any Funds Returned to the Fair Fund in the Future and Terminating the Fair Fund
34-90628, IA-34135 Dec. 10, 2020 Order Instituting Administrative 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

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

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

Release Date Notice, Order, or Plan
34-101066 Sept. 17, 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, and Terminating the Fair Fund
34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator
34-79881 Jan. 26, 2017 Order Directing Disbursement of Fair Fund
34-79866 Jan. 24, 2016 Order Approving Distribution Plan
Plan of Distribution
34-78889 Sep. 20, 2016 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
34-77980 Jun. 2, 2016 Second Extension Order
34-77208 Feb. 23, 2016 Extension Order
34-77131 Feb. 12, 2016 Order Appointing Tax Administrator
33-9729 Feb. 20, 2015 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, 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

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

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

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

See also the following Press Release:

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:

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:

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:

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

Last Reviewed or Updated: Dec. 3, 2024

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