# SEC.gov | Distributions in Commission Administrative Proceedings: Notices and Orders Pertaining to Disgorgement and Fair Funds > Briefs, arguments, decisions, and more. URL: https://www.frixlaw.com/law-library/documents/agency%3Asec%3A18cf84ff286dfd59 ## Record - **Collection:** Agency decision - **Document type:** Agency decision ## Text SEC.gov | Distributions in Commission Administrative Proceedings: Notices and Orders Pertaining to Disgorgement and Fair Funds Skip to search field Skip to main content Official websites use .gov A .gov website belongs to an official government organization in the United States. Secure .gov websites use HTTPS A lock ( Lock A locked padlock ) or https:// means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites. More in this Section 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 --> 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 ​​​ [Text truncated at 120,000 characters. The full text is on the page linked above.] --- Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/agency%3Asec%3A18cf84ff286dfd59. Public record. Not legal advice.