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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. 34-104544 (January 5, 2026).
See also Archive of Terminated Fair Funds and Disgorgement Plans .
List of Cases
Advanced Emissions Solutions, Inc. (3-17892)
Alexander Capital, L.P., Philip A. Noto II, Barry T. Eisenberg (3-18561, 3-18562, 3-18563)
Alexander S. Gould (3-19965)
Allianz Global Investors U.S. LLC (3-20855)
American Electric Power Company, Inc. (3-22425)
Ameriprise Financial, Inc. (formerly American Express Financial Corporation) (3-12114)
Ameritas Advisory Services, LLC (3-20784)
Anastasios P. "Tommy" Belesis (3-18088)
Andeavor LLC (3-20125)
Arista Power, Inc.
Augustine Capital Management, LLC, (f/k/a Augustine Capital Management, Inc.) et al. (3-17740)
Bankrate, Inc. and Hyunjin Lerner, CPA (3-16786; 3-16787)
Barclays PLC and Barclays Bank PLC (3-21181)
Bayerische Motoren Werke Aktiengesellschaft, BMW of North America, LLC and BMW US Capital, LLC (3-20060)
Baxter International Inc., Jeffrey Schaible, and Scott Bohaboy (3-20781, 3-20782, and 3-20783)
Becton, Dickinson and Company (3-22361)
Biltmore Wealth Management, LLC and Caleb R. Overton (3-18656)
BitClave PTE, Ltd. (3-19816)
BKS Advisors, LLC and Roger T. Denha (3-18648; 3-18649)
Blockchain Credit Partners d/b/a DeFi Money Market, Gregory Keough, and Derek Acree (3-20453)
BlueCrest Capital Management Limited (3-20162)
BMO Capital Markets Corp. 3-22398
The Boeing Company (3-21140) and Dennis A. Muilenburg (3-21141)
Brooge Energy Limited, Nicolaas Lammert Paardenkooper, and Lina Saheb (3-21816)
Catalyst Capital Advisors LLC (3-21923)
Centaur Management Co. LLC (3-14950). 3-21816
Centaurus Financial, Inc., Ricky A. Mantei, and Atul Makharia (3-21295)
Charles L. Rizzo and Gina M. Hornbogen (3-14641)
Chatham Asset Management, LLC and Anthony Melchiorre (3-21355)
CIHC, Inc., Conseco Services, LLC, and Conseco Equity Sales, Inc. (3-11578)
Citigroup Global Markets, Inc. and Morgan Stanley Smith Barney LLC (3-17808 and 3-17809)
Claire P. Shaughnessy and Aon Investments USA Inc. Fka Aon Hewitt Investment Consulting, Inc. (3-21836; 3-21837)
Clayborne Group, LLC and Dean A. Heinemann (3-18423)
Columbia Management Advisors, Inc. and Columbia Funds Distributor, Inc. (3-11814)
Computer Sciences Corporation, Michael Laphen, Michael Mancuso, Wayne Banks, Claus Zilmer, and Paul Wakefield (3-16575)
Wayne Banks, Claus Zilmer, and Paul Wakefield
Compass Minerals International, Inc. (3-21145)
Comscore, Inc. and Serge Matta (3-19499 and 3-19500)
Cornerstone Capital and Laura Jean Kent (3-13199)
Covia Holdings Corp. and Fairmount Santrol Holdings Inc. Now Known as Bison Merger Sub I, LLC (3-20163)
Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.), Credit Suisse Asset Management, LLC, and Samir H. Bhatt (3-14594)
Crews & Associates, Inc. (3-20480)
Daniel Investments Associates, LLC and Gregory D. Van Wyk (3-20211)
David F. Bandimere (3-15124)
Derik J. Todd, et al. (3-17672)
DeVere USA, Inc. (3-18527)
Eagle Bancorp, Inc. (3-20963)
Elanco Animal Health Inc. (3-22309)
Exchange Traded Managers Group LLC, et al. (3-21542)
Exelon Corporation and Commonwealth Edison Company (3-21761)
EZTD, Inc. (3-17673)
FCA US LLC and Fiat Chrysler Automobiles N.V. (3-19541)
Fiat Chrysler Automobiles N.V. (3-20092)
Fieldman Rolapp & Associates, Inc. and Anna Sarabian (3-21717)
Fieldstone Financial Management Group, LLC and Kristofor R. Behn (3-19227)
Fifth Street Management, LLC (3-18909)
Fifth Third Bancorp and Daniel Poston (3-15635)
FirstEnergy Corp. (3-22111)
First Southwest Company, LLC (3-17154)
Fluor Corporation, Jon Eric Best, James F. Brittain, Robin K. Chopra, CA, Bradley R. Scott, Kent N. Smith (3-21610, 3-21612, 3-21613, 3-21614, 3-21615, and 3-21616)
Focus Media Holding Limited and Jason Jiang (3-16852)
Fortress Investment Management, LLC, and William M. Malloy, III (3-19715)
Foundations Asset Management, LLC, Michael W. Shamburger, and Rob E. Wedel (3-19266)
Frontier Wealth Management, LLC and Shawn Sokolosky (3-20526)
Geluk Capital Management Ltd and Douglas Gerald Fathers (3-20906)
Gemini Fund Services, LLC (3-18348)
General Electric Company (3-20165)
George B. Franz III and Ruby Corporation (3-15526)
GlennCap LLC and Jonathan Vincent Glenn (3-21667)
GMB Capital Management LLC; GMB Capital Partners LLC; Gabriel Bitran and Marco Bitran (3-14854)
Gregg C. Lorenzo, Francis V. Lorenzo, and Charles Vista, LLC (3-15211)
GrubMarket, Inc. (3-22421)
GTV Media Group, Inc., Saraca Media Group, Inc. and Voice of Guo Media, Inc. (3-20537)
Gustavo Dolfino (3-22254)
Haidar Capital Management, LLC, Haidar Capital Advisors, LLC, and Said N. Haidar (3-12678)
HCR Wealth Advisors (3-19494)
Health Insurance Innovations, Inc., now named Benefytt Technologies, Inc., and Gavin D. Southwell (3-20932)
HF Foods Group, Inc. (3-21959)
Houston American Energy Corp., John F. Terwilliger, Jr., Undiscovered Equities Inc., and Kevin T. McKnight (3-16000)
Howard Richards; James Goodland, and Securus Wealth Management, LLC (3-16877; 3-16878)
IFS Securities (3-19220)
Impact Theory, LLC (3-21585)
Institutional Investors Advisory Company (3-18114)
John Paul Harnish d/b/a KM Advisory Services (3-20882)
JP Turner & Company, LLC, and William L. Mello (3-15014)
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 (3-10765)
Kahn Brothers Advisors, LLC and Thomas Kahn (3-20880)
Kathryn Jane Meredith d/b/a KM Advisory Services (3-20881)
Keith MacDonald Summers (3-16014)
Kendall J. Groom, CPA (3-19301)
KPMG LLP and John Riordan, CPA (3-18110)
The Kraft Heinz Co. and Eduardo Pelleissone (3-20523)
Kroll Bond Rating Agency, LLC (3-20097)
Laurence I. Balter d/b/a Oracle Investment Research (3-17614)
Legacy Hospitality II, LLC, Legendary Capital REIT III, LLC and Corey R. Maple (3-21586)
Leonardo Cornide and Jorge Falcon (3-19511)
Linkbrokers Derivatives LLC and Aaron Nowak (3-16017; 3-16999)
Louis Capital Markets, LP (3-17890)
LPL Financial LLC (3-20612)
Madison Capital Funding LLC (3-22599)
MagnaChip Semiconductor Corporation and Margaret Hye-Ryoung Sakai, CPA (3-17956)
Mancera, S.C., Alejandro Valdez Mendoza, C.P., and Angel Radames Corral Nieblas, C.P. (3-20173)
Mark Grahm, Blue Capital., et al. (3-18724)
Mergenet Medical, Inc., Bruce Matthew Sher, Shara Anne Hernandez, and Peter Anthony DeCicco, Jr. (3-18253)
Merrill Lynch, Pierce and Fenner & Smith Incorporated; Harvest Volatility Management LLC (3-22173, 3-22174)
Michael S. Wilson, CPA and Cotterman-Wilson, CPAs, Inc.; James T. Budden and Alexander W. Budden (3-16652; 3-16892)
MiddleCove Capital, LLC, and Noah L. Myers (3-14993)
Miller Energy Resources, Inc., Paul W. Boyd, CPA, David M. Hall, And Carlton W Vogt, Iii, CPA (3-16729)
MMR Investment Bankers, LLC (d/b/a MMR, INC.), William G. Martin, Jr., Eugene R. Rankin, John A. Hubert, and Aaron D. Fimreite (3-14163)
Momentus, Inc., et al. (3-20393)
Morgan Stanley & Co. LLC and Pawan Kumar Passi (3-21825, 3-21826)
Morgan Stanley Smith Barney LLC (3-19793)
Murray A. Huberfeld; Moshe Aka "Mark" Feuer and Scott A. Taylor; David B. Bodner (3-21537, 3-21538, 3-21842)
MVP Manager LLC (3-19334)
Newell Brands Inc. and Michael B. Polk (3-21766)
Nikola Corporation (3-20687)
North East Asset Management Group, Inc. and Gregory A. Zandlo (3-22481)
North East Capital, LLC and Anthony T. Vicidomine (3-15429)
Northern Trust Hedge Fund Services LLC and Northern Trust Global Fund Services Cayman Limited (3-20030)
Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc. (3-14909)
Oxford Investment Partners, LLC and Walter J. Clarke (3-14899)
Paragon Coin, Inc. (3-18897)
Pennant Management, Inc. (3-18884)
Peter Kuperman and QED Benchmark Management LLC (3-17075)
Petróleo Brasileiro S.A. - Petrobras (3-18843)
PHX Financial, Inc. (3-22259)
Pinnacle Investments, LLC (3-21405)
Platinum Wealth Partners, Inc. and David L. Potter (3-20067)
Poloniex, LLC. (3-20455)
Prime Group Holdings, LLC (3-21602)
Quantek Asset Management, LLC, et al. (3-14893)
Quantstamp, Inc. (3-21535)
Ravindranathan Raghunathan, CPA and Craig A. Golding, CPA (3-20600)
Raymond Allan Fine and David Taylor (3-20087 and 3-20088)
Raymond Lawrence Lent (dba The Putney Financial Group, Registered Investment Advisors) (3-21943)
Reliance Financial Advisors, LLC (3-16311)
Resolute Capital Partners LTD, LLC, Homebound Resources, LLC, Thomas J. Powell, and Stefan T. Toth (3-20597)
Richard Keith Robertson and IFP Advisors, LLC (3-20954 and 3-20955)
Rimar Capital USA, Inc., Rimar Capital, LLC, Itai Royi Liptz, and Clifford Todd Boro (3-22236)
Robinhood Financial, LLC (3-20171)
S&P Dow Jones Indices LLC (3-20310)
Salomon Whitney LLC (3-21762)
Scott A. Doak (3-16941)
Scott Eugene Bachman (3-20089)
Scott T. Wolfrum and Tyler C. Sadek (3-20252 and 3-20253)
Securities America Advisors (3-20150)
Securities America Advisors (3-20381)
ShipChain, Inc (3-20185)
Sica Wealth Management, LLC and Jeffrey C. Sica (3-19716)
Signator Investors, Inc. and Gregory J. Mitchell; Cory D. Williams (3-16753 and 3-16754)
Six Financial Inc. (3-18234)
Sparkster, Ltd. and Sajjad Daya (3-21103)
Steven Durrelle Williams (3-16246)
Stoner Cats 2, LLC (3-21655)
Strong Capital Management, Inc., Strong Investor Services, Inc., Strong Investments, Inc., Richard S. Strong, Thomas A. Hooker, Jr. and Anthony J. D'Amato (3-11498)
Success Trade, Inc., Success Trade Securities, Inc., and Fuad Ahmed (3-16755)
Summit Planning Group, Inc and Richard Urciuoli (3-21673)
Super Micro Computer, Inc. and Howard Hideshima (3-19927, 3-19928)
Surgalign Holdings, Inc. and Robert P. Jordheim (3-20945)
Synchronoss Technologies, Inc., Clayton “Charlie” Thomas, Marc Bandini, Daniel Ives, John Murdock, Ronald Prague, ESQ. (3-20883, 3-20884, 3-20885, 3-20886, 3-20887, 3-20889)
Tai Mo Shan Limited (3-22382)
Tensquare, LLC and Karl Jentoft (3-22034)
Theorem Fund Services, LLC (3-21546)
Train and Babcock Advisors LLC (3-18324)
Trinity Capital Corporation and William C. Enloe (3-16837, 3-16838)
Unikrn, Inc. (3-20003)
United Parcel Service, Inc. (3-22327)
Valeant Pharmaceuticals International, Inc. n/k/a Bausch Health Companies Inc., J. Michael Pearson, Howard B. Schiller, Tanya R. Carro, CPA (3-19899, 3-19900, 3-19901, 3-19902)
The Vanguard Group, Inc. (3-22435)
VEREIT, Inc. (3-19831)
Vestech Partners, LLC, Marita Partners, LLC, MI 15 LLC, and Riadh Fakhoury (3-22622)
Visium Asset Management, LP (3-18473)
VTB Capital plc and Credit Suisse Group AG (3-20628, 3-20629)
Weatherford International PLC, et al. and Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA (3-17582, 3-17628)
Wells Fargo & Company (3-19704)
Wendan Bao, Shuo Gu, LendingCar Corp., And H7 Credit, LLC (3-20452)
William D. King, CPA (3-19991)
Wilmington Trust Corporation (3-16098)
Wireline, Inc. (3-20206)
Zymergen Inc. (3-20206)
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
34-104140
Sept. 30, 2025
Order Directing Disbursement of Fair Fund
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
34-104797
Feb. 10, 2026
Order Appointing Tax Administrator
34-89785
Sep. 8, 2020
Order Directing Payment of Certain Funds Received by the Commission
IA-5574, IC-34004
Sep. 8, 2020
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
34-105751
Jun. 23, 2026
Order Approving Plan of Distribution
Plan of Distribution
34-105348
May 1, 2026
Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
34-105122
Mar. 30, 2026
Order Appointing Fund Administrator, Setting Administrator’s Bond Amount, and Authorizing the Approval and Payment of the Fees and Expenses of Administration
34-104802
Feb. 10, 2026
Second Extension Order
34-104801
Feb. 10, 2026
Order Appointing Tax Administrator
34-102529
Mar. 5, 2025
Extension Order
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
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)
Ameritas Advisory Services, LLC
File No. 3-20784
Release
Date
Notice, Order, or Plan
34-106470
Sept. 23, 2026
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 Fund
IA-5970
Feb. 25, 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
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
34-105753
Jun. 23, 2026
Order Appointing Fund Administrator, Setting Administrator's Bond Amount, and Authorizing the Approval and Payment of the Fees and Expenses of Administration
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
Arista Power, Inc.
Release
Date
Notice, Order, or Plan
Aug. 25, 2021
Order Establishing a Fair Fund, Appointing a Tax Administrator, a Distribution Agent, and Related Relief
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
34-106027
Aug. 3, 2026
Order Directing Disbursement of Fair Fund
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
34-103625
Aug. 1, 2025
Order Approving Plan Of Distribution
Plan Of Distribution
34-103347
Jun. 30, 2025
Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
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
34-106004
July 28, 2026
Order Directing Disbursement of Fair Fund
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
34-105932
July 16, 2026
Order Approving Plan of Distribution
Plan of Distribution
34-105310
April 24, 2026
Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
34-104853
Feb. 17, 2026
Order Appointing Fund Administrator, Setting Administrator’s Bond Amount, and Authorizing the Approval and Payment of the Fees and Expenses of Administration
34-104424
Dec. 17, 2025
Second Extension Order
34-104024
Sept. 23, 2025
Order Appointing Tax Administrator
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
34-105284
April 21, 2026
Order Directing Third Disbursement of Fair Fund
34-104025
Sept. 23, 2025
Order Directing Second Disbursement of Fair Fund
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
Biltmore Wealth Management, LLC and Caleb R. Overton,
File No. 3-18656
Release
Date
Notice, Order, or Plan
34-105679
Jun. 12, 2026
Order Appointing Tax Administrator
IA-4990, IC-33208
Aug. 21, 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
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
34-105754
Jun. 23, 2026
Order Appointing Tax Administrator
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
34-104990
Mar. 13, 2026
Order Directing Disbursement of Fair Fund
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
34-103681
Aug. 11, 2025
Order Approving Application of Fund Administrator for Payment of Fees and Expenses
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
34-105092
Mar. 26, 2026
Order Directing Disbursement of Fair Fund
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
Chatham Asset Management, LLC and Anthony Melchiorre
File No. 3-21355
Release
Date
Notice, Order, or Plan
34-105805
Jun. 29, 2026
Order Directing Disbursement of Fair Fund
34-103021
May 9, 2025
Order Approving Plan of Distribution
Corrected Plan of Distribution
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, IC-34875
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, 3-21837
Release
Date
Notice, Order, or Plan
34-105156
Apr. 7, 2026
Order Approving Plan of Distribution
Plan of Distribution
34-104277
Dec. 1, 2025
Second Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
34-103122
May 23, 2025
Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
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
34-104908
Feb. 27, 2026
Order Directing Third Disbursement of Fair Fund
34-103132
May 28, 2025
Order Setting Administrator's Bond Amount
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
34-104994
Mar. 13, 2026
Order Approving Amended Plan of Distribution
Amended Plan of Distribution
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
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
34-106258
Sept. 2, 2026
Order Directing Disbursement of Fair Fund
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 Comments received are available for this notice -->
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:
Citigroup to Pay $285 Million to Settle SEC Charges for Misleading Investors About CDO Tied to Housing Market (Press Release No. 2011-214, October 21, 2011)
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
34-104131
Sep. 29, 2025
Order Directing Disbursement of Fair Fund
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
34-105354
May 1, 2026
Order Approving Plan of Distribution
Plan of Distribution
34-104992
Mar. 13, 2026
Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
34-104911
Mar. 2, 2026
Order Appointing Fund Administrator, Setting Administrator’s Bond Amount, and Authorizing the Approval and Payment of the Fees and Expenses of Administration
34-104419
Dec. 17, 2025
Second Extension Order
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
34-104132
Sep. 29, 2025
Order Directing Second Disbursement of Fair Fund
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
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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
34-106073
Aug. 11, 2026
Order Directing Third Disbursement of Fair Fund
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
34-105353
May 1, 2026
Order Approving Plan of Distribution
Plan of Distribution
34-105042
Mar. 18, 2026
Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Distribution Plan
34-104425
Dec. 17, 2025
Order Appointing Fund Administrator, Setting Administrator’s Bond Amount, and Authorizing the Approval and Payment of the Fees and Expenses of Administration
34-104254
Nov. 24, 2025
Second Extension Order
34-104138
Sept. 30, 2025
Order Appointing Tax Administrator
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
34-105807
Jun. 29, 2026
Order Directing Disbursement of Fair Fund
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
GlennCap LLC and Jonathan Vincent Glenn
File No. 3-21667
Release
Date
Notice, Order, or Plan
34-106135
Aug. 14, 2026
Order Authorizing Transfer of the Fair Fund
33-11234, 34-98392, IA-6422, IC-34997
Sept. 14, 2023
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
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
34-103850
Sept. 4, 2025
Termination Order
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
May 28, 2026
34-105571
Notice of Proposed Plan of Distribution and Opportunity for Comment
Submit Comments on 3-22421
Proposed Plan of Distribution
March 26, 2026
34-105095
Order Appointing Fund Administrator, Setting Administrator’s Bond Amount, and Authorizing the Approval and Payment of the Fees and Expenses of Administration
Feb. 18, 2026
34-104857
Second Extension Order
Dec. 17, 2025
34-104421
Order Appointing Tax Administrator
March 13, 2025
34-102668
Extension Order
Jan. 17, 2025
33-11354, AAER-4556
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
Gustavo Dolfino
File No. 3-22254
Release
Date
Notice, Order, or Plan
34-104938
Mar. 6, 2026
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
34-103680
Aug. 11, 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
34-81064
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
34-105930
Jul. 16, 2026
Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Authorizing the Approval and Payment of Fees and Expenses of Administration
34-96064
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
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
34-103579
July 29, 2025
Order Directing Disbursement Of Fair Fund
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
34-103839
Sept. 3, 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
34-99904
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
34-106471
Sept. 23, 2026
Order Directing Disbursement of Fair Fund
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 Comments received are available for this proposed plan.
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
34-105848
July 6, 2026
Order Approving Plan of Distribution
Plan of Distribution
34-104170
Oct. 27, 2025
Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
34-103861
Sept. 4, 2025
Notice of Proposed Plan of Distribution and Opportunity for Comment
Comments received are available for this proposed plan.
Proposed Plan of Distribution
34-103586
July 30, 2025
Second Extension Order
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
34-103682
Aug. 11, 2025
Order Directing Second Disbursement of Fair Fund
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
Louis Capital Markets, LP
File Nos. 3-17890
Release
Date
Notice, Order, or Plan
34-103134
May 28, 2025
Order Appointing Fund Administrator, Setting Administrator's Bond Amount, and Authorizing the Approval and Payment of the Fees and Expenses of Administration
34-103133
May 28, 2025
Order Appointing Tax Administrator
34-80332
Mar. 29, 2017
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
Madison Capital Funding LLC
File No. 3-22599
Release
Date
Notice, Order, or Plan
34-105806
Jun. 29, 2026
Order Appointing Tax Administrator
34-105299
Apr. 23, 2026
Extension Order
IA-6948
Feb. 25, 2026
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
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
34-104851
Feb. 17, 2026
Order Approving Plan of Distribution
Plan of Distribution
34-104426
Dec. 17, 2025
Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
34-103849
Sept. 3, 2025
Order Appointing Fund Administrator, Setting Administrator's Bond Amount, and Authorizing the Approval and Payment of the Fees and Expenses of Administration
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
Comments received are available for this proposed plan.
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
34-103839
Sept. 3, 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
34-99904
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
34-104133
Sep 29, 2025
Order Directing Disbursement of Fair Fund
34-103577
July 29, 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
34-99688
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 and Pawan Kumar Passi
File No. 3-21825, 3-21826
Release
Date
Notice, Order, or Plan
34-105802
Jun. 29, 2026
Order Directing Disbursement of Fair Fund
34-103790
Aug. 27, 2025
Order Approving Modified Plan of Distribution
Modified Plan of Distribution
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
Comments received are available for this proposed plan.
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 Asset Management Group, Inc. and Gregory A. Zandlo
File No. 3-22481
Release
Date
Notice, Order, or Plan
34-105961
July 21, 2026
Notice of Proposed Plan of Distribution and Opportunity for Comment
Comments Due : 30 days from date of this Notice
Submit Comments on 3-22481
Proposed Plan of Distribution
34-104913
Mar. 2, 2026
Order Appointing Fund Administrator, Setting Administrator’s Bond Amount, and Authorizing the Approval and Payment of the Fees and Expenses of Administration
34-104422
Dec. 17, 2025
Order Appointing Tax Administrator
34-103668
Aug. 8, 2025
Extension Order
34-103173, IA-6881
Jun. 3, 2025
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 21C 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
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
34-106473
Sept. 23, 2026
Order Directing Second Disbursement of Fair Fund
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
34-105459
May 12, 2026
Order Approving Plan of Distribution
Plan of Distribution
34-105048
Mar. 19, 2026
Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
34-104406
Dec. 15, 2025
Second Extension Order
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
34-106000
July 28, 2026
Order Directing Disbursement of Fair Fund
34-103791
Aug. 27, 2025
Order Approving Modified Plan of Distribution
Modified Plan of Distribution
34-103441
July 11, 2025
Order Appointing Fund Administrator, Setting Administrator’s Bond Amount, and Authorizing the Approval and Payment of the Fees and Expenses of Administration
34-103346
Jun. 30, 2025
Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
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
Platinum Wealth Partners, Inc. and David L. Potter
File No. 3-20067
Release
Date
Notice, Order, or Plan
34-106476
Sept. 23, 2026
Order Appointing Tax Administrator
33-10852, IC-34027, IA-5592
Sept. 24, 2020
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 a Cease-and-Desist Order
Poloniex, LLC
File No. 3-20455
Release
Date
Notice, Order, or Plan
34-105203
Apr. 10, 2026
Order Directing Second Disbursement of Fair Fund
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
34-105350
May 1, 2026
Order Directing Disbursement of Fair Fund
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
34-106472
Sept. 23, 2026
Order Directing Disbursement of Fair Fund
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
34-106350
Sept. 14, 2026
Order Appointing Tax Administrator
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
34-104915
Mar. 2, 2026
Order Directing Disbursement of Fair Fund
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
Plan of Distribution
34-105345
Apr. 30, 2026
Order Approving Plan of Distribution
34-104963
Mar. 10, 2026
Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
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
34-106362
Sep. 15, 2026
Order Directing Second Disbursement of Fair Fund
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
34-104428
Dec. 17, 2025
Amended Order Directing Disbursement of Fair Fund
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
34-106475
Sept. 23, 2026
Order Directing Disbursement of Fair Fund
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
34-103679
Aug. 11, 2025
Order Setting Administrator’s Bond Amount
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
34-104238
Nov. 21, 2025
Order Approving Plan of Distribution
Plan of Distribution
34-104022
Sept. 23, 2025
Notice of Proposed Plan of Distribution and Opportunity For Comment
Proposed Plan of Distribution
34-103838
Sept. 3, 2025
Order Appointing Fund Administrator, Setting Administrator’s Bond Amount, and Authorizing the Approval and Payment of the Fees and Expenses of Administration
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
34-105344
Apr. 30, 2026
Order Approving Plan of Distribution
Plan of Distribution
34-104685
Jan. 26, 2026
Second Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
34-103444
July 14, 2025
Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
34-103036
May 13, 2025
Notice of Proposed Plan of Distribution and Opportunity for Comment
Comments received are available for this proposed plan.
Proposed Plan of Distribution
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
34-106168
Aug. 20, 2026
Notice of Proposed Plan of Distribution and Opportunity for Comment
Comments due: 30 days from date of this Notice
Comments received are available for this notice.
Submit Comments on 3-22382
Proposed Plan of Distribution
34-104875
Feb. 20, 2026
Second Extension Order
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
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 Receiv
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