Distributions in Commission Administrative Proceedings: Notices and Orders Pertaining to Disgorgement and Fair Funds

June 7, 2021

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. 34-94845 (May 4, 2022).

See also Archive of Terminated Fair Funds and Disgorgement Plans.

List of Cases

Advanced Emissions Solutions, Inc.

File No. 3-17892

Release Date Notice, Order, or Plan
34-96757 Jan. 23, 2023 Order Establishing a Fair Fund and Transferring Funds to District Court

Alexander Capital, L.P., Philip A. Noto II, Barry T. Eisenberg

File Nos. 3-18561, 3-18562, 3-18563

Release Date Notice, Order, or Plan
34-101596 Nov. 13, 2024 Order Approving Plan of Distribution
Plan of Distribution
34-101031 Sept. 16, 2024

Notice of Proposed Plan of Distribution and Opportunity for Comment

Proposed Plan of Distribution
34-97258 Apr. 6. 2023 Order Consolidating Fair Funds
34-86382 Jul. 15, 2019 Order Appointing Tax Administrator
34-83564 Jun. 29, 2018 Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
34-83563 Jun. 29, 2018 Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions 
34-83562 Jun. 29, 2018 Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions

Alexander S. Gould

File No. 3-19965

Release Date Notice, Order, or Plan
34-89785 Sep. 8, 2019 Order Directing Payment of Certain Funds Received by the Commission
IA-5574 Sep. 8, 2018 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Allianz Global Investors U.S. LLC

File No. 3-20855

Release Date Notice, Order, or Plan
34-99494 Feb. 8, 2024 Order Approving Amended Plan of Distribution
Amended Plan of Distribution
34-99253 Dec. 28, 2023 Notice of Amended Proposed Plan of Distribution and Opportunity for Comment
Amended Proposed Plan of Distribution
34-97930 July 18, 2023 Extension Order
34-97540 May 22, 2023 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
Comments received are available for this plan.
34-95801 Sep. 16, 2022 Order Appointing Fund Administrator and Setting Administrator's Bond Amount
34-95429 Aug. 4, 2022 Order Appointing Tax Administrator
34-95293 Jul. 15, 2022 Extension Order
34-94927 May 17, 2022 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 a Cease-and-Desist Order

American Electric Power Company, Inc.

File No. 3-22425

Release Date Notice, Order, or Plan
33-11356 Jan. 17, 2025 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 a Cease-and-Desist Order
34-102529 Mar. 5, 2025 Extension Order

Ameriprise Financial, Inc. (formerly American Express Financial Corporation)

File No. 3-12114

Release Date Notice, Order, or Plan
34-85641 Apr. 15, 2019 Order Directing Disbursement of Fair Fund
34-82231 Dec. 7, 2017 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
34-77816 May. 12, 2016 Order Approving Plan of Distribution
34-77498 Apr. 1, 2016 Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-77497 Apr. 1, 2016 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
IA-2452
IC-27171		 Dec. 1, 2005 Order Directing Appointment of Tax Administrtor
IA-2451
IC-27170		 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, American Express Financial Corporation, Now Known as Ameriprise Financial, Inc., to Pay $15 Million to Settle Market Timing Charges (Press Release No. 2005-169, December 1, 2005)

Anastasios P. "Tommy" Belesis

File No. 3-18088

Release Date Notice, Order, or Plan
34-86181 Jun. 24, 2019 Order Appointing Tax Administrator
33-10395
34-81276
IC-32772		 Aug. 1, 2017 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Andeavor LLC

File No. 3-20125

Release Date Notice, Order, or Plan
34-86181 Jun. 4, 2024 Order Appointing Tax Administrator
34-90208, AAER-4190 Oct. 15, 2020 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

Anthony Coronati and Bidtoask LLC

File No. 3-16203

Release Date Notice, Order, or Plan
34-83179 May 7, 2018 Order Directing Disbursement of Fair Fund
34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator
34-80469 Apr. 17, 2017 Order Approving Plan of Distribution
Plan of Distribution
34-80087 Feb. 22, 2017 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
34-73475 Oct. 30, 2014 Order Appointing Tax Administrator
33-9666
34-73381
IA-3954
IC-31293		 Oct. 17, 2014 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Augustine Capital Management, LLC, (f/k/a Augustine Capital Management, Inc.), et al.

File No. 3-17740

Release Date Notice, Order, or Plan
34-88510 Mar. 30, 2020 Order Directing Disbursement of Fair Fund
34-85340 Mar. 18, 2019 Order Approving Plan of Distribution
Distribution Plan
34-84675 Nov. 29, 2018 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Distribution Plan
34-82590 Jan. 26, 2018 Extension Order
34-82330 Dec. 14, 2017 Order Appointing Tax Administrator
IA-4800 Oct. 26, 2017 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to 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 and Instituting Public Administrative Proceedings, and Imposing Sanctions Pursuant to Rule 102(E) of the Commission’s Rules of Practice as to Thomas F. Duszynski, CPA

Bayerische Motoren Werke Aktiengesellschaft, BMW of North America, LLC and BMW US Capital, LLC

File Nos. 3-20060

Release Date Notice, Order, or Plan
34-100176 May 20, 2024 Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Authorizing Approval and Payment of Fees and Expenses of Administration
34-99016 Nov. 23, 2023 Order Approving Plan of Distribution
Plan of Distribution
34-97668 Jun. 8, 2023 Order Extending Time to Enter Order Approving or Disapproving Plan of Distribution
34-97345 Apr. 21, 2023 Notice of Proposed Plan of Distribution and Opportunity for Comment

Proposed Distribution Plan

Comments received are available for this plan.
34-95766 Sep. 14, 2022 Order Appointing Fund Administrator and Setting Administrator's Bond Amount
34-95427 Aug. 4, 2022 Order Appointing Tax Administrator
34-94623 Apr. 7, 2022 Order Establishing a Fair Fund
33-10850 Sept. 24, 2020 Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing a Cease-and-Desist Order

Bankrate, Inc. and Hyunjin Lerner, CPA

File Nos. 3-16786 and 3-16787

Release Date Notice, Order, or Plan
34-101030
 		 Sep. 16, 2024 Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Authorizing the Approval and Payment of Fees and Expenses of Administration
34-94979 May 25, 2022 Order Directing Disbursement of Fair Fund
34-90188 Oct. 15, 2020 Order Approving Plan of Distribution
Distribution Plan
34-89711 Aug. 28, 2020 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
34-82535 Jan. 18, 2018 Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator
34-80626 May 8, 2017 Order Establishing a Fair Fund
34-77924 May 26, 2016 Order Appointing Tax Administrator
34-77016 Feb. 2, 2016 Omnibus Order Directing the Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution
Funds
33-9902
34-75850
AAER-3684		 Sep. 8, 2015 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
33-9901
34-75849
AAER-3683		 Sep. 8, 2015 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Cease-and-Desist Order and Civil Penalty

Barclays PLC and Barclays Bank PLC

File Nos. 3-21181

Release Date Notice, Order, or Plan
34-102926 Apr. 24, 2025 Order Extending Time to Enter Order Approving or Disapproving Plan of Distribution
34-102254 Jan. 22, 2025

Notice of Proposed Plan of Distribution and Opportunity for Comment
Comments received are available for this plan.
Proposed Plan of Distribution
34-99038 Nov. 29, 2023 Second Extension Order
34-98918 Nov. 13, 2023 Order Appointing Fund Administrator, Setting Administrator's Bond Amount, and Authorizing Payment of Fees and Expenses
34-97874 Jul. 11, 2023 Order Appointing Tax Administrator
34-97632 Jun. 1, 2023 Extension Order
34-97221 Mar. 30, 2023 Order Establishing a Fair Fund
33-11110 Sep. 29, 2022 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 a Cease-and-Desist Order

Baxter International Inc., Jeffrey Schaible, and Scott Bohaboy

File No. 3-20781, 3-20782, and 3-20783

Release Date Notice, Order, or Plan
34-101314 Oct. 11, 2024 Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Authorizing the Approval and Payment of Fees and Expenses of Administration
34-97208 Sept. 25, 2023 Order Approving Plan of Distribution
Plan of Distribution
34-97208 Mar, 27, 2023 Order Extending Time to Enter Order Approving or Disapproving Plan of Distribution
34-96898 Feb. 13, 2023 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Distribution Plan
Comments received are available for this plan.
34-96778 Jan. 31, 2023 Second Extension Order
34-95192 Jul. 1, 2022 Order Appointing Fund Administrator and Setting Administrator's Bond Amount
34-95043 Jun. 6, 2022 Order Appointing Tax Administrator
34-94755 Apr. 19, 2022 Extension Order
34-94754 Apr. 19, 2022 Extension Order
34-94753 Apr. 19, 2022 Extension Order
33-11034 Feb. 22, 2022 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 a Cease-and-desist Order 
33-11033 Feb. 22, 2022 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 a Cease-and-desist Order
33-11032 Feb. 22, 2022 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 a Cease-and-desist Order

Becton, Dickinson and Company

File No. 3-22361

Release Date Notice, Order, or Plan
34-102395 Feb. 11, 2025 Extension Order
33-11344, 34-101931, AAER-4547 Dec. 16, 2024 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 a Cease-and-Desist Order

BitClave PTE, Ltd.

File No. 3-19816

Release Date Notice, Order, or Plan
34-101750 Nov. 25, 2024 Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Authorizing the Approval and Payment of Fees and Expenses of Administration
34-101653 Nov. 19, 2024 Order Directing Disbursement of Fair Fund
34-96869 Feb. 9, 2023 Order Approving Corrected Plan of Distribution
Corrected Plan of Distribution
34-96423 Dec. 1, 2022 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Distribution Plan
34-94381 Mar. 8, 2022 Order Setting Administrator's Bond Amount
34-91647 Apr. 22, 2021 Order Appointing Fund Administrator and Setting Bond Amount
34-90545 Dec. 1, 2020 Order Appointing Tax Administrator
33-10788 May 28, 2020 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order

BKS Advisors, LLC and Roger T. Denha

File Nos. 3-18648 and 3-18649

Release Date Notice, Order, or Plan
34-94845 May 4, 2022 Omnibus Order Directing the Engagement of Two Tax Administrators for Appointment on a Case-By-Case Basis in Administrative Proceedings that Establish Distribution Funds
34-89113 Jun. 22, 2020 Order Directing Disbursement of Fair Fund
34-86472 Jul. 25, 2019 Order Approving Plan of Distribution
Distribution Plan
34-85997 May 31, 2019 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Distribution Plan
34-84452 Oct. 18, 2018 Extension Order
IA-4987 Aug. 17, 2018 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
34-83873 Aug. 17, 2018 Order Instituting Administrative and Cease-And-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 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
34-84230 Sep. 20, 2018 Order Appointing Tax Administrator

Blockchain Credit Partners d/b/a DeFi Money Market, Gregory Keough, and Derek Acree

File Nos. 3-20453

Release Date Notice, Order, or Plan
34-96977 Feb, 24, 2023 Order Appointing Fund Administrator and Setting Administrator's Bond Amount
34-96664 Jan 13, 2023 Order Appointing Tax Administrator
33-10961 Aug. 6, 2021 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 a Cease-and-Desist Order

BlueCrest Capital Management Limited

File No. 3-20162

Release Date Notice, Order, or Plan
34-102387 Feb. 11, 2025 Order Directing Second Disbursement of Fair Fund
34-99464 Feb. 05, 2024 Order Directing Disbursement of Fair Fund
34-94285 Feb. 18, 2022 Corrected Order Approving Plan of Distribution
Distribution Plan
34-94221 Feb. 10, 2022 Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-93871 Dec. 29, 2021 Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
34-93508 Nov. 2, 2021 Notice of Proposed Plan of Distribution and Opportunity for Comment

Comments received are available for this proposal.
Proposed Plan of Distribution
34-92782 Aug. 27, 2021 Second Extension Order
34-92097 Jun. 3, 2021 Order Appointing Fund Administrator and Setting Administrator's Bond Amount
34-91588 Apr. 16, 2021 Order Appointing Tax Administrator
34-91102 Feb. 11, 2021 Extension Order
33-10896 Dec 8, 2020 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933 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

BMO Capital Markets Corp.

File No. 3-22398

Release Date Notice, Order, or Plan
34-102690 Mar. 17, 2025 Extension Order
34-102160 Jan. 13, 2025 Order Instituting Administrative Proceedings, Pursuant to Section 15(b)(4) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions

The Boeing Company and Dennis A. Muilenburg

File Nos. 3-21140 and 3-21141

Release Date Notice, Order, or Plan
34-100222 May 23, 2024 Order Approving Plan of Distribution
Distribution Plan
34-99467 Feb. 5, 2024 Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-99146 Dec. 12, 2023 Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
34-98735 Oct. 12, 2023

Notice of Proposed Plan of Distribution and Opportunity for Comment

Comments received are available for this proposed plan.
Proposed Plan of Distribution
34-97469 May 10, 2023 Order Appointing Fund Administrator and Setting Administrator's Bond Amount
34-96655 Jan. 12, 2023 Order Appointing Tax Administrator
34-96425 Dec. 1, 2022 Extension Order
33-11106 Sep. 22, 2022 Order Instituting Cease-and-Desist Proceedings Pursuant To Section 8a Of The Securities Act Of 1933, Making Findings, And Imposing A Cease-and-Desist Order 
33-11105 Sep. 22, 2022 Order Instituting Cease-and-Desist Proceedings Pursuant To Section 8a Of The Securities Act Of 1933, Making Findings, And Imposing A Cease-and-Desist Order 

Brooge Energy Limited, Nicolaas Lammert Paardenkooper, and Lina Saheb

File No. 3-21816

Release Date Notice, Order, or Plan
34-102298 Jan. 28, 2025 Order Approving Plan of Distribution
 Plan of Distribution
34-101757 Nov. 26, 2024

Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution 
34-101068 Sep.17, 2024 Order Appointing Fund Administrator, Setting Administrator's Bond Amount, and Authorizing the Approval and Payment of Fees and Expenses of Administration
34-99901 Apr. 3, 2024 Order Appointing Tax Administrator
34-99589 Feb. 23, 2024 Extension Order
33-11260, 34-99228, AAER-4480 Dec. 22, 2023 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 a Cease-and-Desist Order

Catalyst Capital Advisors LLC

File No. 3-21923

Release Date Notice, Order, or Plan
IA-6597 Apr. 29, 2024 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
34-100294 June 6, 2024 Order Appointing Tax Administrator and Directing Payment of Certain Funds Received by the Commission and Transfer of Remaining Funds to the U.S. Treasury

Centaur Management Co. LLC

File No. 3-14950

Release Date Notice, Order, or Plan
34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator
34-74802 April 23, 2015 Order Directing Disbursement of Fair Fund
34-70015 July 22, 2013 Order Approving Plan of Distribution
Distribution Plan
34-69604 May 17, 2013 Notice of Proposed Planof Distribution and Opportunity for Comment
Proposed Plan of Distribution
34-69150 Mar. 15, 2013 Order Appointing Fund Administrator and Approving Fund Administrator Bond
34-67824 Sep. 11, 2012 Order Appointing Tax Administrator
34-67783 Sep. 5, 2012 Extension Order
IA-3432 Jul. 17, 2012 Order Instituting Administrative and Cease-and-Desist Proceedings Making Findings, and Imposing Remedial Sanctions and a Ceaseand-Desist Order

Centaurus Financial, Inc., Ricky A. Mantei, and Atul Makharia

File No. 3-21295

Release Date Notice, Order, or Plan
34-101512 Nov, 5, 2024 Order Appointing Fund Administrator, Setting Administrator’s Bond Amount, and Authorizing the Approval and Payment of Fees and Expenses of Administration
34-100360 Jun. 17, 2024 Corrected Order Approving Plan of Distribution
Corrected Plan of Distribution
34-99966 Apr. 16, 2024 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Distribution of Plan
34-99590 Feb. 23, 2024 Order Appointing Tax Administrator
34-99054 Nov. 30, 2023 Exension Order
33-11153 Feb. 6, 2023 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 Sections 203(e) and 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Charles L. Rizzo and Gina M. Hornbogen

File No. 3-14641

Release Date Notice, Order, or Plan
34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator
34-78230 Jul. 5, 2016 Order Directing Disbursement of Fair Fund
34-74566 Mar. 23, 2015 Order Directing Disbursement of Fair Fund
34-72667 Jul. 24, 2014 Order Approving Amended Plan of Distribution
Amended Distribution Plan
34-72429 Jun. 18, 2014 Notice of Amended Proposed Plan of Distribution and Opportunity for Comment
Amended Proposed Distribution Plan
34-71831 Mar. 28, 2014 Extension Order
34-71448 Jan. 30, 2014 Extension Order
34-70965 Dec. 3, 2013 Extension Order
34-70573 Sep. 30, 2013 Notice of Proposed Plan of Distribution and Opportunity for Comment
Comments received are available for this proposed plan.
Proposed Distribution Plan
34-68264 Nov. 19, 2012 Order Appointing Tax Administrator
34-68264
IA-3436		 Jul. 20, 2012 Order Making Findings and Imposing Remedial Sanctions
34-65829
IA-3321		 Nov. 28, 2011 Order Instituting Administrative Proceedings

Charles W. Crouse and Norman R. Hess

File No. 3-11515

Release Date Notice, Order, or Plan
34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator
34-65999 Dec. 16, 2011 Order Directing Disbursement of Fair Fund
34-57607 Apr. 2, 2008 Order Approving and Ratifying Prior Disbursement and Approving Future Disbursement of Fair Fund
34-53432 Mar. 7, 2006 Order Appointing Tax Administrator
34-52678 Oct. 26, 2005 Order Approving Plan of Fund Distribution, Appointing Administrator, and Consolidating Settlement Funds for Administration
34-52279 Aug. 17, 2005 Notice of Proposed Plan of Disgorgement and Fair Fund Distribution and Opportunity for Comment
33-8563
34-51480		 Apr. 6, 2005 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order
34-51266 Feb. 25, 2005 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order
34-49829 Jun. 8, 2004 SEC Institutes Public Administrative Proceedings Against Charles W. Crouse and Norman R. Hess
Jun. 8, 2004 Order Instituting Administrative and Cease-and-Desist Proceedings

Chatham Asset Management, LLC and Anthony Melchiorre

File No. 3-21355

Release Date Notice, Order, or Plan
34-102666 Mar. 13. 2025 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
34-100175 May 20. 2024 Extension Order
34-99895 Apr. 3, 2024 Order Appointing Tax Administrator
IA-6270 Apr. 3, 2023 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

CIHC, Inc., Conseco Services, LLC, and Conseco Equity Sales, Inc.

File No. 3-11578

Release Date Notice, Order, or Plan
34-101112 Sept. 20, 2024 Order Directing Seventh Disbursement of Fair Fund
34-87523 Nov. 13, 2019 Order Directing Disbursement of Fair Fund
34-82118 Nov. 20, 2017 Order Directing Disbursement of Fair Fund
34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator
34-80452 Apr. 13, 2017 Order Directing Disbursement of Fair Fund
34-78370 Jul. 20, 2016 Order Directing Disbursement of Fair Fund
34-74522 Mar. 17, 2015 Order Directing Disbursement of Fair Fund
34-72999 Sep. 4, 2014 Order Directing Disbursement of Fair Fund
34-61601 Feb. 26, 2010 Order Approving Plan, Appointing a Fund Administrator, and Waiving Bond
34-61209A Jan. 19, 2010 Amended Notice of Proposed Plan of Distribution and Opportunity for Comment
34-61209 Dec. 18, 2009 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
34-53477 Mar. 14, 2006 Order Appointing Tax Administrator
33-8455
34-50165
IC-26526		 Aug. 9, 2004 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Citigroup Global Markets, Inc. and Morgan Stanley Smith Barney LLC

File Nos. 3-17808 and 3-17809

Release Date Notice, Order, or Plan
34-100586 July 24, 2024 Order Directing Disbursement of Fair Fund
34-98940 Nov. 15, 2023 Order Approving Plan of Distribution
Plan of Distribution
34-98399; Sept. 14, 2023 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
34-96777 Jan. 31, 2023 Order Consolidating Fair Funds
34-81634 Sep. 14, 2017 Corrected Order Appointing Tax Administrator
34-81633 Sep. 14, 2017 Corrected Order Appointing Tax Administrator
33-10290 Jan 24, 2017 Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing a Cease-and-Desist Order
33-10288 Jan. 24, 2017 Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8a of the Securities Act Of 1933, Making Findings, and Imposing a Cease-and-Desist Order

Claire P. Shaughnessy and Aon Investments USA Inc. Fka Aon Hewitt Investment Consulting, Inc.

File No. 3-21836

Release Date Notice, Order, or Plan
34-102730 Mar. 25, 2025

Notice of Proposed Plan of Distribution and Opportunity for Comment

Comments received are available for this proposal.
Proposed Plan of Distribution
34-101318 Oct. 11, 2024 Order Appointing Tax Administrator
34-99900 Apr. 3, 2024 Extension Order
34-99886 Apr. 2, 2024 Extension Order
IA-6536 Jan. 25, 2024 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
IA-6535 Jan. 25, 2024 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Clayborne Group, LLC and Dean A. Heinemann

File No. 3-18423

Release Date Notice, Order, or Plan
34-93707 Dec. 2, 2021 Order Appointing Tax Administrator
34-85968 May 30, 2019 Order Directing Payment of Certain Funds Received by the Commission and Directing the Transfer of Remaining Funds to Treasury
IA-4875 Apr. 5, 2018 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 Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Columbia Management Advisors, Inc. and Columbia Funds Distributor, Inc.

File No. 3-11814

Release Date Notice, Order, or Plan
34-81961 Oct. 26, 2017 Order Directing Disbursement
34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator
34-65122 Aug. 12, 2011 Order Directing Disbursement of Fair Fund
34-62058 May 6, 2010 Order Directing Disbursement of Fair Fund
34-58939 Nov. 13, 2008 Order Directing Disbursement of Fair Fund
34-57422 Mar. 3, 2008 Order Directing Disbursement of Fair Fund
34-56857 Nov. 28, 2007 Order Directing Disbursement of Fair Fund
34-56216 Aug. 7, 2007 Order Directing Disbursement of Fair Fund
34-55922 Jun. 18, 2007 Order Directing Disbursement of Fair Fund
34-55598 Apr. 6, 2007 Order Approving a Distribution Plan
Plan of Distribution
34-55332 Feb. 22, 2007 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan
34-55059 Jan. 8, 2007 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan
34-54474 Sep. 20, 2006 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan
34-54175 Jul. 19, 2006 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
33-8536 Feb. 9, 2005 Order Under Rule 602(e) Under the Securities Act of 1933, Granting a Waiver of the Disqualification Provisions of Rule 602(c)(3)
33-8534
34-51164
IA-2351
IC-26752		 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 $37 Million Fair Fund Distribution to Mutual Fund Investors Injured by Columbia Market Timing Fraud (Press Release No. 2005-127, July 2, 2007)

Computer Sciences Corporation, Michael Laphen, Michael Mancuso, Wayne Banks, Claus Zilmer, and Paul Wakefield

File No. 3-16575

Release Date Notice, Order, or Plan
34-96718 Jan. 19, 2023 Order Directing Second Distribution of Fair Fund
34-90487 Nov. 23, 2020 Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-86046 Jun. 6, 2019 Order Directing Disbursement of Fair Fund
34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator
34-80559 Apr. 28, 2017 Order Approving Plan of Distribution
Plan of Distribution
34-80233 Mar. 13, 2017 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
34-79058 Oct. 6, 2016 Third Extension Order
34-78133 Jun. 22, 2016 Order Appointing Fund Plan Administrator and Setting Bond Amount
34-77985 Jun. 2, 2016 Second Extension Order
34-77223 Feb. 24, 2016 Extension Order
34-75573 Jul. 30, 2015 Order Appointing Tax Administrator
33-9804 Jun. 5, 2015 Order Instituting Public Administrative And Cease-And desist Proceedings Pursuant to Section 8a Of The Securities Act Of 1933, Sections 4c And 21c of the Securities Exchange Act Of 1934, and Rule 102(E) of the Commission's Rules Of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order ("Order")

Compass Minerals International, Inc.

File No. 3-21145

Release Date Notice, Order, or Plan
34-102301 Jan. 28, 2025 Order Approving Plan of Distribution
Plan of Distribution
34-101800 Dec. 3, 2024 Notice of Proposed Plan of Distribution and Opportunity for Comment

Comments due: 30 days from date of this Notice
Proposed Distribution Plan
34-101761 Nov. 26, 2024 Order Appointing Fund Administrator, Setting Administrator's Bond Amount, and Authorizing the Approval and Payment of Fees and Expenses of Administration
34-100573 Jul. 22, 2024 Order Appointing Tax Administrator
34-99076 Dec. 4, 2023 Extension Order
33-11107, 34-95889, AAER-4340 Sept. 23, 2022 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 a Cease-and-Desist Order

Comscore, Inc. and Serge Matta

File No. 3-19499 and 3-19500

Release Date Notice, Order, or Plan
34-101597 Nov. 13, 2024 Order Approving Plan of Distribution
Plan of Distribution
34-101067 Sep. 17, 2024 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
34-99246 Dec. 27, 2023 Order Appointing Fund Administrator, Setting Administrator’s Bond Amount, and Authorizing Payment of Fees and Expenses
34-97467 May 10, 2023 Order Appointing Tax Administrator
34-97389 Apr. 27, 2023 Order Consolidating Fair Funds
34-87815 Dec. 20, 2019 Extension Order
33-10693
34-87070
AAER-4092		 Sep. 24, 2019 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order
33-10692
34-87069
AAER-4091		 Sep. 24, 2019 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 a Cease-and-Desist Order

Cornerstone Capital and Laura Jean Kent

File No. 3-13199

Release Date Notice, Order, or Plan
34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator
34-69057 Mar. 7, 2013 Order Directing Disbursement of Distribution Fund
34-62936 Sep. 17, 2010 Corrected Order Directing Disbursement of Disgorgement Fund
34-61653 Mar. 5, 2010 Order Approving Plan and Appointing a Plan Administrator
Plan of Distribution
34-61208 Dec. 18, 2009 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
34-60848 Oct. 20, 2009 Order Granting Extension of Time to File Proposed Plan of Distribution
34-60675 Sep. 15, 2009 Order Granting Extension of Time to File Proposed Plan of Distribution
34-60327 Jul. 17, 2009 Order Appointing Tax Administrator
34-59951 May 20, 2009 Order Granting Extension of Time to File Proposed Plan of Distribution
IA-2855 Mar. 20, 2009 Order Making Findings and Imposing Remedial Sanctions and a Cease and Desist Order

Covia Holdings Corp. and Fairmount Santrol Holdings Inc. Now Known as Bison Merger Sub I, LLC

File No. 3-20163

Release Date Notice, Order, or Plan
34-98844 Nov. 1, 2023 Order Directing Disbursement of Fair Fund
34-93981 Jan. 13, 2022 Order Approving Plan of Distribution
Distribution Plan
34-93579 Nov. 16, 2021 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Distribution Plan
34-92846 Sept. 1, 2021 Second Extension Order
34-92211 Jun. 21, 2021 Order Appointing Fund Administrator and Setting Administrator’s Bond Amount
34-91187 Feb. 23, 2021 Order Appointing Tax Administrator
34-91103 Feb. 11, 2021 Extension Order
33-10897 Dec 8, 2020 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 a Cease-and-Desist Order

Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.), Credit Suisse Asset Management, LLC, and Samir H. Bhatt

File No. 3-14594

Release Date Notice, Order, or Plan
34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator
34-79997 Feb. 9, 2017 Order Approving Plan of Distribution and Directing Disbursement of Fair Fund
Plan of Distribution
34-78659 Aug. 24, 2016 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
34-77046 Feb. 3, 2016 Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-75506 Jul. 22, 2015 Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-74768 Apr. 20, 2015 Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-73401 Oct. 21, 2014 Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-71752 Mar. 19, 2014 Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-70390 Sep. 13, 2013 Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-69624 May 22, 2013 Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-67341 Jul. 3, 2012 Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-65908 Dec. 7, 2011 Order Appointing Tax Administrator
33-9268
IA-3302		 Oct. 19, 2011 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders

See also the following Press Release:

Crews & Associates, Inc.

File No. 3-20480

Release Date Notice, Order, or Plan
34-93766 Dec. 13, 2021 Order Appointing Tax Administrator and Directing Payment of Certain Funds Received by the Commission

Daniel Investments Associates, LLC and Gregory D. Van Wyk

File No. 3-20211

Release Date Notice, Order, or Plan
34-99711 Mar., 11, 2024 Order Appointing Tax Administrator

David F. Bandimere

File No. 3-15124

Release Date Notice, Order, or Plan
34-97122 Mar, 13, 2023 Order Directing  Disbursement of Fair Fund
34-93425 Oct. 26, 2021 Order Approving Plan of Distribution
Distribution Plan
34-92825 Aug. 31, 2021 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
34-90349 Nov. 5, 2020 Order Appointing Tax Administrator
34-89896 Sep. 16, 2020 Extension Order
33-10728
34-87605		 Nov. 22, 2019 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order

DeVere USA, Inc.

File No. 3-18527

Release Date Notice, Order, or Plan
34-97153 Mar. 16, 2023 Order Directing Second Disbursement of Fair Fund
34-93020 Sep. 16, 2021 Order Directing Disbursement of Fair Fund
34-89588 Aug. 17, 2020 Order Approving Modified Plan of Distribution
Modified Plan of Distribution
34-88919 May 21, 2020 Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
34-88452 Mar. 23, 2020 Notice of Proposed Plan of Distribution and Opportunity for Comment
Comments received are available for this proposed plan.
Distribution Plan
34-84607 Nov. 16, 2018 Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-83769 Aug. 3, 2018 Extension Order
34-83443 Jun. 14, 2018 Order Appointing Tax Administrator
IA-4933 Jun. 4, 2018 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

Derik J. Todd, et al.

File No. 3-17672

Release Date Notice, Order, or Plan
34-85175 Feb. 22, 2019 Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-83503 Jun. 25, 2018 Second Extension Order
34-82768 Feb. 23, 2018 Extension Order
34-82329 Dec. 14, 2017 Order Appointing Tax Administrator
33-10250 Nov. 10, 2016 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8a Of The Securities Act of 1933, Section 21C of The Securities Exchange Act Of 1934, Sections 203(e), 203(e) 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

Eagle Bancorp, Inc.

File No. 3-20963

Release Date Notice, Order, or Plan
34-99465 Apr. 3, 2024

Order Approving Plan of Distribution
Plan of Distribution
34-99465 Feb. 5, 2024

Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
34-98922 Nov. 14, 2023 Order Appointing Fund Administrator, Setting Administrator's Bond Amount, and Authorizing Payment of Fees and Expenses
34-97774 Jun. 21, 2023 Second Extension Order
34-97515 May 17, 2023 Order Appointing Tax Administrator
34-96115 Oct. 20, 2022 Extension Order
33-11092 Aug. 16, 2022 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 a Cease-and-Desist Order

Elanco Animal Health Inc.

File No. 3-22309

Release Date Notice, Order, or Plan
34-102489 Feb. 26, 2025 Order Appointing Tax Administrator
34-102292 Jan. 27, 2025

Extension Order
33-11326, 34-101574, AAER-4537 Nov. 12, 2024 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 a Cease-and-Desist Order

Exchange Traded Managers Group LLC, et al.

File No. 3-21542

Release Date Notice, Order, or Plan
34-99958 Apr. 15, 2024 Order Directing Second Payment of Certain Funds Received by the Commission
34-98426 Sept. 18, 2023 Order Appointing Tax Administrator and Directing Payment of Certain Funds Received by the Commission and Transferring of Remaining Funds to the U.S. Treasury
34-98034, IA-6362, IC-34979 Aug. 1, 2023 Order Instituting Administrative And Cease-and-Desist Proceedings, Pursuant To Section 15(b) Of The Securities Exchange Act Of 1934, 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

Exelon Corporation and Commonwealth Edison Company

File No. 3-21761

Release Date Notice, Order, or Plan
34-102344 Feb. 4, 2025 Order Approving Plan of Distribution
Plan of Distribution
34-101809 Dec. 4, 2024

Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
34-100887 Sept. 3, 2024 Order Appointing Fund Administrator, Setting Administrator's Bond Amount, and Authorizing the Approval and Payment of Fees and Expenses of Administration
34-100887 Sept. 3, 2024 Order Appointing Tax Administrator
34-99039 Nov. 29, 2023 Extension Order
33-11248 Sept. 28, 2023 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 a Cease-and-Desist Order

EZTD, Inc.

File No. 3-17673

Release Date Notice, Order, or Plan
34-100452 July 1, 2024 Order Directing Disbursement of Fair Fund
34-100178 May 20, 2024 Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Authorizing the Approval and Payment of Fees and Expenses of Administration
34-97856 Jul. 7, 2023 Order Approving Plan of Distribution
Distribution Plan
34-97468 May 10, 2023

Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Distribution Plan
34-88454 Mar. 23, 2020 Order Appointing Fund Administrator and Setting Bond Amount
34-82195 Dec. 1, 2017 Order Appointing Tax Administrator
33-10251 Nov. 10, 2016 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

FCA US LLC and Fiat Chrysler Automobiles N.V.

File No. 3-19541

Release Date Notice, Order, or Plan
34-99967 Apr. 16, 2024  Order Approving Application of Fund Administrator For Payment of Fees and Expenses and Authorizing Approval and Payment of Fees and Expenses of Administration 
34-98425 Sept. 18, 2023 Order Directing  Disbursement of Fair Fund
34-95261 Jul. 12, 2022 Order Approving Plan of Distribution
Distribution Plan
34-94948 May 19, 2022 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Distribution Plan
34-91997 May 25, 2021 Order Appointing Tax Administrator
34-91642 Apr. 22, 2021 Order Appointing Fund Administrator and Setting Bond Amount
34-87851 Dec. 23, 2019 Extension Order
33-10706
34-87134
AAER-4095		 Sep. 27, 2019 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order

Fiat Chrysler Automobiles N.V.

File No. 3-20092

Release Date Notice, Order, or Plan
34-98417 Sept. 18, 2023 Order Directing Disbursement of Fair Fund
34-93663 Nov. 23, 2021 Order Approving Plan of Distribution
Distribution Plan
34-93106 Sep. 23, 2021 Notice Of Proposed Plan Of Distribution And Opportunity For Comment
Proposed Distribution Plan
34-91572 Apr. 15, 2021 Order Appointing Fund Administrator and Setting Bond Amount
34-91571 Apr. 15, 2021 Order Appointing Tax Administrator
34-90031 Sep. 28, 2020 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order

Fidelity National Capital Investors, Inc.

File No. 3-11514

Release Date Notice, Order, or Plan
34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator
34-57606 Apr. 2, 2008 Order Approving and Ratifying Prior Disbursement of Fair Fund
34-50801 Dec. 7, 2004 Order Approving Plan of Fund Distribution and Appointing Administrator
34-50493 Oct. 5, 2004 Notice of Proposed Plan of Disgorgement and Fair Fund Distribution and Opportunity for Comment
34-49824 Jun. 8, 2004 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions as to Fidelity National Capital Investors, Inc.

Fieldman Rolapp & Associates, Inc. and Anna Sarabian

File No. 3-21717

Release Date Notice, Order, or Plan
34-101069 Sep. 17, 2024 Order Directing Payment of Certain Funds Received by Commission
34-99897 Apr. 3, 2024 Order Appointng Tax Administrator
34-98510 Sept. 25, 2023 Order Instituting Administrative And Cease-and-Desist Proceedings, Pursuant To Sections 15B(c) And 21C of the Securities Exchange Act Of 1934, Making Findings, And Imposing Remedial Sanctions And a Cease-and-Desist Order

Fieldstone Financial Management Group, LLC and Kristofor R. Behn

File No. 3-19227

Release Date Notice, Order, or Plan
34-88964 May 28, 2020 Order Directing Disbursement of Fair Fund
34-88249 Feb. 20, 2020 Order Approving Plan of Distribution
Distribution Plan
34-87854 Dec. 23, 2019 Notice of Proposed Plan of Distribution and Opportunity for Comment
Distribution Plan
34-87218 Oct. 3, 2019 Order Appointing Tax Administrator
33-10655 Jul. 1, 2019 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 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

Fifth Street Management, LLC

File No. 3-18909

Release Date Notice, Order, or Plan
34-91509 Apr. 8, 2021 Order Directing Disbursement of Fair Fund
34-89024 Jun. 5, 2020 Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-86551 Aug. 1, 2019 Order Approving Plan of Distribution
Distribution Plan
34-86190 Jun. 24, 2019 Notice of Proposed Plan of Distribution and Opportunity to Comment
Proposed Distribution Plan
34-85742 Apr. 29, 2019 Order Appointing Tax Administrator
34-85684 Apr. 18, 2019 Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-85232 Mar. 1, 2019 Extension Order
33-10581 Dec. 3, 2018 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Sections 203(e) and 203(k) of the Investment Advisers Act of 1940 and Section 9(f) of the Investment Company Act of 1940 Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Fifth Third Bancorp and Daniel Poston

File No. 3-15635

Release Date Notice, Order, or Plan
34-101961 Dec. 18, 2024 Order Directing Second Disbursement of Fair Fund
34-101618 Nov. 13, 2024 Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Authorizing the Approval and Payment of Fees and Expenses of Administration
34-101113 Sept. 20, 2024 Order Directing Disbursement of Fair Fund
34-95988 Oct. 6, 2022 Order Approving Plan of Distribution
Distribution Plan
34-95418 Aug. 4, 2022 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Distribution Plan
34-93875 Dec. 29, 2021 Order Appointing Fund Administrator and Setting Administrator's Bond Amount
34-93110 Sep. 23, 2021 Order Appointing Tax Administrator
34-92511 Jul. 28, 2021 Order Establishing a Fair Fund
34-71515 Feb. 10, 2014 Extension Order
33-9490 Dec. 4, 2013 Order Instituting Public Administrative and Cease-and Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders and Penalties

FirstEnergy Corp.

File No. 3-22111

Release Date Notice, Order, or Plan
34-101749 Nov. 25, 2024 Extension Order
33-11302, 34-101014, AAER-4519 Sept. 12, 2024 Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and and Section 21C of the Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order

First Southwest Company, LLC

File No. 3-17154

Release Date Notice, Order, or Plan
34-77300 Mar. 7, 2016 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b), 15B(c)(2) and 21C Of The Securities Exchange Act Of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
34-85433 Mar. 28, 2019 Order Establishing Fair Fund and Directing Payment of Funds

Fluor Corporation, Jon Eric Best, James F. Brittain, Robin K. Chopra, CA, Bradley R. Scott, Kent N. Smith

File Nos. 3-21610, 3-21612, 3-21613, 3-21614, 3-21615, and 3-21616

Release Date Notice, Order, or Plan
34-100754 Aug. 16, 2024 Order Approving Plan of Distribution
Plan of Distribution
34-100376 Jun. 18, 2024

Notice of Proposed Plan of Distribution and Opportunity for Commen
Proposed Distribution Plan
34-99617 Feb. 28, 2024 Order Appointing Fund Administrator, Setting Administrator's Bond Amount, and Authorizing Payment of Fees and Expenses
34-99144 Dec. 12, 2023 Order Appointing Tax Administrator
34-98914 Nov. 13 2023 Extension Order
34-98297 Sept. 6, 2023 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
34-98296 Sept. 6, 2023 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
34-98295 Sept. 6, 2023 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
34-98294 Sept. 6, 2023 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
34-98293 Sept. 6, 2023 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
34-98292 Sept. 6, 2023 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

Focus Media Holding Limited and Jason Jiang

File No. 3-16852

Release Date Notice, Order, or Plan
34-100073 May 7, 2024 Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Authorizing the Approval and Payment of Fees and Expenses of Administration
34-88963 May 28, 2020 Order Directing Disbursement of Fair Fund
34-82411 Dec. 27, 2017 Order Approving Plan of Distribution
Plan of Distribution
34-82002 Nov. 2, 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
34-80544 Apr. 27, 2017 Third Extension Order
34-80436 Apr. 11, 2017 Order Appointing Fund Plan Administrator and Setting Bond Amount
34-79166 Oct. 26, 2016 Second Extension Order
34-78028 Jun. 9, 2016 Order Appointing Tax Administrator
34-78006 Jun. 7, 2016 Extension Order
33-9933 Sep. 30, 2015 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order

Fortress Investment Management, LLC, and William M. Malloy, III

File No. 3-19715

Release Date Notice, Order, or Plan
34-91508 Apr. 8, 2021 Order Directing Disbursement of Fair Fund
34-90924 Jan. 14, 2021 Order Approving Plan of Distribution
Plan of Distribution
34-90483 Nov. 23, 2020 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
34-88597 Apr. 8, 2020 Order Appointing Tax Administrator
34-88588 Apr. 8, 2020 Extension Order
IA-5452
IC-33807		 Feb. 27, 2020 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Foundations Asset Management, LLC, Michael W. Shamburger, and Rob E. Wedel

File No. 3-19266

Release Date Notice, Order, or Plan
34-97000 Mar. 1, 2023 Order Directing Disbursement of Fair Fund
34-95255 Jul. 12, 2022 Order Approving Plan of Distribution
Distribution Plan
34-94877 May 9, 2022 Notice of Proposed Plan of Distribution and Opportunity for Comment
 Proposed Distribution Plan
34-89521 Aug. 11, 2020 Order Appointing Tax Administrator
Proposed Distribution Plan
34-86446
IA-5306		 Jul. 24, 2019 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Frontier Wealth Management, LLC and Shawn Sokolosky

File No. 3-20526

Release Date Notice, Order, or Plan
34-102123 Jan. 6, 2025 Order Directing Disbursement of Fair Fund
34-99145 Dec. 12, 2023 Order Approving Plan of Distribution 
Plan of Distribution
34-98762 Oct. 17, 2023

Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Distribution Plan
34-96692 Jan. 18, 2023 Order Appointing Tax Administrator
34-96663 Jan. 13, 2023 Extension Order
33-10978 Sep. 3, 2021 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to 8A of the Securities Act of 1933, Sections 203(E), 203(F) And203(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 

Geluk Capital Management Ltd and Douglas Gerald Fathers

File No. 3-20906

Release Date Notice, Order, or Plan
34-100379 Jun.18, 2024 Order Directing Disbursement of Fair Fund
34-100100 May 10, 2024

Order Approving Plan of Distribution
Distribution Plan
34-99720 Mar. 12, 2024 Notice of Proposed Plan of Distribution and Opportunity for Comment

Proposed Distribution Plan
34-97916 Jul. 17, 2023 Order Appointing Tax Administrator
33-11077 Jun. 24, 2022 Order Instituting Administrative and Cease-and-Desist Proceedings

Gemini Fund Services, LLC

File No. 3-18348

Release Date Notice, Order, or Plan
34-83070 Apr. 19, 2018 Order Appointing Tax Administrator
34-83069 Apr. 19, 2018 Order Directing Payment of Certain Funds Received by the Commission and Directing Transfer of Remaining Funds to the U.S. Treasury
IA-4847 Jan. 22, 2018 Order Instituting Cease-and-Desist Proceedings, Pursuant to Section 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order

General Electric Company

File No. 3-20165

Release Date Notice, Order, or Plan
34-96436 Dec. 1, 2022 Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of the Payment of Future Fees and Expenses
34-94856 May 5, 2022 Order Approving Plan of Distribution
Distribution Plan
34-94323 Feb. 28, 2022 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Distribution Plan
34-93029 Sep. 16, 2021 Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-92784 Aug. 27, 2021 Second Extension Order
34-91606 Apr. 16, 2021 Order Appointing Tax Administrator
34-9124 Mar. 2, 2021 Extension Order
33-10899
34-90620
AAER-4194		 Dec. 9, 2020 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

George B. Franz III and Ruby Corporation

File No. 3-15526

Release Date Notice, Order, or Plan
34-81064 Jun. 30, 2017 Notice of Name Change of Appointed Tax Administrator
34-72334 Jun. 5, 2014 Order Appointing Tax Administrator
34-72058 Apr. 30, 2014 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 203(e), (f), and (k) of the Investment Advisers Act of 1940, Section 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940
34-70533 Sep. 26, 2013 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e), (f), and (k) of the Investment Advisers Act of 1940, Section 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940

GMB Capital Management LLC (currently known as "Clearstream Investments LLC"); GMB Capital Partners LLC; Gabriel Bitran and Marco Bitran

File No. 3-14854

Release Date Notice, Order, or Plan
34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator
34-79440 Dec. 1, 2016 Order Approving Plan of Distribution
Plan of Distribution
34-79139 Oct. 21, 2016 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
34-70591 Oct. 1, 2013 Extension Order
34-68869 Feb. 8, 2013 Extension Order
34-68774 Jan. 30, 2013 Order Appointing Tax Administrator
33-9315
34-66837
IA-3399
IC-30040		 Apr. 20, 2012 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Order

Gregg C. Lorenzo, Francis V. Lorenzo, and Charles Vista, LLC

File No. 3-15211

Release Date Notice, Order, or Plan
34-83502 Jun. 25, 2018 Order Directing Disbursement of Fair Fund
34-82677 Feb. 9, 2018 Order Approving Amended Plan of Distribution
Distribution Plan
34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator
34-76837 Jan. 5, 2016 Notice of Amended Proposed Plan of Distribution and Opportunity for Comment
Comments received are available for this notice.
Proposed Amended Plan of Distribution
34-75059 May 28, 2015 Extension Order
34-74607 Mar. 30, 2015 Notice of Proposed Plan of Distribution and Opportunity for Comment
Comments received are available for this notice.
Proposed Plan of Distribution
34-72856 Aug. 15, 2014 Order Appointing Tax Administrator
33-9480
34-70904		 Nov. 20, 2013 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Respondents Gregg C. Lorenzo and Charles Vista, LLC
33-9385
34-68943		 Feb. 15, 2013 Order Instituting Administrative and Cease-and-Desist Proceedings

GrubMarket, Inc.

File No. 3-22421

Release Date Notice, Order, or Plan
34-102668 Mar. 13, 2025 Extension Order
33-11354 Jan. 17, 2025 Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities act of 1933, Making Findings, and Imposing a Cease-and-Desist Order

GTV Media Group, Inc., Saraca Media Group, Inc. and Voice of Guo Media, Inc.

File No. 3-20537

Release Date Notice, Order, or Plan
34-98415 Sep. 18, 2023 Order Directing Second Disbursement of Fair Fund
34-95732 Sep. 12, 2022 Order Directing Disbursement of Fair Fund
34-95149 Jun. 24, 2022 Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-94628 Apr. 7, 2022 Order Approving Plan of Distribution
Distribution Plan
34-94424 Mar. 15, 2022 Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
34-94107 Jan. 31, 2022 Notice of Proposed Plan of Distribution and Opportunity for Comment
Comments received are available for this proposed plan.
Proposed Distribution Plan
34-93666 Nov. 23, 2021 Order Appointing Fund Administrator and Setting Administrator's Bond Amount
34-93313 Oct. 14, 2021 Order Appointing Tax Administrator

Haidar Capital Management, LLC, Haidar Capital Advisors, LLC, and Said N. Haidar

File No. 3-12678

Release Date Notice, Order, or Plan
34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator
34-79803 Jan. 13, 2017 Order Directing Disbursement of Fair Fund
34-62200 Jun. 1, 2010 Order Approving Plan, Appointing a Fund Administrator, and Waiving Bond
Final Plan of Distribution
34-61897 Apr. 13, 2010 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
34-56909 Dec. 5, 2007 Order Appointing Tax Administrator
33-8820
IA-2617
IC-27883		 Jul. 6, 2007 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, Imposing a Cease-and-Desist Order, and Imposing Remedial Sanctions

HCR Wealth Advisors

File No. 3-19494

Release Date Notice, Order, or Plan
34-98939 Nov. 14, 2023 Order Directing Disbursement of Fair Fund
34-98408 Sept. 15, 2023 Order Approving Plan of Distribution
Plan of Distribution
34-97921 Jul. 17, 2023 Notice Of Proposed Plan Of Distribution And Opportunity For Comment
Proposed Plan of Distribution
34-95641 Aug. 31, 2022 Order Appointing Tax Administrator
34-93706 Dec. 2, 2021 Order Establishing a Fair Fund
IA-5361 Sept. 23, 2019 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

Health Insurance Innovations, Inc., now named Benefytt Technologies, Inc., and Gavin D. Southwell

File No. 3-20932

Release Date Notice, Order, or Plan
34-101609 Nov. 13, 2024 Order Directing Disbursement of Fair Fund
34-98936 Nov. 14, 2023 Order Approving Plan of Distribution
Plan of Distribution
34-98493 Sept. 25, 2023 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
34-98416 Sep. 18, 2023 Order Appointing Fund Administrator, Setting Administrator's Bond Amount, and Authorizing Payment of Fees and Expenses
34-97811 Jun. 27, 2023 Second Extension Order
34-96435 Dec. 1, 2022 Order Appointing Tax Administrator
34-95805 Sep. 16, 2022 Extension Order
33-11084
34-95323		 Jul. 20, 2022 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 a Cease-and Desist Order

HF Foods Group, Inc.

File No. 3-21959

Release Date Notice, Order, or Plan
34-100570 Jul. 22, 2024 Extension Order
33-11289 Jun. 6, 2024 Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8a of the Securities Act of 1933 and 21C of the Securities Exchange Act of 1934

Houston American Energy Corp., John F. Terwilliger, Jr., Undiscovered Equities Inc., and Kevin T. McKnight

File No. 3-16000

Release Date Notice, Order, or Plan
34-102481 Feb. 24, 2025 Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Authorizing the Approval and Payment of Fees and Expenses of Administration
34-98486 Sept. 22, 2023 Order Directing  Disbursement of Fair Fund
34-95432 Aug. 5, 2022 Order Approving Corrected Plan of Distribution
Distribution Plan
34-95044 Jun. 6, 2022 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Distribution Plan
34-85185 Feb. 25, 2019 Corrected Order Appointing Tax Administrator
34-83636 Jul. 16, 2018 Order Establishing a Fair Fund, Appointing a Fund Administrator, and Setting Administrator's Bond Amount
33-9621
34-72749		 Aug. 4, 2014 Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8a of the Securities Act of 1933 and 21C of the Securities Exchange Act of 1934

Howard Richards; James Goodland, and Securus Wealth Management, LLC

File Nos. 3-16877 and 3-16878

Release Date Notice, Order, or Plan
34-96064 Oct. 13, 2022 Order Directing Disbursement of Fair Fund
34-93980 Jan. 13, 2022 Order Approving Plan of Distribution
Plan of Distribution
34-93664 Nov. 23, 2021 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
34-82902 Mar. 16, 2018 Order Appointing Fund Administrator and Waiving Bond
34-82835 Mar. 8, 2018 Order Appointing Tax Administrator
34-82184 Nov. 30, 2017 Third Extension Order
34-80842 Jun. 1, 2017 Second Extension Order
34-79449 Dec. 1, 2016 Extension Order
IA-4213 Sep. 30, 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(James Goodland, and Securus Wealth Management, LLC)
34-76058 Sep. 30, 2015 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant To Sections 15(B) and 21c of the Secutrities Exchange Act of 1934, Sections 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 (Howard Richards)

IFS Securities

File No. 3-19220

Release Date Notice, Order, or Plan
34-87269 Oct. 10, 2019 Order Appointing Tax Administrator
34-87175 Sep. 30, 2019 Order Directing Payment of Certain Funds Received by the Commission and Directing the Transfer of Remaining Funds to Treasury
34-86210 Jun. 27, 2019 Order Instituting Administrative Proceedings Pursuant to Sections 15(b) and 15B(c) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions

Impact Theory, LLC

File No. 3-21585

Release Date Notice, Order, or Plan
34-101959 Dec. 18, 2024 Order Approving Plan of Distribution
Plan of Distribution
34-101459 Oct. 29, 2024 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
34-101028 Sept. 16, 2024 Order Appointing Fund Administrator, Setting Administrator's Bond Amount, and Authorizing the Approval and Payment of Fees and Expenses of Administration
34-100572 July 22, 2024 Second Extension Order
34-99278 Jan. 5, 2024 Order Appointing Tax Administrator
34-98803 Oct. 27, 2023 Extension Order
33-11226 Aug. 28, 2023 Order Instituting Cease-and-Desist Proceedings Pursuant To Section 8A Of The Securities Act Of 1933, Making Findings, And Imposing a Cease-and-Desist Order

Institutional Investors Advisory Company

File No. 3-18114

Release Date Notice, Order, or Plan
34-81627 Sep. 14, 2017 Order Appointing Tax Administrator
IA-4747 Aug. 16, 2017 Order Instituting Cease-and-Desist Proceedings Pursuant to Section 203(K) of the Investment Advisers Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order

Jeremy A. Licht d/b/a JL Capital Management

File No. 3-18171

Release Date Notice, Order, or Plan
34-89025 Jun. 5, 2020 Order Directing Disbursement of Fair Fund
34-87283 Oct. 10, 2019 Order Approving Plan of Distribution
Plan of Distribution
34-86733 Aug. 22, 2019 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Distribution Plan
34-84554 Nov. 8, 2018 Extension Order
34-83068 Apr. 19, 2018 Order Appointing Tax Administrator
34-81584 Sep. 12, 2017 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 21C Of the Securities Exchange Act of 1934, Sections 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

John Paul Harnish d/b/a KM Advisory Services

File No. 3-20882

Release Date Notice, Order, or Plan
34-101032 Sept. 16, 2024 Order Directing Disbursement of Fair Fund
34-97646 Jun, 5, 2023 Order Appointing Tax Administrator
34-96217 Nov. 03, 2022 Extension Order
34-95047 Jun. 6, 2022 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 15(B) Of the Securities Exchange Act of 1934 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

JP Turner & Company, LLC, and William L. Mello

File No. 3-15014

Release Date Notice, Order, or Plan
34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator
34-75294 Jun. 24, 2014 Order Directing Disbursement of Distribution Fund
34-73679 Nov. 25, 2014 Order Approving Plan of Distribution
Final Plan of Distribution
34-73322 Oct. 8, 2014 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
34-72486 Jun. 26, 2014 Extension Order
34-68172 Nov. 6, 2012 Extension Order
34-67958 Oct. 2, 2012 Order Appointing Tax Administrator
34-67808
IA-3460		 Sep. 10, 2012 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions

J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. Cube, Mayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, Michael B. Scott

File No. 3-10765

Release Date Notice, Order, or Plan
34-51341 Mar. 9, 2005 Order Directing Appointment of Tax Administrator
33-8436
34-49970		 Jul. 6, 2004 Opinion in the Matter of Edgar B. Alacan
ID-239 Oct. 23, 2003 Initial Decision as to Edgar B. Alacan
33-8279
34-48443		 Sep. 4, 2003 Notice That Initial Decision Has Become Final: Mayer Dallal
ID-233 Jul. 23, 2003 Initial Decision as to Mayer Dallal
33-8218
34-47611		 Apr. 1, 2003 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Michael B. Scott
33-8215
34-47581		 Mar. 27, 2003 Order Making Findings and Imposing Remedial Sanctions by Default Against John A. Bruno
33-8211
34-47544		 Mar. 20, 2003 Order Making Findings and Imposing Remedial Sanctions by Default Against Danoo Noor, Sr.
33-8203
34-47506		 Mar. 14, 2003 Order Making Findings and Imposing Remedial Sanctions by Default Against J.W. Barclay & Co., Inc.
33-8202
34-47498		 Mar. 13, 2003 Order Making Findings and Imposing Remedial Sanctions as to Michael J. Wills
33-8201
34-47497		 Mar. 13, 2003 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Emmanuel P. Cube
33-8200
34-47496		 Mar. 13, 2003 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Emanuele A. Scarso
33-8094
34-45815		 Apr. 24, 2002 In the Matter of J.W. Barclay & Co., Inc., et al.

Kahn Brothers Advisors, LLC and Thomas Kahn

File No. 3-20880

Release Date Notice, Order, or Plan
34-98714 Oct. 10, 2023 Order Approving Plan of Distribution
Plan of Distribution
34-98119 Aug. 14, 2023 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Distribution Plan
34-96996 Feb. 28, 2023 Second Extension Order
34-96434 Dec. 1, 2022 Order Appointing Tax Administrator
34-95506 Aug. 16, 2022 Extension Order
34-95045 Jun. 6, 2022 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant To Section 15(B) Of The Securities Exchange Act Of 1934 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

Kathryn Jane Meredith d/b/a KM Advisory Services

File No. 3-20881

Release Date Notice, Order, or Plan
34-101032 Sept. 16, 2024

Order Directing Disbursement of Fair Fund
34-98594 Sept. 28, 2023 Order Approving Plan of Distribution
Plan of Distribution
34-98049 Aug. 3, 2023 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Distribution Plan
34-98024 Jul. 31, 2023 Order Appointing Fund Administrator, Setting Bond Amount, and Authorizing Payment of Fees and Expenses
34-97802 Jun. 27, 2023 Second Extension Order
34-97646 Jun. 5, 2023 Order Appointing Tax Administrator
34-96217 Nov. 03, 2022 Extension Order
34-95046 Jun. 6, 2022 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 15(B) Of the Securities Exchange Act of 1934 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

Keith MacDonald Summers

File No. 3-16014

Release Date Notice, Order, or Plan
34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator
34-75679 Aug. 12, 2015 Order Directing Disbursement of Disgorgement Fund
34-74812 Apr. 27, 2015 Order Approving Plan of Distribution
Plan of Distribution
34-74461 March 10, 2015 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
34-73400 Oct. 21, 2014 Extension Order
34-73073 Sep. 11, 2014 Order Appointing Tax Administrator
33-9630
34-72836
IA-3895
IC-31210		 Aug. 13, 2014 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Kendall J. Groom, CPA

File No. 3-19301

Release Date Notice, Order, or Plan
34-86764 Aug. 26, 2019 Order Appointing Tax Administrator
34-86541 August 1, 2019 Order Directing Payment of Certain Funds Received by Commission
34-86540 August 1, 2019 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Sections 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

KPMG LLP and John Riordan, CPA

File No. 3-18110

Release Date Notice, Order, or Plan
34-99904 Apr. 3, 2024

Order Approving Plan of Distribution
Plan of Distribution
34-99469 Feb. 5, 2024

Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
34-95941 Sep. 29, 2022 Order Appointing Fund Administrator and Setting Administrator's Bond Amount
34-95642 Aug. 31, 2022 Order Appointing Tax Administrator
34-94300 Feb. 23, 2022 Order Establishing A Fair Fund

The Kraft Heinz Co. and Eduardo Pelleissone

File No. 3-20523

Release Date Notice, Order, or Plan
34-98398 Sept.14, 2023 Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Payment of Fees and Expenses
34-96578 Dec. 23, 2022 Order Approving Plan of Distribution
Distribution Plan
34-95702 Sep. 8, 2022 Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
34-95277 Jul. 14, 2022 Notice of Proposed Plan of Distribution and Opportunity for Comment Comments received are available
Proposed Distribution Plan
34-94380 Mar. 8, 2022 Order Appointing Fund Administrator and Setting Administrator's Bond Amount
34-93878 Dec. 29, 2021 Order Appointing Tax Administrator
34-93703 Dec. 2, 2021 Extension Order
33-10977 Sep. 3, 2021 Corrected 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 a Cease-and-Desist Order

Kroll Bond Rating Agency, LLC

File No. 3-20097

Release Date Notice, Order, or Plan
34-90348 Nov. 5, 2020 Order Appointing Tax Administrator
34-90037 Sep. 29, 2020 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
34-90038 Sep. 29, 2020 Order Directing Payment of Certain Funds Received by the Commission

Laurence I. Balter d/b/a Oracle Investment Research

File No. 3-17614

Release Date Notice, Order, or Plan
34-102913 Apr. 22, 2025 Order Authorizing the Transfer to the U.S. Department of the 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
34-99944 Apr. 11, 2024 Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Authorizing the Approval and Payment of Fees and Expenses of Administration
34-97083 Mar. 8, 2023 Order Directing  Disbursement of Fair Fund
34-94857 May 5, 2022 Order Approving Plan of Distribution
Plan of Distribution
34-94312 Feb. 25, 2022 Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
34-93872 Dec. 29, 2021 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
34-93317 Oct. 14, 2021 Second Extension Order
34-91738 Apr. 30, 2021 Extension Order
34-91570 Apr. 15, 2021 Order Appointing Fund Administrator and Setting Bond Amount
34-81445 Aug. 21, 2017 Order Appointing Tax Administrator
33-10367
34-80801
IC-32664
IA-4710		 May 26, 2017 Order Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order

Legacy Hospitality II, LLC, Legendary Capital REIT III, LLC and Corey R. Maple

File No. 3-21586

Release Date Notice, Order, or Plan
34-102936 April 25, 2025 Order Appointing Fund Administrator, Setting Administrator's Bond Amount, and Authorizing the Approval and Payment of the Fees and Expenses of Administration
34-102128 Jan. 6, 2025 Order Appointing Tax Administrator
34-101316 Oct. 11, 2024 Extension Order
33-11227 Aug. 28, 2023 Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings and Imposing a Cease-and-Desist-Order

Leonardo Cornide and Jorge Falcon

File No. 3-19511

Release Date Notice, Order, or Plan
34-90006 Sep. 25, 2020 Order Directing Fourth Payment of Certain Funds Received by the Commission
34-89390 Jul. 23, 2020 Order Directing Third Payment of Certain Funds Received by the Commission
34-88777 Apr. 30, 2020 Order Directing Second Payment of Certain Funds Received by the Commission
34-88145 Feb. 7, 2020 Order Appointing Tax Administrator
34-88144 Feb. 7, 2020 Order Directing Payment of Certain Funds Received by the Commission
IA-5366A Jan. 24, 2020 Amended Order Instituting Cease-And- Desist Proceedings Pursuant to Section 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order

Linkbrokers Derivatives LLC and Aaron Nowak

File Nos. 3-16017 and 3-16999

Release Date Notice, Order, or Plan
34-84712 Dec. 3, 2018 Order Directing Disbursement of Fair Fund
34-84407 Oct. 11, 2018 Order Directing Payment of Fund Administrator Fees, and Approval of Future Fees and Expenses
34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator
34-79248 Nov. 4, 2016 Order Approving Plan of Distribution
Plan of Distribution
34-78577 Aug. 15, 2016 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
34-76815 Dec. 31, 2015 Extension Order
33-9988
34-76628
IC-31934		 Dec. 11, 2015 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Nowak)
34-75784 Aug. 28, 2015 Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount
34-75341 Jul. 1, 2015 Extension Order
34-73651 Nov. 20, 2014 Extension Order
34-73012 Sep. 5, 2014 Order Appointing Tax Administrator
34-72846 Aug. 14, 2014 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant To Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

LPL Financial LLC

File No. 3-20612

Release Date Notice, Order, or Plan
34-93708 Dec. 2, 2021 Order Appointing Tax Administrator
34-93667 Nov. 24, 2021 Order Directing Payment of Certain Funds Received by Commission
33-10992 Sep. 30, 2021 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 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

MagnaChip Semiconductor Corporation and Margaret Hye-Ryoung Sakai, CPA

File No. 3-17956

Release Date Notice, Order, or Plan
34-102906 Apr. 22, 2025 Order Directing Disbursement of Fair Fund
34-99941 Apr. 11, 2024 Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Fees and Expenses
34-97470 May 10, 2023 Order Approving Plan of Distribution
Distribution Plan
34-96709 Jan. 19, 2023 Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
34-96095 Oct. 17, 2022 Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
34-95511 Aug. 17, 2022 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
34-88430 Mar. 19, 2020 Order Appointing Fund Administrator and Setting Bond Amount
34-83437 Jun. 14, 2018 Order Appointing Tax Administrator
34-83433 June 14, 2018 Extension Order
33-10352 May 1, 2017 Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of The Securities Act Of 1933, Sections 4C and 21C of The Securities Exchange Act Of 1934, And Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders

Mancera, S.C., Alejandro Valdez Mendoza, C.P., and Angel Radames Corral Nieblas, C.P.

File No, 3-20173

Release Date Notice, Order, or Plan
34-96437 Dec. 1, 2022 Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-92841 Sept. 1, 2021 Second Extension Order
34-91792 May 7, 2021 Order Appointing Tax Administrator
34-91104 Feb. 11, 2021 Extension Order
33-90699 Dec. 17, 2020 Order Instituting Public Administrative and Cease- And-Desist Proceedings Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Mark Grahm, Blue Capital., et al.

File No. 3-18724

Release Date Notice, Order, or Plan
IA-5000 Sep. 6, 2018 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 Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
34-84043 Sep. 6, 2018 Order Directing Payment of Certain Funds Received by Commission
34-84443 Oct. 17, 2018 Order Appointing Tax Administrator

Mergenet Medical, Inc., Bruce Matthew Sher, Shara Anne Hernandez, and Peter Anthony DeCicco, Jr.

File No. 3-18253

Release Date Notice, Order, or Plan
34-88847 May 11, 2020 Order Appointing Tax Administrator
33-10426 Oct. 16, 2017 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing A Cease-and-Desist Order

Merrill Lynch, Pierce and Fenner & Smith Incorporated; Harvest Volatility Management LLC

File Nos. 3-22173 and 3-22174

Release Date Notice, Order, or Plan
34-102527 Mar. 5, 2025 Order Appointing Tax Administrator
34-101814 Dec. 4, 2024 Extension Order
34-101158, IA-6727 Sept. 25, 2024 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
IA-6726 Sept. 25, 2024 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

Michael S. Wilson, CPA and Cotterman-Wilson, CPAs, Inc.; James T. Budden and Alexander W. Budden

File Nos. 3-16652 and 3-16892

Release Date Notice, Order, or Plan
34-79427 Nov. 29, 2016 Order Approving Plan of Distribution and Directing Disbursement of Fair Funds
Plan of Distribution
34-78848 Sep. 15, 2016 Notice of Proposed Plan of Distribution and Opportunity For Comment
Comments due: 30 days from date of this Notice
Proposed Plan of Distribution
IA-4225 Oct. 13, 2015 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (James T. Budden and Alexander W. Budden)
34-75298
IA-4130
AAER-3665		 Jun. 25, 2015 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Michael S. Wilson, CPA and Cotterman-Wilson CPAs, Inc.)

MiddleCove Capital, LLC, and Noah L. Myers

File Nos. 3-14993

Release Date Notice, Order, or Plan
34-83669 Jul. 19, 2018 Order Approving Plan of Distribution
Distribution Plan
34-83364 Jun. 4, 2018 Notice of Proposed Plan of Distribution and Opportunity for Comment
Comments due: 30 days from date of this Notice
Proposed Distribution Plan
34-81287 Aug. 2, 2017 Order Appointing Tax Administrator
34-68669
IA-3534
IC-30351		 Jan. 16, 2013 Order Making Findings and Imposing Remedial Sancations and a Cease-and-Desist Order Pursuant to Sections 15(b) and 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

Miller Energy Resources, Inc., Paul W. Boyd, CPA, David M. Hall, And Carlton W Vogt, Iii, CPA

File No. 3-16729

Release Date Notice, Order, or Plan
34-99904 Apr. 3, 2024

Order Approving Plan of Distribution
Plan of Distribution
34-99469 Feb. 5, 2024

Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
34-95642 Aug. 31, 2022 Order Appointing Tax Administrator
34-94300 Feb. 23, 2022 Order Establishing A Fair Fund

MMR Investment Bankers, LLC (d/b/a MMR, INC.), William G. Martin, Jr., Eugene R. Rankin, John A. Hubert, and Aaron D. Fimreite

File No. 3-14163

Release Date Notice, Order, or Plan
34-85832 May 10, 2019 Order Appointing Tax Administrator
33-9221
34-64626		 Jun. 8, 2011 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Respondent Aaron D. Fimreite
33-9220
34-64625		 Jun. 8, 2011 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Respondent John A. Hubert
33-9219
34-64624		 Jun. 8, 2011 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Respondent Eugene R. Rankin
33-9218
34-64623		 Jun. 8, 2011 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Respondent William G. Martin, Jr.
33-9217
34-64623		 Jun. 8, 2011 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Respondent MMR Investment Bankers, LLC (d/b/a MMR, Inc.)
33-9163
34-64543		 Jun. 8, 2011 Order Instituting Administrative and Cease-and-Desist Proceedings

Momentus, Inc., et al.

File No. 3-20393

Release Date Notice, Order, or Plan
34-99688 Mar. 7, 2024 Order Approving Plan of Distribution
Plan of Distribution
34-98209 Aug. 24, 2023 Order Extending Time to Enter Order Approving or Disapproving Plan of Distribution
34-97801 Jun. 27, 2023

Notice of Proposed Plan of Distribution and Opportunity for Comment

Comments received are available for this proposed plan.
Proposed Plan of Distribution
34-97187 Mar. 23, 2023 Second Extension Order
34-96981 Feb. 24, 2023 Order Appointing Fund Administrator and Setting Administrator's Bond Amount
34-96733 Jan. 23, 2023 Order Appointing Tax Administrator
34-95653 Sep. 1, 2022 Extension Order

Morgan Stanley, Co. LLC; Morgan Stanley ABS Capital I Inc.; and Morgan Stanley Mortgage Capital Holdings LLC

File No. 3-15982

Release Date Notice, Order, or Plan
34-93022 Sep. 16, 2021 Order Directing Disbursement of Fair Fund
34-89201 Jun. 30, 2020 Order Approving Plan of Distribution
Plan of Distribution
34-86474 Jul. 25, 2019 Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
34-85998 May 31, 2019 Notice of Proposed Plan of Distribution and Opportunity for Comment
Comments received are available for this proposed plan.
Proposed Plan of Distribution
34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator
34-77063 Feb. 4, 2016 Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount
34-74231 Feb. 6, 2015 Order Appointing Tax Administrator
33-9618 Jul. 24, 2014 Order Granting Waivers of the Disqualification Provisions
33-9617 Jul. 24, 2014 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order

Morgan Stanley & Co. LLC and Pawan Kumar Passi

File No. 3-21825, 3-21826

Release Date Notice, Order, or Plan
34-102915 Apr. 22, 2025 Order Approving Modified Plan of Distribution
Modified Plan of Distribution
34-102488 Feb. 26, 2025 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
34-101317 Oct. 11, 2024 Order Appointing Tax Administrator
34-101215 Sept. 27, 2024 Order Creating and Consolidating Fair Funds, and Setting Deadline to Submit a Proposed Plan of Distribution
34-99337 Jan. 12, 2024 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
34-99336 Jan. 12, 2024 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Morgan Stanley Smith Barney LLC

File No. 3-19793

Release Date Notice, Order, or Plan
34-92096 Jun. 3, 2021 Order Appointing Fund Administrator and Setting Administrator's Bond Amount
34-91737 Apr. 30, 2021 Second Extension Order
34-89383 Jul. 23, 2020 Extension Order
34-88969 May 28, 2020 Order Appointing Tax Administrator
34-88856
IA-5499		 May 12, 2020 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

Murray A. Huberfeld; Moshe Aka "Mark" Feuer and Scott A. Taylor; David B. Bodner

File Nos. 3-21537, 3-21538, 3-21842

Release Date Notice, Order, or Plan
34-102521 March 4, 2025 Order Establishing Fair Fund and Transferring Fair Fund to a Court-Appointed Receiver
IA-6540, IC-35123 Feb. 2, 2024 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 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 
IA-6359, IC-34978 July 31, 2023 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 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 
IA-6358, IC-34977 July 31, 2023 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 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 

MVP Manager LLC

File No. 3-19334

Release Date Notice, Order, or Plan
34-100527 Jul. 12, 2024 Order Directing Disbursement of Fair Fund
34-94510 Mar. 24, 2022 Order Approving Modified Plan of Distribution
Distribution Plan
34-94035 Jan. 24, 2022 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Distribution Plan
34-90187 Oct. 15, 2020 Order Appointing Tax Administrator
34-87396 Oct. 24, 2019 Extension Order
IA-5319 Aug. 13, 2019 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Newell Brands Inc. and Michael B. Polk

File No. 3-21766

Release Date Notice, Order, or Plan
34-102299 Jan. 28, 2025 Order Approving Plan of Distribution
Plan of Distribution
34-101808 Dec. 4, 2024

Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
34-101313 Oct. 11, 2024 Order Appointing Fund Administrator, Setting Administrator's Bond Amount, and Authorizing the Approval and Payment of Fees and Expenses of Administration
34-99618 Feb. 28, 2024 Order Appointing Tax Administrator
34-99077 Dec. 4, 2023 Extension Order
33-11251 Sept. 29, 2023 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

Nikola Corporation

File No. 3-20687

Release Date Notice, Order, or Plan
34-96998 Mar. 1, 2023 Order Appointing Fund Administrator and Setting Administrator's Bond Amount
34-96736 Jan. 23, 2023 Order Appointing Tax Administrator
33-11018 Dec. 21, 2021 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

North East Capital, LLC and Anthony T. Vicidomine

File No. 3-15429

Release Date Notice, Order, or Plan
34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator
34-78173 Jun. 28, 2016 Order Directing Disbursement of Fair Fund
34-78100 Jun. 17, 2016 Order Approving Amended Plan of Distribution
Amended Plan of Distribution
34-77712 Apr. 26, 2016 Notice of Proposed Amended Plan of Distribution and Opportunity for Comment
Proposed Amended Plan of Distribution
34-75753 Aug. 25, 2015 Extension Order
34-74808 Apr. 24, 2015 Extension Order
34-74355 Feb. 24, 2015 Extension Order
34-73921 Dec. 23, 2014 Notice of Proposed Plan of Distribution and Opportunity for Comment
Comments received are available for this proposed plan.
Proposed Plan of Distribution
34-72419 Jun. 18, 2014 Order Appointing Tax Administrator
33-9442
34-70223
IA-3651
IC-30651		 Aug. 16, 2013 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Northern Trust Hedge Fund Services LLC and Northern Trust Global Fund Services Cayman Limited

File No. 3-20030

Release Date Notice, Order, or Plan
34-96310 Nov. 14, 2022 Order Approving Plan Of Distribution
Plan of Distribution
34-96000 Oct. 6, 2022 Notice of Proposed Plan of Distribution and Opportunity to Comment
Proposed Plan of Distribution
34-91818 May 10, 2021 Extension Order
IA-5585 Sept. 18, 2020 Order Instituting Cease-and-Desist Proceedings Pursuant to Section 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order

Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc.

File No. 3-14909

Release Date Notice, Order, or Plan
34-102676 Mar. 14, 2025 Order Setting the Administrator's Bond Amount
34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator
34-79247 Nov. 4, 2016 Order Directing Disbursement For Second Distribution, Payment of Fund Administrator Fees, and Approval of Future Fees And Expenses
34-78224 Jul. 1, 2016 Order Approving Application of Fund Administrator for Payment of Fees and Expenses
34-75551 Jul. 29, 2015 Order Directing Disbursement of Fair Fund
34-74005 Jan. 6, 2015 Order Approving Application of Fund Administrator for Payment of Fees and Expenses
34-71493 Feb. 5, 2014 Order Approving Plan of Distribution
Plan of Distribution
34-71119 Dec. 18, 2013 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
34-70244 Aug. 21, 2013 Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-69873 Jun. 27, 2013 Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-69418 Apr. 19, 2013 Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-69138 Mar. 14, 2013 Order Appointing Fund Administrator and Approving Fund Administrator Bond
34-67363 Jul. 6, 2012 Order Appointing Tax Administrator
33-9329
34-67142
IA-3417
IC-30099		 Jun. 6, 2012 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Oxford Investment Partners, LLC and Walter J. Clarke

File No. 3-14899

Release Date Notice, Order, or Plan
34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator
34-68993 Feb. 27, 2013 Order Appointing Tax Administrator
IA-3554
IC-30385		 Feb. 15, 2013 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Walter J. Clarke
IA-3553
IC-30384		 Feb. 15, 2013 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Oxford Investment Partners, LLC
IA-3412
IC-30086		 May 30, 2012 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing

Paragon Coin, Inc.

File No. 3-18897

Release Date Notice, Order, or Plan
34-96512 Dec. 15, 2022 Order Directing Disbursement of Fair Fund
34-96428 Dec. 1, 2022 Order Approving Plan of Distribution
Distribution Plan
34-95965 Oct. 3, 2022 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Distribution Plan
 

34-92276 Jun. 28, 2021 Order Appointing Tax Administrator
34-91522 Apr. 9, 2021 Order Establishing Fair Fund
33-10574 Nov. 16, 2018 Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of The Securities Act of 1933, Making Findings, and Imposing Penalties and a Cease-and-Desist Order

Pennant Management, Inc.

File No. 3-18884

Release Date Notice, Order, or Plan
34-88804 May 4, 2020 Order Appointing Tax Administrator
34-85089 Feb. 11, 2019 Extension Order
IA-5061 Feb 11, 2019 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

Peter Kuperman and QED Benchmark Management LLC

File No. 3-17075

Release Date Notice, Order, or Plan
34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator
34-77262 Mar. 1, 2016 Order Appointing Tax Administrator
33-10009
34-76991
IA-4323
IC-31973		 Jan. 28, 2016 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Petróleo Brasileiro S.A. - Petrobras

File No. 3-18843

Release Date Notice, Order, or Plan
34-98423 Sep. 18, 2023 Order Directing  Disbursement of Fair Fund
34-92787 Aug. 27, 2021 Order Approving Plan of Distribution
Distribution Plan
34-92274 Jun. 28, 2021 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Distribution Plan
34-90465 Nov. 20, 2020 Order Appointing Tax Administrator
34-87889 Jan. 6, 2020 Order Appointing Fund Administrator and Setting Bond Amount
34-87889 Sep. 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

PHX Financial, Inc.

File No. 3-22259

Release Date Notice, Order, or Plan
34-102388 Feb. 11, 2025 Order Appointing Tax Administrator
34-101748 Nov. 25, 2024 Extension Order
34-101361 Oct. 16, 2024 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Pinnacle Investments, LLC

File No. 3-21405

Release Date Notice, Order, or Plan
34-101612 Nov. 13, 2024 Order Appointing Tax Administrator
34-101508 Nov. 4, 2024 Second Extension Order
34-100359 Jun. 17, 2024 Extension Order
34-97448, IA-6302 May 5, 2023 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

Poloniex, LLC

File No. 3-20455

Release Date Notice, Order, or Plan
34-101755 Nov. 26, 2024 Order Directing Disbursement of Fair Fund
34-99517 Feb. 12, 2024 Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-96779 Jan. 31, 2023 Order Approving Plan of Distribution
Plan of Distribution​​​​​
34-96429 Dec. 1, 2022 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Distribution Plan​​​​​
34-95172 Jun. 28, 2022 Order Removing and Appointing Fund Administrator, Setting Bond, and Related Relief
34-94752 Apr. 19, 2022 Second Extension Order
34-93634 Nov. 22, 2021 Order Appointing Fund Administrator and Setting Administrator's Bond Amount
34-93083 Sep. 21, 2021 Order Appointing Tax Administrator
34-93050 Sep. 17, 2021 Extension Order
34-92607 Aug. 9, 2021 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

Prime Group Holdings, LLC

File No. 3-21602

Release Date Notice, Order, or Plan
34-101598 Nov. 13, 2024 Order Approving Plan of Distribution
Plan of Distribution
34-101072 Sept. 18, 2024

Notice of Proposed Plan of Distribution and Opportunity for Comment

Proposed Plan of Distribution
34-99466 Feb. 5, 2024 Order Appointing Fund Administrator, Setting Administrator's Bond Amount, and Authorizing Payment of Fees and Expenses
34-99055 Nov. 30, 2023 Order Appointing Tax Administrator
34-98916 Nov. 13, 2023 Extension Order
33-11228 Sept. 5, 2023 Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing a Cease-and-Desist Order

Quantek Asset Management, LLC, et al.

File No. 3-14893

Release Date Notice, Order, or Plan
34-86050 Jun. 6, 2019 Order Approving Plan of Distribution
Distribution Plan
34-85473 Mar. 29, 2019 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Distribution Plan
33-9326 May 29, 2012 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, 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 Cease-and-Desist Orders

Quantstamp, Inc.

File No. 3-21535

Release Date Notice, Order, or Plan
34-101760 Nov. 26, 2024 Order Approving Plan of Distribution
Plan of Distribution
34-101270 Oct. 7, 2024

Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Distribution Plan
34-100369 Jun. 18, 2024 Order Appointing Fund Administrator, Setting the Administrator's Bond Amount, and Authorizing Approval and Payment of Fees and Expenses of Administration
34-100180 May 20, 2024 Order Appointing Tax Administrator
34-98705 Oct. 10, 2023 Extension Order
33-11215 July 21, 2023 Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing a Cease-and-Desist Order

Ravindranathan Raghunathan, CPA and Craig A. Golding, CPA

File No. 3-3-20600

Release Date Notice, Order, or Plan
34-100600 July 25, 2024 Order Appointing Tax Administrator
34-93133, AAER-4258 Sept. 27, 2021 Order Instituting Public Administrative and Cease-And- Desist Proceedings Pursuant to Sections 4C and Section 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Raymond Allan Fine and David Taylor

File No. 3-20087 and 3-20088

Release Date Notice, Order, or Plan
34-99898 Apr. 3, 2024 Order Appointing Tax Administrator
33-10856 Sept. 28, 2023 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order
33-10855 Sept. 28, 2023 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order

Raymond Lawrence Lent (dba the Putney Financial Group and Registered Investment Advisors)

File No. 3-21943

Release Date Notice, Order, or Plan
34-102439 Feb. 18, 2025 Order Creating a Fair Fund and Setting Deadline to Submit a Proposed Plan of Distribution
34-100183 May 20, 2024

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 

Reliance Financial Advisors, LLC

File No, 3-16311

Release Date Notice, Order, or Plan
34-91793 May 7, 2021 Order Appointing Tax Administrator
33-9872 July 31, 2015 Order 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), 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 as to Reliance Financial Advisors, LLC and Walter F. Grenda, Jr.

Resolute Capital Partners LTD, LLC, Homebound Resources, LLC, Thomas J. Powell, and Stefan T. Toth

File No, 3-20597

Release Date Notice, Order, or Plan
34-102390 Feb. 11, 2025 Order Appointing Fund Administrator, Setting Administrator's Bond Amount, and Authorizing the Approval and Payment of the Fees and Expenses of Administration
34-100066 May 7, 2024 Order Appointing Tax Administrator
34-94779 Apr. 22, 2022 Extension Order
33-10987 Sep. 24, 2021 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, Section 9(b) of the Investment Company Act of 1940, and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order

Richard Keith Robertson and IFP Advisors, LLC

File No, 3-20954 and 3-20955

Release Date Notice, Order, or Plan
34-102019 Dec. 20, 2024 Order Approving Plan of Distribution
Plan of Distribution
34-101395 Oct. 21, 2024

Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
34-100886 Aug. 30, 2024 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Distribution Plan
34-100598 July 25, 2024 Order Appointing Fund Administrator, Setting Administrator's Bond Amount, and Authorizing the Approval and Payment of Fees and Expenses of Administration
34-99389 Jan. 18, 2024 Extension Order
34-97175 Mar. 20, 2023 Order Appointing Tax Administrator
34-95462 Aug, 10, 2022 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 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
IA-6086 Aug. 10, 2022 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 

Rimar Capital USA, Inc., Rimar Capital, LLC, Itai Royi Liptz, and Clifford Todd Boro

File No. 3-22236

Release Date Notice, Order, or Plan
34-102667 Mar. 13, 2025 Order Appointing Tax Administrator
34-102531 Mar. 5, 2025 Extension Order
33-11316, 34-101297, IA- 6745, IC-35357 Oct. 10, 2024 Order Instituting Cease and Desist Proceedings

Robinhood Financial, LLC

File No, 3-20171

Release Date Notice, Order, or Plan
34-98289 Sep. 5, 2023 Order Directing Third Disbursement of Fair Fund
34-95152 Jun. 24, 2022 Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-94106 Jan. 31, 2022 Order Directing Second Disbursement of Fair Fund
34-92705 Aug. 18, 2021 Order Directing Disbursement of Fair Fund
34-92591 Aug. 6, 2021 Order Approving Plan Of Distribution
Distribution Plan
34-92115 Jun. 4, 2021 Notice of Proposed Plan of Distribution and Opportunity for Comment Comments received are available for this plan.
Proposed Distribution Plan
34-91590 Apr. 16, 2021 Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-91105 Feb. 11, 2021 Extension Order
34-91061 Feb. 4, 2021 Order Appointing Tax Administrator
33-10906 Dec. 17, 2020 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8a of the Securities Act of 1933 and Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and A Cease-and-Desist Order

S&P Dow Jones Indices LLC

File No. 3-20310

Release Date Notice, Order, or Plan
34-98414 Sep. 18, 2023 Order Directing Disbursement of Fair Fund
34-94905 May 12, 2022 Order Approving Plan of Distribution
Distribution Plan
34-94480 Mar. 21, 2022 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Distribution Plan
34-93509 Nov. 2, 2021 Order Appointing Fund Administrator and Setting Administrator's Bond Amount
34-92425 Jul. 16, 2021 Extension Order
34-92424 Jul. 16, 2021 Order Appointing Tax Administrator
33-10943 May 17, 2021 Order Instituting Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing a Cease-and-Desist Order

Salomon Whitney LLC

File No. 3-21762

Release Date Notice, Order, or Plan
34-101136 Sept. 23, 2024 Order Directing Disbursement of Distribution Fund
34-99896 April 3, 2024 Order Appointing Tax Administrator
34-98619 Sep. 28, 2023 Order Instituting Administrative Proceedings, Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions

Scott Doak

File No. 3-16941

Release Date Notice, Order, or Plan
34-92497 Jul. 26, 2021 Order Approving Plan of Distribution and Authorizing Transfer of Fair Fund
Distribution Plan
34-92202 Jun. 17, 2021 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
34-92140 Jun. 10, 2021 Order Establishing Fair Fund
34-81154 Jul. 17, 2017 Order Approving Tax Administrator
33-9976
34-76350
IA-4256
IC-31892		 Nov. 4, 2015 Order Instituting Administrative and Cease-And-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Sections 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

Scott Eugene Bachman

File No. 3-20089

Release Date Notice, Order, or Plan
34-97522 May 18, 2023 Order Directing Disbursement of Fair Fund
34-94326 Feb. 28, 2022 Order Approving Plan of Distribution
Distribution Plan
34-93874 Dec. 29, 2021 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Distribution Plan
34-93315 Oct. 14, 2021 Order Appointing Tax Administrator
34-92143 Jun. 10, 2021 Extension Order
33-10857 Sep. 28, 2020 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Scott T. Wolfrum and Tyler C. Sadek

File Nos. 3-20252 and 3-20253

Release Date Notice, Order, or Plan
34-101958 Dec. 18, 2024 Order Directing Disbursement of Fair Fund
34-99945 Apr. 11, 2024 Order Approving Plan of Distribution
Plan of Distribution
34-99513 Feb. 12, 2024 Notice of Proposed Plan of Distribution and Opportunity for Comment

Proposed Plan of Distribution
34-99078 Dec. 4, 2023 Order Appointing Tax Administrator
34-99010 Nov. 22, 2023 Order Consolidating Fair Funds
34-98804 Oct. 27, 2023 Second Extension Order
34-96813 Feb. 2, 2023 Extension Order
IA-5707 Mar. 24, 2021 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and A Cease-and-Desist Order
34-91401
IA-5706		 Mar. 24, 2021 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 a Cease-and-Desist Order

Securities America Advisors

File No. 3-20150

Release Date Notice, Order, or Plan
34-96438 Dec. 1, 2022 Order Directing Disbursement of Fair Fund
34-94360 Mar. 3, 2022 Order Approving Plan of Distribution
Distribution Plan
34-93892 Jan. 3, 2022 Notice of Proposed Plan of Distribution and Opportunity for Comment

Proposed Plan of Distribution
34-92426 Jul. 16, 2021 Order Appointing Fund Administrator and Setting Administrator's Bond Amount
34-91966 May 21, 2021 Order Appointing Tax Administrator
34-91884 May 13, 2021 Extension Order
IA-5627 Nov. 13, 2020 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

Securities America Advisors

File No. 3-20381

Release Date Notice, Order, or Plan
34-98041 Aug. 2, 2023 Order Directing  Disbursement of Fair Fund
34-96738 Jan. 23, 2023 Order Approving Amended Plan of Distribution
Amended Distribution Plan
34-96379 Nov. 22, 2022 Notice of Amended Proposed Plan of Distribution and Opportunity for Comment
Amended Proposed Distribution Plan
34-95311 Jul. 18, 2022 Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
34-94995 May 26, 2022 Notice of Proposed Plan of Distribution and Opportunity for Comment

Proposed Distribution Plan
Comments received are available for this proposed plan.
34-93375 Oct. 18, 2021 Order Appointing Tax Administrator
34-93373 Oct. 18, 2021 Extension Order
IA-5762 Jun. 30, 2021 Order Instituting Proceedings

ShipChain, Inc

File No. 3-20185

Release Date Notice, Order, or Plan
34-102118 Jan. 6, 2025 Order Approving Plan of Distribution
Plan of Distribution
34-101513 Nov. 5, 2024 Notice of Proposed Plan of Distribution and Opportunity for Comment
 
Proposed Plan of Distribution
34-96982 Feb 24, 2023 Order Appointing Fund Administrator and Setting Administrator's Bond Amount
34-96547 Dec. 20, 2022 Order Appointing Tax Administrator
34-93607 Nov. 18, 2021 Extension Order
33-10909 Dec. 20, 2020 Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing Penalties and a Cease-and-Desist Order

Sica Wealth Management, LLC and Jeffrey C. Sica

File No. 3-19716

Release Date Notice, Order, or Plan
34-97152 Mar. 16, 2023 Order Directing Second Disbursement of Fair Fund
34-95110 Jun. 16, 2022 Order Approving Plan of Distribution
Distribution Plan
34-94759 Apr. 19, 2022 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
34-94320 Feb. 28, 2022 Second Extension Order
34-92603 Aug. 6, 2021 Extension Order
34-88598 Apr. 8, 2020 Order Appointing Tax Administrator
IA-5453 Feb. 27, 2020 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

Signator Investors, Inc. and Gregory J. Mitchell; Cory D. Williams

File No. 3-16753 and 3-16754

Release Date Notice, Order, or Plan
34-91589 Apr. 16, 2021 Order Directing Disbursement of Fair Fund
34-91111 Feb. 11, 2021 Order Approving Plan of Distribution
Plan of Distribution
34-90836 Dec. 31, 2020 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
34-88005 Jan. 17, 2020 Order Appointing Tax Administrator
34-75691 Aug. 13, 2015 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Sections 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
34-75690 Aug. 13, 2015 Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(e) and 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions

Six Financial Information Inc.

File No. 3-18234

Release Date Notice, Order, or Plan
34-81960 Oct. 26, 2017 Order Appointing Tax Administrator
IA-4780 Sep. 28, 2017 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 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

Sparkster, Ltd. and Sajjad Daya

File No. 3-21103

Release Date Notice, Order, or Plan
34-99942 Apr. 11, 2024 Order Appointing Fund Administrator, Setting Administrator's Bond Amount, and Authorizing Approval and Payment of Fees and Expenses of Administration
34-99441 Jan. 29, 2024 Order Appointing Tax Administrator
33-11102 Sept. 19, 2022 Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order 

Steven Durrelle Williams

File No. 3-16246

Release Date Notice, Order, or Plan
33-9676 Nov. 4, 2014 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
34-74081 Jan. 16, 2015 Order Appointing Tax Administrator
34-68683 Jan. 17, 2013 Omnibus Order Directing the Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution Funds

Stoner Cats 2, LLC

File No. 3-21655

Release Date Notice, Order, or Plan
34-102743 Mar. 28, 2025 Order Approving Plan of Distribution
Plan of Distribution
34-102135 Jan. 7, 2025 Order Extending Time to Enter Order Approving or Disapproving Plan of Distribution
34-101659 Nov. 20, 2024 Notice of Proposed Distribution Plan and Opportunity for Comment
Proposed Plan of Distribution
Comments received are available for this proposed plan.
34-101610 Nov. 13, 2024 Order Appointing Fund Administrator, Setting Administrator's Bond Amount, and Authorizing the Approval and Payment of Fees and Expenses of Administration
34-101319 Oct. 11, 2024 Order Appointing Tax Administrator
34-98851 Nov. 3, 2023 Extension Order
33-11233 Sept. 13, 2023 Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing a Cease-and-Desist Order

-

Strong Capital Management, Inc., Strong Investor Services, Inc., Strong Investments, Inc., Richard S. Strong, Thomas A. Hooker, Jr. and Anthony J. D'Amato

File No. 3-11498

Release Date Notice, Order, or Plan
34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator
34-79136 Oct. 21, 2016 Order Approving Use of Fair Fund to Pay Outstanding and Remaining Fees and Expenses
34-64327 Apr. 22, 2011 Order Directing Disbursement of Fair Fund
34-63143 Oct. 21, 2010 Order Directing Disbursement of Fair Fund
34-62475 Jul. 8, 2010 Order Directing Disbursement of Fair Fund
34-60667 Sep. 14, 2009 Order Approving Distribution Plan, Appointing an Administrator, and Waiving Bond
34-60406 Jul. 30, 2009 Notice of Proposed Distribution Plan and Opportunity for Comment
Proposed Plan of Distribution
May 13, 2005 Order Creating a Fair Fund
34-51694
IA-2383
IC-26868		 May 13, 2005 Order Modifying Prior Order to Extend Period of Time During Which Richard S. Strong May Hold His Ownership Interest in Strong Capital Management, Inc., Strong Investor Services, Inc. and Strong Investments, Inc.
34-51341 Mar. 9, 2005 Order Directing Appointment of Tax Administrator
34-49741
IA-2239
IC-26448		 May 20, 2004 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders

Success Trade, Inc., Success Trade Securities, Inc., and Fuad Ahmed

File No. 3-16755

Release Date Notice, Order, or Plan
34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator
34-75789 Aug. 28, 2015 Order Appointing Tax Administrator
33-9891 Aug. 14, 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, Imposing Remedial Sanctions and a Cease-and-Desist Order, and Ordering Continuation of Proceedings

Summit Planning Group, Inc and Richard Urciuoli

File Nos. 3-21673

Release Date Notice, Order, or Plan
34-102300 Jan. 28, 2025 Order Appointing Tax Administratior
34-101815 Dec. 4, 2024 Extension Order
IA-6423

Sept. 18, 2023

 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

Super Micro Computer, Inc., Howard Hideshima

File Nos. 3-19927, 3-19928

Release Date Notice, Order, or Plan
34-102393 Feb. 11, 2025 Order Directing a Third Disbursement of Fair Fund
34-99237 Dec. 22, 2023 Order Directing a Second Disbursement of Fair Fund
34-99215

Dec. 20, 2023

 Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-98487 Sept. 22, 2023 Order Directing Disbursement of Fair Fund
34-94170 Feb. 7, 2022 Order Approving Amended Plan of Distribution
Amended Distribution Plan
34-91507 Apr. 8, 2021 Order Approving Plan of Distribution
Distribution Plan
34-91046 Feb. 3, 2021 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
34-90784 Dec. 22, 2020 Order Appointing Fund Administrator and Setting Bond Amount
34-90373 Nov. 6, 2020 Order Appointing Tax Administrator
34-90313 Nov. 2, 2020 Extension Order
34-89657 Aug. 25, 2020 Corrected 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
33-10822 Aug. 25, 2020 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 a Cease-and-Desist Order

Surgalign Holdings, Inc. and Robert P. Jordheim

File Nos. 3-20945

Release Date Notice, Order, or Plan
34-102751 Mar. 31, 2025 Order Approving Plan of Distribution
Plan of Distribution
34-102236 Jan. 17, 2025 Order Extending Time to Enter Order Approving or Disapproving Plan of Distribution
34-101756 Nov. 26, 2024 Notice of Proposed Plan of Distribution and Opportunity for Comment

Proposed Plan of Distribution
Comments received are available for this plan.
34-98600 Sept. 28, 2023 Order Appointing Fund Administrator, Setting Administrator's Bond Amount, and Authorizing Payment of Fees and Expenses
34-96997 Mar. 1, 2023 Order Appointing Tax Administrator
34-96010 Oct. 7, 2022 Extension Order
33-11088 Aug. 3, 2022 Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 4C and 21C of the Securities Exchange Act of 1934, and Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Synchronoss Technologies, Inc., Clayton “Charlie” Thomas, Marc Bandini, Daniel Ives, John Murdock, Ronald Prague, Esq.

File Nos. 3-20883, 3-20884, 3-20885, 3-20886, 3-20887, 3-20889 

Release Date Notice, Order, or Plan
34-102914 Apr. 22, 2025 Order Appointing Fund Administrator, Setting Administrator's Bond Amount, and Authorizing the Approval and Payment of the Fees and Expenses of Administration
34-100574 July 22, 2024 Order Appointing Tax Administrator
34-100179 May 20, 2024 Extension Order
34-95049 June 7, 2022

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
34-95050 June 7, 2022

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

34-95051		 June 7, 2022

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
34-95052

 		 June 7, 2022

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
34-95053 June 7, 2022 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
34-95055 June 7, 2022

Order Instituting Public Administrative and Cease-and-desist Proceedings Pursuant To Section 21C of the Securities Exchange Act of 1934 and Rule 102(E) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Tai Mo Shan Limited

File No. 3-22382

Release Date Notice, Order, or Plan
34-102662 Mar. 13, 2025 Order Appointing Tax Administrator
34-102470 Feb. 20, 2025 Extension Order
33-11349 Dec. 20, 2024 Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing a Cease-and-Desist Order

Tensquare, LLC and Karl Jentoft

File No. 3-22034

Release Date Notice, Order, or Plan
34-102257 Jan. 22, 2025 Order Appointing Tax Administrator and Directing Payment of Certain Funds Received by the Commission and Transfer of Remaining Funds to the U.S. Treasury
34-100820 Aug. 27, 2024 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15B and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Theorem Fund Services, LLC,

File No. 3-21546

Release Date Notice, Order, or Plan
34-101658 Nov. 20, 2024 Extension Order
33-11218 Aug. 7, 2023 Order Instituting Cease-and Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933 and Section 203(K) of the Investment Advisers Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order

Thoroughbred Financial Services, LLC

File No. 3-18952

Release Date Notice, Order, or Plan
34-102369 Feb. 6, 2025 Order Authorizing the Transfer to the U.S. Department of The Treasury of the Remaining Funds and any Funds Returned to the Fair Fund in the Future and Terminating the Fair Fun
34-84918 Dec.18, 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), 203(F), and 203(K) of The Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Train and Babcock Advisors LLC

File No. 3-18324

Release Date Notice, Order, or Plan
34-89013 Jun. 4, 2020 Order Directing Payment of Certain Funds Received by the Commission and Directing Transfer of Remaining Funds to the U.S. Treasury
34-83914 Aug. 23, 2018 Order Appointing Tax Administrator

Trinity Capital Corporation and William C. Enloe

File Nos. 3-16837, 3-16838

Release Date Notice, Order, or Plan
34-91569 Apr. 15, 2021 Order Appointing Tax Administrator
34-89135 Jun. 23, 2020 Order Establishing Fair Fund
33-9931
34-75998
AAER-3707		 Sep. 28, 2015 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order and Penalties
33-9930
34-75997
AAER-3706		 Sep. 28, 2015 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order and Penalties

Unikrn, Inc.

File No. 3-20003

Release Date Notice, Order, or Plan
34-102304 Jan. 29, 2025 Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Authorizing the Approval and Payment of the Fees and Expenses of Administration
34-100668 Aug. 7, 2024 Order Approving Amended Plan of Distribution
Amended Proposed Distribution Plan
34-100153 May. 15, 2024 Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
34-99779 Mar. 19, 2024 Notice of Amended Proposed Plan of Distribution and Opportunity for Comment

Amended Proposed Distribution Plan
34-99255 Dec, 29, 2023 Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
34-97855 Jul.7, 2023 Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
34-97008 Mar. 1, 2023 Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
34-96665 Jan. 13, 2023 Notice of Proposed Plan of Distribution and Opportunity for Comment

Comments received are available for this proposed plan.

Proposed Distribution Plan
34-94525 Mar. 28, 2022 Second Extension Order
34-93711 Dec. 2, 2021 Order Appointing Fund Administrator and Setting Administrator's Bond Amount
34-92205 Jun. 17, 2021 Extension Order
34-90700 Dec. 17, 2020 Order Appointing Tax Administrator
33-10841 Sep. 15, 2020 Order Instituting Cease-and Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing Penalties and a Cease-and-Desist Order 

United Parcel Service, Inc.

File No. 3-22327

Release Date Notice, Order, or Plan
34-102365 Feb. 6, 2025 Extension Order
33-11328, 34-101702, AAER-4542 Nov. 22, 2024 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 A Cease-and-Desist Order

Valeant Pharmaceuticals International, Inc. n/k/a Bausch Health Companies Inc., J. Michael Pearson, Howard B. Schiller, Tanya R. Carro, CPA

File Nos. 3-19899, 3-19900, 3-19901, 3-19902

Release Date Notice, Order, or Plan
34-100808 Aug. 22, 2024 Order Approving Plan & Distribution Plan
Distribution Plan
34-100410 June 24, 2024

Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Distribution Plan
34-99516 Feb. 12, 2024 Order Appointing Fund Administrator, Setting Administrator's Bond Amount, and Authorizing Payment of Fees and Expenses
34-99468 Feb. 5, 2024 Order Appointing Tax Administrator
34-99284 Jan. 7, 2024 Order Consolidating Fair Funds and Setting Deadline to Submit Proposed Plan of Distribution
33-10812. 34-89445, AAER-4155 July 31, 2020 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 A Cease-and-Desist Order
33-10811. 34-89444 July 31, 2020 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 A Cease-and-Desist Order
33-10810. 34-89443, AAER-4154 July 31, 2020 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 A Cease-and-Desist Order
33-10809. 34-89442, AAER-4153 July 31, 2020 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 A Cease-and-Desist Order

The Vanguard Group, Inc.

File No. 3-22435

Release Date Notice, Order, or Plan
34-102528 March 5, 2025 Extension Order
33-11359, IA-6830, IC-35453 Jan. 17, 2025     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 Section 9(f) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

VEREIT, INC.

File No. 3-19831

Release Date Notice, Order, or Plan
34-97854 Jul. 7, 2023 Order Approving Plan of Distribution and Authorizing Transfer of Fair Fund
Distribution Plan
34-97625 May 31, 2023 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Distribution Plan
34-89770 Sep. 4, 2020 Extension Order
34-89708 Aug. 28, 2020 Order Appointing Tax Administrator
33-10793
34-89133
AAER-4149		 Jun. 23, 2020 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Visium Asset Management, LP

File No. 3-18473

Release Date Notice, Order, or Plan
34-89112 Jun. 22, 2020 Order Directing Disbursement of Fair Fund
34-88920 May 21, 2020 Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-86330 Jul. 8, 2019 Order Approving Plan of Distribution
Distribution Plan
34-85827 May 10, 2019 Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
34-85403 Mar. 25, 2019 Notice of Proposed Plan of Distribution and Opportunity to Comment
Comments received are available for this notice.
Proposed Distribution Plan
34-84608 Nov. 16, 2018 Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-84004 Aug. 30, 2018 Order Appointing Tax Administrator
34-83998 Aug. 30, 2018 Order Establishing Fair Fund
33-10494 May 8, 2018 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Section 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 a Cease-and-Desist Order

VTB Capital plc and Credit Suisse Group AG

File No. 3-20628, 3-20629

Release Date Notice, Order, or Plan
34-102911 Apr. 22, 2025 Order Appointing Tax Administrator
34-102317 Jan. 31, 2025 Order Creating Fair Fund and Setting Deadline to Submit Proposed Plan of Distribution
33-11001 Oct. 19, 2021 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 a Cease-and-Desist Order
33-11000 Oct. 19, 2021 Order Instituting Cease-and-Desist Proceedings Pursuant To Section 8A Of The Securities Act Of 1933, Making Findings, And Imposing A Cease-and-Desist Order

Weatherford International PLC, et al. and Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA

File Nos. 3-17582 and 3-17628

Release Date Notice, Order, or Plan
34-100154 May 15, 2024 Order Approving Plan of Distribution
Distribution Plan
34-98569 Sept. 27, 2023 Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
34-97818 Jun. 29, 2023 Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
34-96687 Jan. 18, 2023 Order Extending Time to Enter Order Approving or Disapproving Plan of Distribution
34-96340 Nov. 17, 2022 Notice of Proposed Plan of Distribution and Opportunity for Comment

Proposed Plan of Distribution
Comments received are available for this plan.
34-89333 Jul. 16, 2020 Order Appointing Fund Administrator and Setting Bond Amount
34-83766 Aug. 2, 2018 Order Appointing Tax Administrator
34-82185 Nov. 30, 2017 Order Consolidating Fair Funds
34-82121 Nov. 20, 2017 Extension Order
34-80273 Mar. 17, 2017 Extension Order
34-79109 Oct. 18, 2016 Order Instituting Public Administrative and Cease-and Desist Proceedings Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease and-Desist Order ("Order")
33-10221
34-78944
AAER-3806		 Sep. 27, 2016 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Wells Fargo & Company

File No. 3-19704

Release Date Notice, Order, or Plan
34-101033 Sept. 16, 2024 Order Directing Third Disbursement of Fair Fund
34-99216 Dec .20, 2023 Order Directing Second Disbursement of Fair Fund
34-95733 Sep. 12, 2022 Order Directing Disbursement of Fair Fund
34-90898 Jan. 11, 2021 Order Approving Plan of Distribution
Plan of Distribution (Corrected)
34-90095 Oct. 6, 2020 Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
34-89501 Aug. 6, 2020 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
Comments received are available for this plan.
34-88921 May 21, 2020 Order Appointing Fund Administrator and Setting Bond Amount
34-88453 Mar. 23, 2020 Extension Order
34-88353 Mar. 10, 2020 Order Appointing Tax Administrator
34-88257 Feb. 21, 2020 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing A Cease-and-Desist Order

Wendan Bao, Shuo Gu, LendingCar Corp., And H7 Credit, LLC

File No. 3-20452

Release Date Notice, Order, or Plan
34-92704 Aug. 18, 2021 Order Appointing Tax Administrator and Directing Payment of Certain Funds Received by the Commission
33-10960 Aug. 4, 2021 Order Instituting Administrative and Cease-and-desist Proceedings, Pursuant To Section 8a Of The Securities Act Of 1933, Section 21c of The Securities Exchange Act Of 1934, Sections 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

William B. Fretz, Jr., John P. Freeman, Covenant Capital Management Partners, L.P., and Covenant Partners, L.P.

File No. 3-16829

Release Date Notice, Order, or Plan
34-92781 Aug. 27, 2021 Order Directing Third Disbursement of Distribution Fund
34-85536 Apr. 5, 2019 Corrected Order Directing Second Disbursement
34-81858 Oct. 12, 2017 Order Directing Disbursement
34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator
34-80711 May 18, 2017 Order Approving Plan of Distribution
Plan of Distribution
34-80392 Apr. 6, 2017 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
34-79511 Dec. 8, 2016 Order Appointing Tax Administrator
33-9925 Sep. 23, 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, 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

William D. King, CPA

File No. 3-19991

Release Date Notice, Order, or Plan
34-97636 Jun. 1, 2023 Order Directing Disbursement of Fair Fund
34-95109 Jun. 16, 2022 Order Approving Plan of Distribution
Distribution Plan
34-94758 Apr. 19, 2022 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Distribution Plan
34-93879 Dec. 29, 2021 Order Appointing Fund Administrator and Setting Administrator's Bond Amount
34-93321 Oct. 14, 2021 Order Appointing Tax Administrator
34-93320 Oct. 14, 2021 Extension Order
34-89848 Sept. 11, 2020 Order Instituting Administrative and Cease-and-Desist Proceedings

Wilmington Trust Corporation

File No. 3-16098

Release Date Notice, Order, or Plan
34-100571 July 22, 2024 Order Directing Second Disbursement of Distribution Fund
34-92779 Aug. 27, 2021 Order Directing Disbursement of Distribution Fund
34-91816 May 10, 2021 Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-89758 Sep. 3, 2020 Order Approving Plan of Distribution
Final Distribution Plan and Exhibits
34-89287 Jul. 10, 2020 Notice of Proposed Plan of Distribution and Opportunity for Comment
Comments received are available for this proposed plan.
Proposed Plan of Distribution
34-88779 Apr. 30, 2020 Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-88395 Mar. 16, 2019 Order Appointing Tax Administrator
33-9646
34-73076
AAER-3582		 Sep. 11, 2014 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Wireline, Inc.

File No. 3-20206

Release Date Notice, Order, or Plan
34-91934 May 19, 2021 Order Appointing Tax Administrator
34- 90938 Jan. 15, 2021 Order Directing Payment of Certain Funds Received by the Commission and Directing Transfer of Remaining Funds to the U.S. Treasury
33-10920 Jan. 15, 2021 Order Instituting Cease-and-Desist Proceedings, Making Findings and Imposing Penalties and a Cease-and-Desist-Order

Last Reviewed or Updated: April 25, 2025