# SEC.gov | Archive of Terminated Fair Funds and Disgorgement Plans

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URL: https://www.frixlaw.com/law-library/documents/agency%3Asec%3Ab0133325f90d9fc1

## Record

- **Collection:** Agency decision
- **Document type:** Agency decision

## Text

SEC.gov | Archive of Terminated Fair Funds and Disgorgement Plans

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Archive of Terminated Fair Funds and Disgorgement Plans

July 15, 2022

For information on how the SEC administers Fair Funds, see Rules of Practice and Rules on Fair Funds and Disgorgement Plans . For information on the current tax administrators, see Exchange Act Release No. 101986 (Dec. 19, 2024). For information on the previous tax administrator, see Exchange Act Release No. 85174 (Feb. 22, 2019).

See also Current Fair Funds and Disgorgement Plans .

Search Cases:

--> List of Cases

AEGON USA Investment Management, LLC; Transamerica Asset Management, Inc.; Transamerica Capital, Inc.; and Transamerica Financial Advisors, Inc. (3-18681)

Aladdin Capital Management LLC and Aladdin Capital LLC and Joseph A. Schlim. (3-15134, 3-15135)

Alliance Capital Management, L.P. (3-11359)

Alexander Rekeda; Xavier Capdepon and Gwen Snorteland; and Delaware Asset Advisers and Wei (Alex) Wei (3-14952, 3-14953, 3-14954)

Alphabridge Capital Management, LLC, Thomas T. Kutzen and Michael J. Carino (3-16670)

Ameriprise Financial Services, Inc. (3-13544)

Ameriprise Financial Services, Inc. (formerly American Express Financial Advisors Inc.) (3-12115)

American Portfolio Advisors, Inc. (3-18946)

American Skandia Investment Services, Inc. (3-13446)

AmSouth Bank, N.A. (now known as Regions Bank), and AmSouth Asset Management, Inc. (now known as Morgan Asset Management) (3-13230)

Anthony Coronati and Bidtoask LLC (3-16203)

Apex Fund Services (US), Inc. (3-17300)

Ark Asset Management Co., Inc. (3-13714)

Armando Ruiz and Maradon Holdings, LLC (3-14388)

Aventura Capital Management, LLC (3-21026)

AXA Advisors LLC (3-19078)

Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC (3-11818)

Banc of America Securities, LLC (3-12591)

Banc One Investment Advisors Corporation and Mark A. Beeson (3-11530)

Barclays Capital Inc. (3-17978)

Bear, Stearns & Co., and Bear, Stearns Securities Corp. (3-12238)

Beacon Investment Management LLC (3-19033)

Bethany Liou (3-19597)

BISYS Fund Services (3-12432)

Blyth & Associates, Inc. (3-19044)

BNY Mellon Securities LLC and Mark Shaw (3-14191, 3-14192)

BOKF, NA, and Lawson Financial Corporation and Robert Lawson (3-17533; 3-17901)

Bridgeway Capital Management, Inc. and John Noland Ryan Montgomery (3-11659)

Burrill Capital Management, LLC; G. Steven Burrill, CPA; Victor A. Hebert, Esq.; and Helena C. Sen, CPA (3-17186)

Cadaret and Grant & Co., Inc. (3-18087)

Cadaret, Grant & Co., Inc., Arthur Grant, Beda Lee Johnson, and Eugene Long (3-18738)

Canadian Imperial Holdings Inc. and CIBC World Markets Corp. (3-11987)

Cantella & Co. Inc. (3-19034)

Charles L. Rizzo and Gina Hornbogen (3-14641)

Charles W. Crouse and Norman R. Hess (3-11515)

Citigroup Alternative Investments LLC and Citigroup Global Markets Inc. (3-16757)

Coastal Investment Advisors, Inc. (3-19085)

Commonwealth Equity Services, LLC (3-19035)

Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Network; Detwiler, Mitchell, Fenton & Graves, Inc.; James X. McCarty (3-12749, 3-12750, 3-12751)

Comprehensive Capital Management, Inc. (3-15393)

Credit Suisse Securities (USA) LLC, DLJ Mortgage Capital, Inc., Credit Suisse First Boston Mortgage Acceptance Corp., Credit Suisse First Boston Mortgage Securities Corp., and Asset Backed Securities Corporation (3-15098)

Credit Suisse Securities (USA) LLC; Sanford Michael Katz (3-17899 and 3-17900)

CUSO Financial Services, L.P. (3-19079)

D.A. Davidson & Co . (3-19094)

David Henry Disraeli and Lifeplan Associates, Inc. (3-12288)

Dennis Gibb and Sweetwater Investments, Inc. (3-19123)

Deutsche Bank Securities Inc . (3-19100)

Dominick & Dominick LLC and Robert X. Reilly (3-15987)

ECP Manager LP (3-19535)

Edward D. Jones & Co., L.P. (3-16751)

Edward D. Jones & Co., L.P. (3-11780)

Equinox Fund Management, LLC (3-17057)

Equity Services, Inc. (3-19557)

Evergreen Investment Management Company, LLC and Evergreen Investment (3-13507)

Evergreen Investment Management Company, LLC, Evergreen Investment Services, Inc., Evergreen Service Company, LLC, and Wachovia Securities, LLC (3-12805)

Federated Investment Management Company, Federated Securities Corp. and Federated Shareholder Services Company (3-12111)

Fenway Partners, LLC, et al. (3-16938)

Fidelity National Capital Investors, Inc. (3-11514)

First Heartland Consultants, Inc. (3-20448)

Folger Nolan Fleming Douglas Capital Management, Inc. (3-19558)

Folger Nolan Fleming Douglas Capital Management, Inc., Neil C. Folger and David M. Brown (3-12737)

Fortius Financial Advisors, LLC (3-17385)

Founding Partners Capital Management Company and William Gunlicks (3-12896)

Franklin Advisers, Inc. (3-11572)

Franklin Advisers, Inc. and Franklin/Templeton Distributors, Inc. (3-11769)

Freedom Financial, Inc., Freedom Track, Inc., Freedom Financial Group, Inc., Associated Investment Management, Inc., Jon Patrick Pierce, Gary L. Winn (3-11246)

Fremont Investment Advisors, Inc. (3-11726)

Gabelli Funds LLC (3-13019)

Gary L. Pilgrim (3-11739)

General American Life Insurance Company and William C. Thater (3-12720)

Geneos Wealth Management, Inc. (3-18425)

Gerald T. Malone (3-11914)

Gerson Asset Management, Inc. and Seth Gerson (3-12121)

GLG Partners, Inc. and GLG Partners, L.P. (3-15641)

Goelzer Investment Management, Inc. and Gregory W. Goelzer (3-15400)

Grant Thornton, LLP; Doeren Mayhew & Co., P.C.; Peter M. Behrens, CPA; Marvin J. Morris, CPA and Benedict P. Rybicki, CPA (3-11377)

Gray Financial Group, Inc., Laurence O. Gray, and Robert C. Hubbard, IV (3-16554)

G-Trade Services LLC, ConvergEx Global Markets Limited, and ConvergEx Execution Solutions LLC (3-15654)

Hancock Whitney Investment Services, Inc. (3-20074)

Harbour Investments, Inc. (3-18760)

Harold J. Baxter (3-11740)

Heartland Advisors, Inc., William J. Nasgovitz, Paul T. Beste, Thomas J. Conlin, Greg D. Winston, Kevin D. Clark, Kenneth J. Della, and Hugh F. Denison (3-12936)

Hennessee Group LLC and Charles J. Gradante (3-13454)

Huntington Bancshares, Inc., Thomas E. Hoaglin, Michael J. McMennamin, and John Van Fleet, CPA (3-11940)

Huron Consulting Group Inc., Gary L. Burge, CPA, and Wayne F. Lipski, CPA (3-14958)

Infinex Investments Inc. (3-19036)

International Equity Advisors, LLC and Richard Roger Lund (3-12068)

Invesco Funds Group, Inc., AIM Advisors, Inc., and AIM Distributors, Inc. (3-11701)

Investmark Advisory Group LLC (3-19038)

Inviva, Inc. and Jefferson National Life Insurance Company (3-11579)

IPG Investment Advisors, LLC (3-19551)

Janus Capital Management LLC (3-11590)

Jefferies & Co., Inc. and Scott Jones (3-12495)

Jeremy A. Licht d/b/a JL Capital Management (3-18171)

J.J.B. Hillard and W.I. Lyons, LLC (3-19049)

J. Michael Scarborough and Royal Alliance Associates, Inc. (3-11538)

John D. Carifa (3-11915)

John W. Adams and AIP, LLC (3-11676)

Joseph Stilwell and Stilwell Value LLC (3-16444)

JPMorgan Chase & Co. (3-15507)

J.P. Morgan Securities Inc. (3-13673)

Kenneth C. Meissner, James Doug Scott and Mark S. "Mike" Tomich (3-16175)

Kestra Advisory Services, LLC (3-19088)

Kestra Private Wealth Services, LLC (3-19089)

Knight Securities L.P (3-11771)

Logitech International, S.A., Michael Doktorczyk, and Sherralyn Bolles, CPA (3-17212)

Lovelock & Lewes, Price Waterhouse, Bangalore, Price Waterhouse & Co., Bangalore, Price Waterhouse, Calcutta, and Price Waterhouse & Co., Calcutta (3-14321)

L.T. Lawrence & Co., Inc., Todd E. Roberti, and Lawrence Principato (3-9923)

Mary Beth Stevens (3-13553)

Massachusetts Financial Services Co. (3-11450)

Massachusetts Financial Services Co., John W. Ballen, and Kevin R. Parke (3-11393)

Maxwell Technologies, Inc., Van M. Andrews, David J. Schramm, and James W. Dewitt, Jr., CPA (3-18408)

Metis Wealth Advisors, LLC and Juan R. Montermoso (3-16955)

Michael D. Legoski (3-11620)

Michael J. Laughlin (3-11916)

Millennium Partners, L.P., Millennium Management, L.L.C., Millennium International Management, L.L.C., Israel Englander, Terence Feeney, Fred Stone, and Kovan Pillai; and Steven B. Markovitz (3-12116 and 3-11292)

Monomoy Capital Management, L.P. (3-19764)

Moore Stephens Wurth Frazer & Torbet LLP and K. Dean Yamagata, CPA (3-14167)

Morgan Asset Management, Inc.; Morgan Keegan & Company, Inc.; James C. Kelsoe, Jr.; and Joseph Thompson Weller, CPA (3-13847)

Morgan Stanley & Co. Incorporated (3-12631)

Morgan Stanley & Co. Incorporated (3-12907)

Morgan Stanley, Co. LLC; Morgan Stanley ABS Capital I Inc.; and Morgan Stanley Mortgage Capital Holdings LLC (3-15982)

Morgan Stanley DW, Inc. (3-11335)

Nancy C. Tengler (3-11727)

New York Life Investment Management LLC (3-13487)

Orthofix International N.V.; Jeffrey Hammel, CPA; Brian McCollum; Kenneth Mack and Bryan McMillan (3-17791, 3-17792, 3-17793, 3-17794)

Oxbow Advisors, LLC (3-19817)

PA Fund Management LLC f/k/a PIMCO Advisors Fund Management LLC, PEA Capital LLC f/k/a PIMCO Equity Advisors LLC, and PA Distributors LLC f/k/a PIMCO Advisors Distributors LLC (3-11645)

Packetport.com, Inc., Ronald Durando, Microphase Corp., Robert H. Jaffe, Gustave Dotoli, M. Christopher Agarwal, and Theodore Kunzog (3-12868)

Paul George Chironis (3-13869)

Paul W. Oliver, Jr. (3-13554)

Pilgrim Baxter & Associates, Ltd. (3-11524)

PPS Advisors, Inc and Lawrence Nicholas Passaretti (3-18947)

Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Rose M. Rudden, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells (3-13532)

Private Portfolio, Inc. (3-19081)

Prudential Equity Group, LLC f/k/a Prudential Securities Inc. (3-12400)

Putnam Investment Management LLC (3-11317)

Putnam Investment Management LLC (3-11868)

Raymond James Financial Services Advisors, Inc (3-19029)

Raymond James Financial Services, Inc. and J. Stephen Putnam (3-11692)

Ravi Iyer (3-20166)

RBC Capital Markets, LLC (formerly known as RBC Capital Markets Corp.) (3-14564)

Resolute Capital Partners Ltd, LLC, et al. (3-20597)

Ritchie Capital Management L.L.C., Ritchie Multi-Strategy Global Trading, Ltd., A.R. Thane Ritchie, and Warren Louis DeMaio (3-12947)

Robertson Stephens (3-11003)

Ronald E. Huxtable II (3-15748)

Ronald St. Clair, CPA, and Lawrence Swan, CA (3-14615)

Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr. (3-17315)

RS Investment Management, Inc., RS Investment Management, L.P., G. Randall Hecht and Steven M. Cohen (3-11696)

Sandra Dyche (3-16398)

Santander Securities LLC (3-19043)

Sarkauskas and Associates, Inc. and James M. Sarkauskas (3-15471)

Saxony Capital Management, LLC , (3-19552)

SCF Investment Advisors, Inc. (3-19912)

Securities America Advisors (3-18424)

Select Money Management, Inc. (3-19098)

Smith Barney Fund Management LLC and Citigroup Global Markets, Inc. (3-11935)

Southwest Securities, Inc., Daniel R. Leland, Kerry M. Rigdon and Kevin J. Marsh (3-11793)

Specialist: Bear Wagner Specialists LLC, Fleet Specialist, Inc., LaBranche & Co. LLC, Spear, Leeds & Kellogg Specialists LLC, Van der Moolen Specialists USA, LLC, Performance Specialist Group LLC, SIG Specialists, Inc. (3-11445, 3-11446, 3-11447, 3-11448, 3-11449, 3-11558, 3-11559)

SSN Advisory, Inc. (3-19031)

Stephen R. Moynahan (3-13263)

Strong Capital Management, Inc. (3-12448)

Syndicated Capital, Inc., (3-19084)

Taberna Capital Management, LLC, Michael Fralin, and Raphael Licht (3-16776)

Thomas A. Kolbe (3-11618)

Thoroughbred Financial Services, LLC (3-18952)

TIAA-CREF Individual & Institutional Services, LLC (3-21856)

Timothy J. Miller (3-11619)

Tilden Loucks & Woodnorth, LLC, LaSalle St. Securities, LLC, and Ralph B. Loucks. (3-15081)

Titan Global Capital Management USA LLC (3-21569)

Trustcore Financial Services, LLC , 3-19093

UBS Fin Servs (3-20401)

UBS Financial Services Inc. (3-20912)

UBS Financial Services Inc. of Puerto Rico (3-14863)

UBS Financial Services Inc. of Puerto Rico and Ramiro L. Colon, III (3-16846, 3-16847)

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

Value Line, Inc., Value Line Securities, Inc., Jean Bernhard Buttner, and David Henigson (3-13675)

VCAP Securities, LLC, and Brett Thomas Graham (3-16389)

Veras Capital Master Fund, VEY Partners Master Fund, Veras Investment Partners, LLC, Kevin D. Larson, and James R. McBride (3-12133)

Voya Investments, LLC and Directed Services, LLC (3-18393)

Waddell & Reed, Inc., Waddell & Reed Investment Management Company, and Waddell & Reed Services Company (3-12372)

Wedbush Securities, Inc. (3-19553)

Weiss Research, Inc., Martin Weiss, and Lawrence Edelson (3-12341)

Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC and Shawn Patrick McMurtry (3-14982)

Wells Fargo Clearing Services LLC and Wells Fargo Advisors Financial Network, LLC (3-19102)

Wells Fargo Securities LLC (f/k/a Wachovia Capital Markets LLC) (3-14320)

West Coast Asset Management, Inc. and Lance W. Helfert (3-15660)

William B. Fretz, Jr., John P. Freeman, Covenant Capital Management Partners, L.P., and Covenant Partners, L.P. (3-16829)

Winslow, Evans & Crocker, Inc. (3-20223)

Yale I. Asbell (3-16163)

Zurich Capital Markets Inc. (3-12628)

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

File Nos. 3-18681

RELEASE DATE NOTICE, ORDER, OR PLAN

34-100270 June 4, 2024 Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future and Terminating the Fair Fund

33-10539, 34-83947, IA-4996, IC-33215 Aug. 27, 2018 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Section 15(b) 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

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

File Nos. 3-15134 and 3-15135

RELEASE DATE NOTICE, ORDER, OR PLAN

34-87890 Jan. 6, 2020 Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging Fund Administrator, and Terminating the Fair Fund

34-83996 Aug. 30, 2018 Order Directing Disbursement of Fair Fund

34-82400 Dec. 22, 2017 Order Directing Disbursement of Fair Fund

34-82183 Nov. 30, 2017 Order Approving Plan of Distribution

Plan of Distribution

34-81910 Oct. 19, 2017 Notice of Proposed Plan of Distribution and Opportunity for Comment

Proposed Plan of Distribution

34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator

34-80742 May 22, 2017 Order Consolidating Fair Funds

34-71937 Apr. 11, 2014 Extension Order

34-71170 Dec. 20, 2013 Extension Order

34-70043 Jul. 26, 2013 Extension Order

34-68988 Feb. 26, 2013 Order Appointing Tax Administrator

34-68931 Feb. 14, 2013 Extension Order

33-9374
IA-3514 Dec. 17, 2012 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order (Aladdin Capital Management LLC and Aladdin Capital LLC)

33-9375
IA-3515 Dec. 17, 2012 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order (Joseph A. Schlim)

Alexander Rekeda; Xavier Capdepon and Gwen Snorteland; and Delaware Asset Advisers and Wei (Alex) Wei

File Nos. 3-14952, 3-14953, 3-14954

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

RELEASE DATE NOTICE, ORDER, OR PLAN

34-69600 May 16, 2013 Extension Order

34-68167 Nov. 6, 2012 Extension Order

33-9339
IA-3434 Jul. 18, 2012 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders (Delaware Asset Advisers And Wei (Alex) Wei, File No. 3-14952)

33-9340
34-67455
IC-30140 Jul. 18, 2012 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order (Alexander Rekeda, File No. 3-14953)

33-9341
34-67456
IC-30141 Jul. 18, 2012 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order (Xavier Capdepon and Gwen Snorteland, File No. 3-14954)

Alliance Capital Management, L.P.

File No. 3-11359

RELEASE DATE NOTICE, ORDER, OR PLAN

34-80528 Apr. 25, 2017 Order Directing Transfer of Remaining Funds and Any Future Funds Received by the Fair Fund to the U.S. Treasury, Discharging the Fund Administrator, and Terminating the Fair Fund

34-78033 Jun. 10, 2016 Order Directing Disbursement of Fair Fund

34-71591 Feb. 20, 2014 Order Directing Disbursement of Fair Fund

34-71274 Jan. 9, 2014 Order Amending the Plan of Distribution

34-64568 May 31, 2011 Order Directing Disbursement of Fair Fund

34-60446 Aug. 5, 2009 Order Directing Disbursement of Fair Fund

34-59926 May 14, 2009 Order Directing Disbursement of Fair Fund

34-59832 Apr. 28, 2009 Order Directing Disbursement of Fair Fund

34-59657 Mar. 31, 2009 Order Directing Disbursement of Fair Fund

34-59389 Feb. 11, 2009 Order Directing Disbursement of Fair Fund

34-59280 Jan. 22, 2009 Order Directing Disbursement of Fair Fund

34-57825 May 15, 2008 Order Approving Distribution Plan, Appointing a Fund Administrator, and Waiving Bond

Final Plan of Distribution

34-57489 Mar. 13, 2008 Notice of Proposed Distribution Plan and Opportunity for Comment

Proposed Plan of Distribution

34-51341 Mar. 9, 2005 Order Directing Appointment of Tax Administrator

IA-2205A
IC-26312A Jan. 15, 2004 Amended Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also, SEC Announces Start of $321 Million Fair Fund Distribution to Investors Harmed by Alliance Capital Market Timing (Press Release No. 2009-21, February 6, 2009)

Alphabridge Capital Management, LLC, Thomas T. Kutzen and Michael J. Carino

File No. 3-16670

RELEASE DATE NOTICE, ORDER, OR PLAN

34-80582 May 3, 2017 Order Authorizing the Transfer of Remaining Funds and Any Future Funds Returned to the Fair Fund to the United States Treasury and Terminating the Fair Fund

American Portfolio Advisors, Inc.

File No. 3-18946

Release Date Notice, Order, or Plan

34-105341 Apr. 30, 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-5083 Dec. 20, 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

American Skandia Investment Services, Inc.

File No. 3-13446

RELEASE DATE NOTICE, ORDER, OR PLAN

34-73896 Dec. 19, 2014 Order Authorizing the Transfer of Residual Funds and Any Future Funds Received By the Fair Fund to the U.S. Treasury, Discharging the Fund Administrator, and Terminating the Fair Fund

34-67149 Jun. 6, 2012 Order Directing Disbursement of Fair Fund

34-66425 Feb. 17, 2012 Order Directing Disbursement of Fair Fund

34-64651 Jun. 13, 2011 Order Directing Disbursement of Fair Fund

34-63765 Jan. 25, 2011 Order Directing Disbursement of Fair Fund

34-62733 Aug. 16, 2010 Order Approving Plan of Distribution, Appointing Fund Administrator, and Waiving Bond

Final Distribution Plan

34-62106 May 13, 2010 Notice of Proposed Distribution Plan and Opportunity for Comment

Proposed Plan of Distribution

34-59984 May 27, 2009 Order Appointing Tax Administrator

33-9029 Apr. 17, 2009 Order Granting a Waiver

33-9028
34-59780 Apr. 17, 2009 Order Granting Waivers

IA-2867 Apr. 17, 2009 Order Instituting Administrative and Cease-and-Desist, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Ameriprise Financial Services, Inc.

File No. 3-13544

Note: Funds transferred to U.S. Treasury.

RELEASE DATE NOTICE, ORDER, OR PLAN

34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator

33-9051
34-60279 Jul. 10, 2009 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order

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

File No. 3-12115

RELEASE DATE NOTICE, ORDER, OR PLAN

34-81904 Oct. 19, 2017 Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund

34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator

34-58388 Aug. 19, 2008 Order Directing Disbursement of Fair Fund

34-57639 Apr. 9, 2008 Order Approving Distribution Plan, Appointing an Administrator, and Waiving Bond

34-57341 Feb. 15, 2008 Notice of Proposed Distribution Plan and Opportunity for Comment
Comments due: March 17, 2008

Proposed Plan of Distribution

33-8638
34-52862 Dec. 1, 2005 Order Directing Appointment of Tax Administrator

33-8637
34-52861 Dec. 1, 2005 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also:

SEC Announces $32 Million Fair Fund Distribution in Ameriprise Revenue Sharing Settlement (Press Release No. 2008-229, September 25, 2008)

American Express Financial Advisors (Now Known as Ameriprise Financial Services, Inc.) to Pay $30 Million to Settle Revenue Sharing Charges (Press Release No. 2005-168, December 1, 2005)

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

File No. 3-13230

RELEASE DATE NOTICE, ORDER, OR PLAN

IA-2784a
IC-28387A Sep. 23, 2008 Corrected Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(E) and 203(K) of the Investment Advisers Act of 1940, and Sections 9(B) and 9(F) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also, AmSouth to Pay $11 Million for Improper, Undisclosed Use of Funds to Pay Marketing, Other Expenses (Press Release No. 2008-222, September 23, 2008)

Anthony Coronati and Bidtoask LLC

File No. 3-16203

Release Date Notice, Order, or Plan

34-103847 Sept. 3, 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 and Terminating the Fair Fund

34-83179 May 7, 2018 Order Directing Disbursement of Fair Fund

34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator

34-80469 Apr. 17, 2017 Order Approving Plan of Distribution

Plan of Distribution

34-80087 Feb. 22, 2017 Notice of Proposed Plan of Distribution and Opportunity for Comment

Proposed Plan of Distribution

34-73475 Oct. 30, 2014 Order Appointing Tax Administrator

33-9666
34-73381
IA-3954
IC-31293 Oct. 17, 2014 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Apex Fund Services (US), Inc.

File No. 3-17300

RELEASE DATE NOTICE, ORDER, OR PLAN

34-89200 Jun. 30, 2020 Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund

34-85528 Apr. 5, 2019 Order Directing Disbursement of Fair Fund

34-84609 Nov. 16, 2018 Order Approving Amended Plan of Distribution

Amended Distribution Plan

34-84415 Oct. 12, 2018 Notice of Amended Plan of Distribution and Opportunity to Comment

Amended Proposed Plan of Distribution

34-83496 Jun. 22, 2018 Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution

34-83131 Apr. 30, 2018 Notice of Proposed Plan of Distribution and Opportunity to Comment
Comments received are available for this proposed plan.

Proposed Plan of Distribution

34-82186 Nov. 30, 2017 Order Appointing Tax Administrator

IA-4429 Jun. 16, 2016 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order

Ark Asset Management Co., Inc.

File No. 3-13714

RELEASE DATE NOTICE, ORDER, OR PLAN

34-75265 Jun. 23, 2015 Order Authorizing The Transfer Of Remaining Funds And Any Future Funds Returned To The Disgorgement Fund To The U.S.Treasury, Discharging The Plan Administrator, And Terminating The Disgorgement Fund

34-70171 Aug. 13, 2013 Amended Order Directing Disbursement of Disgorgement Fund

34-67524 Jul. 27, 2012 Order Directing Disbursement of Disgorgement Fund

34-63993 Mar. 1, 2011 Order Approving Distribution Plan and Appointing a Plan Administrator

Final Plan of Distribution

34-63666 Jan. 6, 2011 Notice of Proposed Distribution Plan and Opportunity for Comment

Proposed Plan of Distribution

34-63118 Oct. 15, 2010 Order Appointing Tax Administrator

IA-3091 Sep. 29, 2010 Order Making Findings and Imposing Sanctions

IA-2962 Dec. 14, 2009 Order Instituting Cease and Desist Proceedings and Notice of Hearing

Armando Ruiz and Maradon Holdings, LLC

File No. 3-14388

RELEASE DATE NOTICE, ORDER, OR PLAN

34-71462 Jan. 31, 2014 Order Appointing Tax Administrator

33-9301
34-66573
IC-29978 Mar. 12, 2012 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order

33-9209
34-64501
IC-29672 May 16, 2011 Order Instituting Administrative and Cease-and-Desist Proceedings

Aventura Capital Management, LLC

File No. 3-21026

RELEASE DATE NOTICE, ORDER, OR PLAN

34-102767 Apr. 3, 2025 Order Authorizing the Transfer to the U.S. Department of the Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future and Terminating the Fair Fund

IA-6103 Sep. 6, 2022 Corrected 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

AXA Advisors LLC

File No. 3-19078

RELEASE DATE NOTICE, ORDER, OR PLAN

34-106084 Aug. 12, 2026 Order Authorizing the Transfer of Any Remaining Funds in the Distribution Fund and Any Funds Returned in the Future to the U.S. Treasury and Terminating the Distribution Fund

IA-5175 March 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

Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC

File No. 3-11818

RELEASE DATE NOTICE, ORDER, OR PLAN

34-84232 Sep. 20, 2018 Order Directing Transfer of Remaining Funds and Any Future Funds Received by the Fair Fund to the U.S. Treasury, Discharging the Fund Administrator, and Terminating the Fair Fund

34-82133 Nov. 20, 2017 Order Directing Disbursement of Fair Fund

34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator

34-70082 Jul. 31, 2013 Order Directing Disbursement of Fair Fund

34-68208 Nov. 9, 2012 Order Directing Disbursement of Fair Fund

34-67415 Jul. 11, 2012 Order Directing Disbursement of Fair Fund

34-65746 Nov. 14, 2011 Order Directing Disbursement of Fair Fund

33-9254
34-65223
IA-3268
IC-29775 Aug. 30, 2011 Order Modifying Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(e) and 203(k) of the Investment Advisers Act of 1940 and Sections 9(b) and 9(f) of the Investment Company Act of 1940

34-64606 Jun. 6, 2011 Order Directing Disbursement of Fair Fund

34-63360 Nov. 23, 2010 Order Directing Disbursement of Fair Fund

34-62212 Jun. 3, 2010 Order Directing Disbursement of Fair Fund

34-61088 Dec. 1, 2009 Order Directing Disbursement of Fair Fund

34-60080 Jun. 9, 2009 Order Directing Disbursement of Fair Fund

34-59520 Mar. 5, 2009 Order Directing Disbursement of Fair Fund

34-58896 Nov. 3, 2008 Order Directing Disbursement of Fair Fund

34-58322 Aug. 6, 2008 Order Directing Disbursement of Fair Fund

34-57926 Jun. 5, 2008 Order Directing Disbursement of Fair Fund

34-57048 Dec. 27, 2007 Order Approving the Distribution Plan

34-56783 Nov. 13, 2007 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 12/4/07)

34-56385 Sep. 11, 2007 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan

34-56077 Jul. 16, 2007 Notice of Proposed Distribution Plan and Opportunity for Comment
Comments received are available for this notice.

Proposed Plan of Distribution

34-51341 Mar. 9, 2005 Order Directing Appointment of Tax Administrator

33-8539 Feb. 9, 2005 Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions Of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934

33-8538
34-51167
IA-2355
IC-26756 Feb. 9, 2005 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order

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

Banc of America Securities, LLC

File No. 3-12591

RELEASE DATE NOTICE, ORDER, OR PLAN

34-68023 Oct. 9, 2012 Order Amending Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Banc of America Securities LLC with Merrill Lynch, Pierce, Fenner & Smith Incorporated as Successor)

34-63571 Dec. 17, 2010 Order Terminating the Fair Fund, Discharging the Distribution Fund Admininstrator and Cancelling the Administrator’s Bond

34-57893 May 30, 2008 Order Directing Disbursement of a Fair Fund

34-56472 Sep. 20, 2007 Order Approving Distribution Plan of a Fair Fund

34-56451 Sep. 18, 2007 Order Approving the Administrator’s Bond

34-56234 Aug. 9, 2007 Notice of Proposed Distribution Plan and Opportunity for Comment

Proposed Plan of Distribution

34-55506 Mar. 22, 2007 Order Appointing Tax Administrator

34-55467 Mar. 14, 2007 Order Appointing Distribution Fund Administrator and Directing Submission of Proposed Distribution Plan

34-55466 Mar. 14, 2007 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

33-8788
34-55468 Mar. 14, 2007 Order Granting Waivers

33-8787 Mar. 14, 2007 Order Granting Waiver

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

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

Banc One Investment Advisors Corporation and Mark A. Beeson

File No. 3-11530

RELEASE DATE NOTICE, ORDER, OR PLAN

34-61252 Dec. 29, 2009 Order Discharging Plan Administrator and Terminating Fair Fund

34-56038 Jul. 10, 2007 Order Directing Disbursement of Fair Fund

34-55730 May 9, 2007 Order Approving a Modified Distribution Plan

Modified Plan of Distribution

34-55010 Dec. 26, 2006 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan

34-54582 Oct. 6, 2006 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan

34-54280 Aug. 7, 2006 Notice of Proposed Distribution Plan and Opportunity For Comment
Comments received are available for this notice.

Proposed Plan of Distribution Plan

34-53468 Mar. 10, 2006 Order Appointing Tax Administrator

IA-2254
IC-26490 Jun. 29, 2006 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also, SEC Announces $55 Million Fair Fund Distribution to Investors Injured in Banc One Investment Advisors Market Timing Fraud (Press Release No. 2005-165, August 13, 2007)

Barclays Capital Inc.

File No. 3-17978

RELEASE DATE NOTICE, ORDER, OR PLAN

34-90453 Nov. 18, 2020 Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future and Terminating the Fair Fund

33-10355
34-80639
IA-4705 May 10, 2017 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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

File No. 3-12238

RELEASE DATE NOTICE, ORDER, OR PLAN

34-80543 Apr. 27, 2017 Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund

34-60310 Jul. 15, 2009 Order Directing Disbursement of Fair Fund

34-60049 Jun. 5, 2009 Order Directing Disbursement of Fair Fund

34-59828 Apr. 28, 2009 Order Directing Disbursement of Fair Fund

34-59356 Feb. 4, 2009 Order Approving Distribution Plan, Appointing a Fund Administrator, and Waiving Bond

Modified Plan of Distribution

Distribution Plan

34-59065 Dec. 8, 2008 Notice of Proposed Distribution Plan and Opportunity for Comment

Proposed Plan of Distribution

34-53625 Apr. 10, 2006 Order Appointing Tax Administrator

33-8671 Mar. 16, 2006 Order Granting Waivers

33-8670 Mar. 16, 2006 Order Granting a Waiver

33-8668
34-53490
IC-27262 Mar. 16, 2006 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also the following Press Releases:

SEC Announces First Distribution From $267 Million Bear Stearns Fair Fund (Press Release No. 2009-112, May 15, 2009)

SEC Settles Fraud Charges with Bear Stearns for Late Trading and Market Timing Violations (Press Release No. 2006-38, March 16, 2006)

Beacon Investment Management LLC

File No. 3-19033

Release Date Notice, Order, or Plan

34-106101 Aug. 12, 2026 Order Authorizing the Transfer of Any Remaining Funds in the Distribution Fund and Any Funds Returned in the Future to the U.S. Treasury and Terminating the Distribution Fund

IA-5130 Mar. 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

Bethany Liou

File No. 3-19597

Release Date Notice, Order, or Plan

34-94627 Apr. 7, 2022 Order Authorizing the Disposition of Funds Remaining in the Distribution Fund and Any Funds Returned to the Distribution Fund in the Future, Discharging the Fund Administrator, Cancelling the Administrator's Bond, and Terminating the Distribution Fund

34-91815 May 10, 2020 Order Directing Disbursement of Distribution Fund

34-90625 Dec. 10, 2020 Order Approving Plan of Distribution

Distribution Plan (Corrected)

34-90285 Oct. 29, 2020 Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution

34-89755 Sep. 2, 2020 Notice of Proposed Plan of Distribution and Opportunity for Comment

Proposed Distribution Plan
Comments received are available for this plan.

34-88442 Mar. 20, 2020 Order Appointing Fund Administrator and Setting Administrator Bond Amount

34-87644 Dec. 2, 2019 Order Appointing Tax Administrator

33-10725 Nov. 4, 2019 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

BISYS Fund Services

File No. 3-12432

RELEASE DATE NOTICE, ORDER, OR PLAN

34-71301 Jan. 14, 2014 Order Authorizing the Transfer of Residual Funds and Any Future Funds Received by the Fair Fund to the U.S. Treasury, Discharging the Fund Administrator, and Terminating the Fair Fund

34-62498 Jul. 14, 2010 Order Directing Disbursement of Fair Fund

34-60719 Sep. 25, 2009 Order Approving Distribution Plan, Appointing a Fund Administrator, and Waiving Bond

34-60435 Aug. 5, 2009 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan

Proposed Distribution Plan

34-60011 May 29, 2009 Notice of Proposed Distribution Plan and Opportunity for Comment

34-54635 Oct. 20, 2006 Order Appointing Tax Administrator

IA-2554
IC-27500 Sep. 26, 2006 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

33-8742
34-54513 Sep. 26, 2006 Order Granting Waivers

Blyth & Associates, Inc.

File No. 3-19044

Release Date Notice, Order, or Plan

34-106085 Aug. 12, 2026 Order Authorizing the Transfer of Any Remaining Funds in the Distribution Fund and Any Funds Returned in the Future to the U.S. Treasury and Terminating the Distribution Fund

IA-5141 Mar. 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

BNY Mellon Securities LLC and Mark Shaw

File Nos. 3-14191 and 3-14192

Release Date Notice, Order, or Plan

34-97172 Mar. 20, 2023 Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Idc and Fund Administrator, Canceling the Administrator's Bond, and Terminating the Fair Fund

34-84058 Sep. 7, 2018 Order Directing Second Disbursement of Fair Fund

34-81064 Jun. 30, 2017 Notice of Name Change of Appointed Tax Administrator

34-72962 Sep. 3, 2014 Order Directing Disbursement of Fair Fund

34-71638 Feb. 28, 2014 Order Approving Modified Plan of Distribution, Appointing Fund Administrator, and Setting Fund Administrator Bond Amount

Modified Plan of Distribution

34-68796 Jan. 31, 2013 Notice of Proposed Plan of Distribution and Opportunity For Comment

Proposed Plan of Distribution

33-9215 Mar. 30, 2012 Extension Order

33-9215 Jun. 2, 2011 Order Granting Extension of Time to Submit Proposed Plan of Distribution

34-63938 Feb. 22, 2011 Order Appointing Tax Administrator

34-63937 Feb. 22, 2011 Order Appointing Tax Administrator

34-63724 Jan. 14, 2011 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions

33-9174
34-63725 Jan. 14, 2011 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

BOKF, NA, and Lawson Financial Corporation and Robert Lawson

File Nos. 3-17533, 3-17901

Note: Funds were transferred to the Court Monitor.

RELEASE DATE NOTICE, ORDER, OR PLAN

34-81905 Oct. 17, 2017 Order Establishing Fair Funds and Transferring Fair Funds to a Court-Appointed Monitor

33-10334
34-80376
IC-32591 Apr. 5, 2017 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Lawson Financial Corporation and Robert Lawson)

33-10204
34-78794 Sep. 9, 2016 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order (BOKF, NA)

Bridgeway Capital Management, Inc. and John Noland Ryan Montgomery

File No. 3-11659

RELEASE DATE NOTICE, ORDER, OR PLAN

34-62065 May 10, 2010 Order Discharging Plan Administrator and Terminating Disgorgement Fund

IA-2473 Jan. 11, 2006 Order Amending Plan of Disgorgement Distribution

IA-2367 Mar. 16, 2005 Order Approving Plan of Disgorgement Distribution and Appointing Administrator

IA-2358 Feb. 10, 2005 Notice of Proposed Distribution Plan and Opportunity for Comment

IA-2294 Sep. 15, 2004 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Burrill Capital Management, LLC; G. Steven Burrill, CPA; Victor A. Hebert, Esq.; and Helena C. Sen, CPA

File No. 3-17186

Note: Funds were disbursed via Order Instituting Proceeding .

RELEASE DATE NOTICE, ORDER, OR PLAN

34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator

34-77713 Apr. 26, 2016 Order Appointing Tax Administrator

34-77473 Mar. 30, 2016 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Pursuant To Sections 4C And 21C of the Securities Exchange Act Of 1934, Sections 203(E), 203(F) And 203(K) of the Investment Advisers Act of 1940, Section 9(B) of the Investment Company Act of 1940, and Rule 102(E)(1)(III) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Cadaret and Grant & Co., Inc.

File No. 3-18087

RELEASE DATE NOTICE, ORDER, OR PLAN

34-85858 May 14, 2019 Order Authorizing the Transfer of Remaining Funds, and Any Funds Returned to the Fair Fund in the Future, to the U.S. Treasury and Terminating the Fair Fund

34-81274 Aug. 1, 2017 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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

File No. 3-18738

RELEASE DATE NOTICE, ORDER, OR PLAN

34-87816 Dec. 20, 2019 Order Authorizing the Transfer of Remaining Funds and Any Future Funds Returned to the Fair Fund to the U.S. Treasury and Terminating the Fair Fund

33-10542
34-84074
IA-5003 Sep. 11, 2018 Order Instituting Administrative and Cease-and-Desist Proceedings Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order

Canadian Imperial Holdings Inc. and CIBC World Markets Corp.

File No. 3-11987

Release Date Notice, Order, or Plan

34-99586 Feb. 22, 2024 Termination Order

34-85017 Jan. 31, 2019 Order Directing Disbursement of Fair Fund

34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator

34-65892 Dec. 5, 2011 Order Directing Disbursement of Fair Fund

34-65798 Nov. 21, 2011 Order Directing Disbursement of Fair Fund

34-65697 Nov. 7, 2011 Order Directing Disbursement of Fair Fund

34-61568 Feb. 23, 2010 Order Approving Plan, Appointing a Fund Administrator, and Waiving Bond

Corrected Plan of Distribution

34-61142 Dec. 10, 2009 Notice of Proposed Plan of Distribution and Opportunity for Comment Comments received are available for this proposal. -->

Proposed Distribution Plan

34-53768 May 8, 2006 Order Appointing Tax Administrator

33-8593
34-52064 Jul. 20, 2005 Order Granting Waivers

33-8592
34-52063
IA-2407
IC-26994 Jul. 20, 2005 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also , SEC Announces Agreement with Canadian Imperial Bank of Commerce and Two Executives to Settle Charges of Aiding and Abetting Enron Accounting Fraud (Press Release No. 2003-180, December 22, 2003)

Cantella & Co. Inc

File No. 3-19034

Release Date Notice, Order, or Plan

34-106102 Aug. 12, 2026 Order Authorizing the Transfer of Any Remaining Funds in the Distribution Fund and Any Funds Returned in the Future to the U.S. Treasury and Terminating the Distribution Fund

IA-5131 Mar. 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

Charles L. Rizzo and Gina Hornbogen

File No. 3-14641

Release Date Notice, Order, or Plan

34-103862 Sept. 4, 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, and Terminating the Fair Fund

34-65829 Nov. 28, 2011 Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Section 15(b)(6) of the Securities Exchange Act of 1934

Charles W. Crouse and Norman R. Hess

File No. 3-11515

Release Date Notice, Order, or Plan

34-103859 Sept. 4, 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, and Terminating the Fair Fund

34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator

34-65999 Dec. 16, 2011 Order Directing Disbursement of Fair Fund

34-57607 Apr. 2, 2008 Order Approving and Ratifying Prior Disbursement and Approving Future Disbursement of Fair Fund

34-53432 Mar. 7, 2006 Order Appointing Tax Administrator

34-52678 Oct. 26, 2005 Order Approving Plan of Fund Distribution, Appointing Administrator, and Consolidating Settlement Funds for Administration

34-52279 Aug. 17, 2005 Notice of Proposed Plan of Disgorgement and Fair Fund Distribution and Opportunity for Comment

33-8563
34-51480 Apr. 6, 2005 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order

34-51266 Feb. 25, 2005 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order

34-49829 Jun. 8, 2004 SEC Institutes Public Administrative Proceedings Against Charles W. Crouse and Norman R. Hess

Jun. 8, 2004 Order Instituting Administrative and Cease-and-Desist Proceedings

Citigroup Alternative Investments LLC and Citigroup Global Markets Inc.

File No. 3-16757

Release Date Notice, Order, or Plan

34-102733 Mar. 26, 2025 Order Authorizing the Transfer to the U.S. Department of the Treasury of the Remaining Funds and Any Funds Returned to the Distribution Fund in the Future, Discharging the Fund Administrator, Canceling the Administrator's Bond, and Terminating the Distribution Fund

34-87000 Sep. 18, 2019 Order Directing Disbursement of Distribution Fund

34-83123 Apr. 27, 2018 Order Approving Plan of Distribution

Distribution Plan

34-82680 Feb. 9, 2018 Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution

34-82047 Nov. 9, 2017 Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution

34-81570 Sep. 11, 2017 Notice of Proposed Plan of Distribution and Opportunity for Comment
Comments received are available for this proposed plan.

Proposed Plan of Distribution

34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator

34-77624 Apr. 14, 2016 Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount

34-76312 Oct. 29, 2015 Order Appointing Tax Administrator

33-9894 Aug. 17, 2015 Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From Being an Ineligible Issuer

33-9893
34-75710
IA-4174 Aug. 17, 2015 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Section 15(b)(4) 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

Coastal Investment Advisors, Inc.

File Nos. 3-19085

RELEASE DATE NOTICE, ORDER, OR PLAN

34-106087 Aug. 12, 2026 Order Authorizing the Transfer of Any Remaining Funds in the Distribution Fund and Any Funds Returned in the Future to the U.S. Treasury and Terminating the Distribution Fund

IA-5182 March 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

Commonwealth Equity Services, LLC

File No. 3-19035

RELEASE DATE NOTICE, ORDER, OR PLAN

34-106106 Aug. 12, 2026 Order Authorizing the Transfer of Any Remaining Funds in the Distribution Fund and Any Funds Returned in the Future to the U.S. Treasury and Terminating the Distribution Fund

IA-5132 Mar. 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

Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Network; Detwiler, Mitchell, Fenton & Graves, Inc.; James X. McCarty

File Nos. 3-12749, 3-12750, 3-12751

RELEASE DATE NOTICE, ORDER, OR PLAN

34-73656 Nov. 20, 2014 Order Authorizing the Transfer of Remaining Funds and Any Future Funds Returned to the Fair Fund to the U.S. Treasury, Discharging the Fund Administrator and Terminating the Fair Fund

34-62705 Aug. 12, 2010 Order Directing Disbursement of Fair Fund

34-57843 May 21, 2008 Order Directing Disbursement of Fair Fund

34-57310 Feb. 12, 2008 Order Approving Distribution Plan

Plan of Distribution

34-56981 Dec. 18, 2007 Notice of Proposed Distribution Plan and Opportunity for Comment

Proposed Plan of Distribution

34-56364 Sep. 6, 2007 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions

34-56363 Sep. 6, 2007 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions

34-56362 Sep. 6, 2007 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions

34-56549 Sep. 27, 2007 Order Appointing Tax Administrator

Comprehensive Capital Management, Inc.

File No. 3-15393

Note: Funds were transferred to the Court Receiver.

RELEASE DATE NOTICE, ORDER, OR PLAN

34-76720 Dec. 21, 2015 Order Directing Disbursement of Fair Fund

34-75264 Jun. 23, 2015 Order Approving Plan of Distribution

Plan of Distribution

34-74899 May 7, 2015 Notice of Proposed Plan of Distribution Transferring Fair Fund Funds to a Court-Appointed Receiver and Opportunity for Comment

Proposed Plan of Distribution

34-74606 Mar. 30, 2015 Extension Order

34-73792 Dec. 9, 2014 Extension Order

34-73127 Sep. 17, 2014 Extension Order

IA-3636 Jul. 29, 2013 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Credit Suisse Securities (USA) LLC, DLJ Mortgage Capital, Inc., Credit Suisse First Boston Mortgage Acceptance Corp., Credit Suisse First Boston Mortgage Securities Corp., and Asset Backed Securities Corporation

File No. 3-15098

Release Date Notice, Order, or Plan

34-96992 Feb. 27, 2023 Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the FPD Fair Fund in the Future, Discharging the Fund Administrator, Canceling the Administrator’s Bond, and Terminating the FPD Fair Fund

34-96991 Feb. 27, 2023 Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Bulk Settlement Fair Fund in the Future, Discharging the Fund Administrator, Canceling the Administrator’s Bond, and Terminating the Bulk Settlement Fair Fund

34-81703 Sep. 25, 2017 Order Directing Disbursement of the Bulk Settlement Practice Fair Fund

34-81702 Sep. 25, 2017 Order Directing Disbursement of the First Payment Default Practice Fair Fund

34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator

34-75878 Sep. 10, 2015 Order Establishing Fair Fund and Approving Plan of Distribution Bulk Settlement Practice

Plan of Distribution Bulk Settlement Practice

34-75877 Sep. 10, 2015 Order Establishing Fair Fund and Approving Plan of Distribution First Payment Default Practice

Plan of Distribution First Payment Default Practice

34-75118 Jun. 5, 2015 Extension Order

34-74806 Apr. 24, 2015 Extension Order

34-74397 Feb. 27, 2015 Extension Order

34-73890 Dec. 19, 2014 Extension Order

34-72851 Aug. 14, 2014 Notice of Proposed Plan of Distribution (First Payment Default Practice) and Opportunity for Comment
Comments received are available for this proposed plan.

Proposed Plan of Distribution First Payment Default Practice and Exhibit A ; Exhibit B

34-72850 Aug. 14, 2014 Notice of Proposed Plan of Distribution (Bulk Settlements Practice) and Opportunity for Comment
Comments received are available for this proposed plan.

Proposed Plan of Distribution Bulk Settlement Practice and Exhibit A ; Exhibit B

34-71300 Jan. 14, 2014 Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount

34-70695 Oct. 16, 2013 Extension Order

34-68593 Jan. 7, 2013 Extension Order

34-68349 Dec. 4, 2012 Order Appointing Tax Administrator

33-9368
34-68251 Nov. 16, 2012 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order

Credit Suisse Securities (USA) LLC and Sanford Michael Katz

File Nos. 3-17899 and 3-17900

Release Date Notice, Order, or Plan

34-99541 Feb. 14, 2024 Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, Canceling the Administrator's Bond, and Terminating the Fair Fund

34-87921 Jan. 9, 2020 Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses

34-85027 Feb. 1, 2019 Corrected Order Directing Disbursement of Fair Fund

34-83999 Aug. 30, 2018 Order Approving Plan of Distribution

Distribution Plan

34-83621 Jul. 12, 2018 Notice of Proposed Plan of Distribution and Opportunity for Comment Comments received are available for this proposed plan.

-->

Proposed Distribution Plan

34-82722 Feb. 15, 2018 Order Appointing Tax Administrator

34-82595 Jan. 29, 2018 Order Appointing Fund Administrator and Setting Administrator Bond Amount

34-82200 Dec. 1, 2017 Second Extension Order

34-80887 June 8, 2017 Extension Order

34-80886 June 8, 2017 Extension Order

34-80373 April 4, 2017 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Order

IA-4679 Apr. 4, 2017 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Order

CUSO Financial Services, L.P.

File No. 3-19079

Release Date Notice, Order, or Plan

34-106088 Aug. 12, 2026 Order Authorizing the Transfer of Any Remaining Funds in the Distribution Fund and Any Funds Returned in the Future to the U.S. Treasury and Terminating the Distribution Fund

IA-5176 Mar. 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

D.A. Davidson & Co.

File No. 3-19094

RELEASE DATE NOTICE, ORDER, OR PLAN

34-106094 Aug. 12, 2026 Order Authorizing the Transfer of Any Remaining Funds in the Distribution Fund and Any Funds Returned in the Future to the U.S. Treasury and Terminating the Distribution Fund

David Henry Disraeli and Lifeplan Associates, Inc.

File No. 3-12288

Note: No settlement obtained and no funds ordered.

RELEASE DATE NOTICE, ORDER, OR PLAN

Jun. 19, 2009 Court of Appeals Opinion

33-8880
34-57027
IA-2686 Dec. 21, 2007 Opinion of the Commission

33-8824
34-56045
IA-2618 Jul. 11, 2007 Order Denying Motion for Leave to Take Additional Evidence

34-56012 Jul. 5, 2007 Order Granting Partial Protective Order

633 Mar. 21, 2007 Order Denying Motion to Correct Manifest Errors of Fact

ID-328 Mar. 5, 2007 Initial Decision

33-8682
34-53765
IA-2513 May 5, 2006 In the Matter of David Henry Disraeli And Lifeplan Associates, Inc.

May 5, 2006 Order Instituting Administrative and Cease-And-Desist Proceedings

Deutsche Bank Securities Inc.

File No. 3-19100

RELEASE DATE NOTICE, ORDER, OR PLAN

34-106117 Aug. 12, 2026 Order Authorizing the Transfer of Any Funds Returned to the Distribution Fund in the Future to the U.S. Treasury and Terminating the Distribution Fund

Dennis Gibb and Sweetwater Investments, Inc.

File No. 3-19123

RELEASE DATE NOTICE, ORDER, OR PLAN

34-87893 Jan. 6, 2020 Order Authorizing the Transfer to the U.S. Treasury of Any Funds Returned to the Disgorgement Fund in the Future, Discharging Fund Administrator, and Terminating the Disgorgement Fund

34-86957 Sep. 12, 2019 Order Approving Plan of Distribution and Authorizing Transfer of Disgorgement Fund

Distribution Plan

34-86601 Aug. 8, 2019 Notice of Proposed Plan of Distribution and Opportunity to Comment

Proposed Distribution Plan

33-10623 Mar. 28, 2019 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Dominick & Dominick LLC and Robert X. Reilly

File No. 3-15987

RELEASE DATE NOTICE, ORDER, OR PLAN

34-90959 Jan. 21, 2021 Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Disgorgement Fund in the Future and Terminating the Disgorgement Fund

34-72694 Jul. 28, 2014 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders

ECP Manager LP

File No. 3-19535

RELEASE DATE NOTICE, ORDER, OR PLAN

34-102469 Feb. 20, 2025 Order Terminating the Distribution Fund

IA-5373 Sept. 27, 2019 Order Instituting Cease-and-Desist Proceedings, Pursuant to Section 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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

File No. 3-16751

RELEASE DATE NOTICE, ORDER, OR PLAN

34-82157 Nov. 27, 2017 Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds in the Disgorgement Fund

33-9889
34-75688 Aug. 13, 2015 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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

File No. 3-11780

RELEASE DATE NOTICE, ORDER, OR PLAN

34-68079 Oct. 22, 2012 Order Authorizing the Transfer of Residual Funds and Any Future Funds Returned to the Fair Fund to the U.S. Treasury, Discharging the Fund Administrator, and Terminating the Fair Fund

33-8520A
34-50910A Jul. 13, 2007 Amended Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

34-54637 Oct. 20, 2006 Order Directing Distribution of Fair Fund and Extending the Date for Distribution

34-53918A Jun. 1, 2006 Order Approving Distribution Plan and Appointing an Administrator

34-53660 Apr. 17, 2006 Notice of Proposed Distribution Plan and Opportunity for Comment

Proposed Distribution Plan

33-8632
34-52677 Oct. 26, 2005 Order Granting a Waiver as to the Jones Financial Companies, L.L.L.P.

33-8631 Oct. 26, 2005 Order Granting a Waiver

34-51341 Mar. 9, 2005 Order Directing Appointment of Tax Administrator

33-8520
34-50910 Dec. 22, 2004 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also the following Press Releases:

SEC Announces $79 Million Fair Fund Distribution in the Edward Jones Revenue Sharing Settlement (Press Release No. 2007-75, April 26, 2007)

Edward Jones to Pay $75 Million to Settle Revenue Sharing Charges (Press Release No. 2004-177, December 22, 2004)

Equinox Fund Management, LLC

File No. 3-17057

RELEASE DATE NOTICE, ORDER, OR PLAN

34-88849 May 11, 2020 Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Disgorgement Fund in the Future and Terminating the Disgorgement Fund

33-10004
34-76927
IA-4315 Jan. 19, 2016 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Equity Services, Inc.

File No. 3-19557

RELEASE DATE NOTICE, ORDER, OR PLAN

34-106104 Aug. 12, 2026 Order Authorizing the Transfer of Any Remaining Funds in the Distribution Fund and Any Funds Returned in the Future to the U.S. Treasury and Terminating the Distribution Fund

IA-5390 Sept. 30, 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

Evergreen Investment Management Company, LLC and Evergreen Investment

File No. 3-13507

RELEASE DATE NOTICE, ORDER, OR PLAN

34-65179 Aug. 22, 2011 Order Approving Final Accounting, Directing Payment of Remainder of Fair Fund to United States Treasury, and Terminating the Fair Fund

33-9039
34-60060 Jun. 8, 2009 Order Granting Waivers

33-9038 Jun. 8, 2009 Order Granting Waiver

34-60059
IA-2888
IC-28759 Jun. 8, 2007 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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

File No. 3-12805

RELEASE DATE NOTICE, ORDER, OR PLAN

34-86052 Jun. 6, 2019 Order Authorizing the Transfer to U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund

34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator

34-73923 Dec. 23, 2014 Order Directing Disbursement

34-63814 Feb. 1, 2011 Order Directing Disbursement of Fair Fund

34-63424 Dec. 3, 2010 Order Directing Disbursement of Fair Fund

34-63204 Oct. 28, 2010 Order Directing Disbursement of Fair Fund

34-62017 Apr. 30, 2010 Order Approving Distribution Plan

Final Plan of Distribution

34-61746 Mar. 19, 2010 Order Appointing a Fund Administrator and Waiving Bond

34-61745 Mar. 19, 2010 Notice of Proposed Plan of Distribution and Opportunity for Comment

Proposed Plan of Distribution

34-56658 Oct. 12, 2007 Order Appointmenting Tax Administrator

33-8843 Sep. 19, 2007 Order Granting Waiver

33-8842
34-56463 Sep. 19, 2007 Order Granting Waivers

34-56462
IA-2648
IC-27973 Sep. 19, 2007 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also, Evergreen Investment Management Company and Affiliates to Pay $32.5 Million to Settle Market Timing Violations (Press Release No. 2007-186, September 19, 2006) and In the Matter of William M. Ennis (Release No. 34-56464, September 19, 2007)

Federated Investment Management Company, Federated Securities Corp. and Federated Shareholder Services Company

File No. 3-12111

RELEASE DATE NOTICE, ORDER, OR PLAN

34-75741 Aug. 19, 2015 Order Authorizing Transfer of Remaining Funds and Any Future Funds Received by the Fair Fund to the U.S. Treasury, Discharging the Fund Administrator, and Terminating the Fair Fund

34-70367 Sep. 10, 2013 Order Directing Disbursement of Fair Fund

34-67187 Jun. 12, 2012 Order Modifying Distribution Plan and Directing Disbursement

34-62836 Sep. 2, 2010 Order Directing Disbursement of Fair Fund

34-62542 Jul. 21, 2010 Order Directing Disbursement of Fair Fund

34-61437 Jan. 28, 2010 Order Approving Plan, Appointing an Administrator, and Waiving Bond

Distribution Plan

34-61118 Dec. 4, 2009 Notice of Proposed Plan of Distribution and Opportunity for Comment

Proposed Plan of Distribution

34-52879
IA-2456
IC-27175 Dec. 2, 2005 Order Directing Appointment of Tax Administrator

34-52839
IA-2448
IC-27167 Nov. 28, 2005 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Fenway Partners, LLC, et al.

File No. 3-16938

RELEASE DATE NOTICE, ORDER, OR PLAN

34-101799 Dec. 3, 2024 Order Authorizing the Transfer to the U.S. Department of the Treasury of Any Funds Returned to the Fair Fund in the Future and Terminating the Fair Fund

IA-4253 Nov. 3, 2015 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant To Sections 203(e), 203(f) And 203(k) Of The Investment Advisers Act Of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

---------

Fidelity National Capital Investors, Inc.

File No. 3-11514

Release Date Notice, Order, or Plan

34-103859 Sept. 4, 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, and Terminating the Fair Fund

34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator

34-57606 Apr. 2, 2008 Order Approving and Ratifying Prior Disbursement of Fair Fund

34-50801 Dec. 7, 2004 Order Approving Plan of Fund Distribution and Appointing Administrator

34-50493 Oct. 5, 2004 Notice of Proposed Plan of Disgorgement and Fair Fund Distribution and Opportunity for Comment

34-49824 Jun. 8, 2004 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions as to Fidelity National Capital Investors, Inc.

First Heartland Consultants, Inc..

File No. 3-20448

RELEASE DATE NOTICE, ORDER, OR PLAN

34-102119 Jan. 6, 2025 Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future and Terminating the Fair Fund

IA-5812 Aug. 2, 2021 Order Instituting Administrative and Cease-and-Desist Pproceedings, 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

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

Folger Nolan Fleming Douglas Capital Management, Inc.

File No. 3-19558

RELEASE DATE NOTICE, ORDER, OR PLAN

34-106115 Aug. 12, 2026 Order Authorizing the Transfer of Any Funds Returned to the Distribution Fund in the Future to the U.S. Treasury and Terminating the Distribution Fund

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

File No. 3-12737

RELEASE DATE NOTICE, ORDER, OR PLAN

34-81086 Jul. 6, 2017 Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Distribution Fund

34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator

34-65152 Aug. 17, 2011 Order Directing Disbursement of Distribution Fund

34-64295 Apr. 13, 2011 Order Approving Plan of Distribution

Final Plan of Distribution

34-63994 Mar. 1, 2011 Notice of Proposed Plan of Distribution and Opportunity for Comment

Proposed Plan of Distribution

34-59976 May 27, 2009 Order Appointing Tax Administrator

IA-2639 Aug. 23, 2007 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, And Imposing Remedial Sanctions and a Cease-and-Desist Order

Fortius Financial Advisors, LLC

File No. 3-17385

RELEASE DATE NOTICE, ORDER, OR PLAN

34-102189 Jan. 14, 2025 Order Authorizing the Transfer of Any Funds Returned to the Fair Fund in the Future to the U.S. Department of the Treasury and Terminating the Fair Fund

IA-4483, IC-32212 Aug. 15, 2016 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

Founding Partners Capital Management Company and William Gunlicks

File No. 3-12896

RELEASE DATE NOTICE, ORDER, OR PLAN

34-67188 Jun. 12, 2012 Order Discharging Fund Administrator and Terminating Disgorgement Fund

34-61109 Dec. 3, 2009 Order Directing Disbursement of Disgorgement Fund

34-57976 Jun. 17, 2008 Order Appointing Tax Administrator

34-57807 May 9, 2008 Order Approving Distribution Plan and Appointing Fund Administrator

34-57423 Mar. 3, 2008 Notice of Proposed Distribution Plan and Opportunity for Comment

Proposed Plan of Distribution

34-57024 Dec. 21, 2007 Order Extending Time to Publish a Proposed Plan of Distribution

33-8866
IA-2680 Dec. 3, 2007 Corrected Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions

Franklin Advisers, Inc.

File No. 3-11572

RELEASE DATE NOTICE, ORDER, OR PLAN

34-65390 Apr. 30, 2010 Order Discharging Plan Administrator and Terminating Fair Fund

34-62016 Apr. 30, 2010 Order Directing Disbursement of Fair Fund

IA-2906
IC-28821 Jul. 20, 2009 Order Modifying Respondent’s Obligation to Undergo Third Party Compliance Reviews

34-59000 Nov. 21, 2008 Order Directing Disbursement of Fair Fund

34-58463 Sep. 4, 2008 Order Directing Disbursement of Fair Fund

34-57808 May 9, 2008 Order Approving Modified Distribution Plan

Modified Distribution Plan
Comments received are available for this notice

34-56829 Nov. 20, 2007 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan

34-56603 Oct. 3, 2007 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (to 11/30/07)

34-56187 Aug. 2, 2007 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (to 10/4/07)

34-55868 Jun. 6, 2007 Notice of Proposed Distribution Plan and Opportunity for Comment

Proposed Plan of Distribution
Comments received are available for this notice

34-51341 Mar. 9, 2005 Order Directing Appointment of Tax Administrator

IA-2271
IC-26523 Aug. 2, 2004 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also, SEC Announces Fair Fund Distribution to Investors Harmed by Market Timing in Franklin-Templeton Funds (Press Release No. 2008-223, September 23, 2008)

Franklin Advisers, Inc. and Franklin/Templeton Distributors, Inc.

File No. 3-11769

RELEASE DATE NOTICE, ORDER, OR PLAN

34-58106 Jul. 7, 2008 Order Approving Final Accounting, Directing Payment of Remainder of Fair Fund to United States Treasury, and Discharging Administrator

34-54342 Aug. 21, 2006 Order Directing Distribution of Fair Fund

34-54037 Jun. 23, 2006 Order Approving Distribution Plan and Appointing an Administrator

34-53844 May 19, 2006 Notice of Proposed Plan for Distribution of a Fair Fund and Opportunity for Comment

Proposed Plan of Distribution

May 19, 2006 Distribution of SEC Settlement to FT Funds

34-51341 Mar. 9, 2005 Order Directing Appointment of Tax Administrator

34-50841A
IA-2337A
IC-26692A Dec. 13, 2004 Corrected Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

34-50841
IA-2337
IC-26692 Dec. 13, 2004 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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

File No. 3-11246

RELEASE DATE NOTICE, ORDER, OR PLAN

34-70208 Aug. 15, 2013 Freedom Financial, Inc., et al.

34-54845 Nov. 30, 2006 Order Appointing a Tax Administrator

34-54547 Sep. 29, 2006 Order Approving Distribution of Disgorgement Fund

34-53814 May 16, 2006 Order Approving Plan of Disgorgement Distribution and Appointing Administrator

33-8643
34-52945
IA-2460 Dec. 13, 2005 Notice of Proposed Plan of Disgorgement Distribution and Opportunity for Comment by Non-Parties
Comments due: January 12, 2006

Proposed Plan of Disgorgement Distribution as to Respondent Associated Investment Management, Inc.

33-8426
34-49744
IA-2240 May 20, 2004 Order Making Findings and Imposing Remedial Sanctions and Cease-and-Desist Orders

33-8280
34-48446
IA-2168 Sep. 4, 2003 Proceedings Instituted Against Freedom Financial, Inc., Freedom Track, Inc., Freedom Financial Group, Inc., Associated Investment Management, Inc., Jon Patrick Pierce, and Gary L. Winn

Fremont Investment Advisors, Inc.

File No. 3-11726

RELEASE DATE NOTICE, ORDER, OR PLAN

34-71426 Jan. 28, 2014 Order Discharging Fund Administrator, Transfer of Residual and Terminating Fair Fund

34-67483 Jul. 20, 2012 Order Directing Disbursement

34-63203 Oct. 28, 2010 Order Directing Disbursement of Fair Fund

34-62381 Jun. 25, 2010 Order Approving Plan, Appointing a Fund Administrator, and Waiving Bond

Final Plan of Distribution

34-62090 May 12, 2010 Notice of Proposed Plan of Distribution and Opportunity for Comment

Proposed Plan of Distribution

34-51341 Mar. 9, 2005 Order Directing Appointment of Tax Administrator

IA-2317
IC-26650 Nov. 4, 2004 Order Instituting Adminstrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and Issuing a Cease-and-Desist Order

Gabelli Funds LLC

File No. 3-13019

RELEASE DATE NOTICE, ORDER, OR PLAN

34-68733 Jan. 25, 2013 Order Authorizing the Transfer of Remaining Funds and Any Future Funds Returned to the Fair Fund to the U.S. Treasury, Terminating the Fair Fund, and Discharging the Fund Administrator

34-62806 Aug. 31, 2010 Order Directing Disbursement of Fair Fund

34-62728 Aug. 16, 2010 Order Directing Disbursement of Fair Fund

34-61256 Dec. 30, 2009 Order Approving Distribution Plan

Final Plan of Distribution

34-61255 Dec. 30, 2009 Order Appointing A Fund Administrator and Waiving Bond

34-60656 Sep. 11, 2009 Notice of Proposed Plan of Distribution and Opportunity for Comment

Proposed Plan of Distribution

34-57796 May 7, 2008 Order Appointing Tax Administrator

33-8911
34-57708 Apr. 24, 2008 Order Granting Waivers

IA-2727
IC-28253 Apr. 24, 2008 Order Instituting Adminstrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Gary L. Pilgrim

File No. 3-11739

RELEASE DATE NOTICE, ORDER, OR PLAN

34-65017 Aug. 3, 2011 Order Disbursing Funds, Terminating Fair Fund, Discharging Plan Administrator, and Transferring Remaining Funds to the U.S. Treasury

34-51341 Mar. 9, 2005 Order Directing Appointment of Tax Administrator

33-8505
34-50680
IA-2328
IC-26655 Nov. 17, 2004 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

General American Life Insurance Company and William C. Thater

File No. 3-12720

RELEASE DATE NOTICE, ORDER, OR PLAN

34-63144 Oct. 21, 2010 Order Discharging Plan Administrator and Terminating Fair Fund

34-60447 Aug. 5, 2009 Order Directing Disbursement of Fair Fund

Distribution Plan

34-58225 Jul. 25, 2008 Order Approving Distribution Plan, Appointing a Plan Administrator, and Waiving Bond

34-57863 May 23, 2008 Notice of Proposed Distribution Plan and Opportunity for Comment

Proposed Plan of Distribution

34-56702 Oct. 25, 2007 Order Appointing Tax Administrator

33-8832
34-56229
IC-27925 Aug. 9, 2007 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Geneos Wealth Management, Inc.

File No. 3-18425

R ELEASE DATE NOTICE, ORDER, OR PLAN

34-102642 March 12, 2025 Order Authorizing the Transfer to the U.S. Department of the Treasury of the Remaining Funds and Any Funds Returned to the Distribution Fund in the Future and Terminating the Distribution Fund

34-83003, IA-4877 April 6, 2018 Corrected 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

Gerald T. Malone

File No. 3-11914

Note: this case has been consolidated with File No. 3-11359. Future materials will appear at the Alliance Capital Management, L.P. listing.

R ELEASE DATE NOTICE, ORDER, OR PLAN

34-53445
IC-26858 Mar. 8, 2006 Order Directing Appointment of Tax Administrator

IA-2378
IC-26858 Apr. 28, 2005 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Gerson Asset Management, Inc. and Seth Gerson

File No. 3-12121

RELEASE DATE NOTICE, ORDER, OR PLAN

34-63449 Dec. 7, 2010 Order Discharging Fund Administrator and Terminating Disgorgement Fund

34-60024 Jun. 2, 2009 Order Directing Disbursement of the Disgorgement Fund and Approving Amendments to the Distribution Plan

34-56911 Dec. 5, 2007 Order Approving a Plan for the Administration and Distribution of the Disgorgement Fund

34-56659 Oct. 15, 2007 Notice of Proposed Modified Distribution Plan and Opportunity for Comment

Modified Plan for the Administration and Distribution of the Disgorgement Fund

34-56623 Oct. 5, 2007 Order Extending Time for Approval or Disapproval of the Distribution Plan

34-54006 Jun. 16, 2006 Order Extending Period for Comments on the Proposed Plan for the Administration And Distribution of the Disgorgement Fund

34-53760 May 5, 2006 Notice of Proposed Plan for the Administration and Distribution of the Disgorgement Fund and Opportunity to Comment
Comments due: June 19, 2006

Proposed Plan for the Administration and Distribution of the Disgorgement Fund

34-53416 Mar. 6, 2006 Order Appointing Tax Administrator

34-52880
IA-2457
IC-27176 Dec. 2, 2005 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order

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

File No. 3-15641

RELEASE DATE NOTICE, ORDER, OR PLAN

34-85044 Feb. 4, 2019 Order Authorizing the Transfer of Remaining Funds and Any Future Funds Returned to the Fair Fund to the U.S. Treasury, Discharging Fund Administrator, Canceling Administrator's Bond, and Terminating the Fair Fund

34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator

34-76722 Dec. 21, 2015 Order Directing Disbursement of Fair Fund

34-75706 Aug. 14, 2015 Order Approving Application of Fund Administrator for Payment of Fees and Expenses

34-73423 Oct. 24, 2014 Order Approving Plan of Distribution

Plan of Distribution

34-73155 Sep. 19, 2014 Notice of Proposed Plan of Distribution and Opportunity for Comment

Proposed Plan of Distribution

34-72430 Jun. 19, 2014 Extension Order

34-72247 May 23, 2014 Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount

34-71590 Feb. 20, 2014 Extension Order

34-71544 Feb. 12, 2014 Order Appointing Tax Administrator

34-71050
AAER-3516 Dec. 12, 2013 Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order

Goelzer Investment Management, Inc. and Gregory W. Goelzer

File No. 3-15400

RELEASE DATE NOTICE, ORDER, OR PLAN

34-82001 Nov. 2, 2017 Order Authorizing The Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Disgorgement Fund in the Future and Terminating the Disgorgement Fund

Grant Thornton, LLP; Doeren Mayhew & Co., P.C.; Peter M. Behrens, CPA; Marvin J. Morris, CPA and Benedict P. Rybicki, CPA

File No. 3-11377

RELEASE DATE NOTICE, ORDER, OR PLAN

34-63565 Dec. 16, 2010 Termination of Fair Fund and Discharge of Administrator and Tax Administrator

34-56365 Sep. 6, 2007 Order Authorizing Disbursement of Distribution Fund, Approving Procedures and Amending Distribution Plan

34-54903 Dec. 11, 2006 Order Appointing Tax Administrator

34-53170 Jan. 24, 2006 Order Granting Administrator's Motion for Additional Time to Complete the Tasks Identified in Paragraphs 8(g) and 8(h) of the Distribution Plan

34-51711 May 19, 2005 Order Approving Plan of Disgorgement Distribution and Appointing Administrator

34-50861
AAER-2151 Dec. 15, 2004 Notice of Proposed Distribution Plan and Opportunity for Comment

34-50148
AAER-2076 Aug. 5, 2004 Order Making Findings and Imposing Remedial Sanctions

Jan. 20, 2004 Order Instituting Cease-and- Desist Proceedings and Instituting Public Administrative Proceedings

33-8355
34-49101
AAER-1945 Jan. 20, 2004 SEC Institutes Enforcement Action Against Grant Thornton, Doeren Mayhew and Others in Connection with Financial and Offering Fraud by Michigan Mortgage Banking Company

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

File No. 3-16554

RELEASE DATE NOTICE, ORDER, OR PLAN

34-91255 Mar. 4, 2021 Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund

34-87895 Jan. 6, 2020 Order Directing Disbursement of Fair Fund

34-87284 Oct. 10, 2019 Order Approving Plan of Distribution

Plan of Distribution

34-86738 Aug. 22, 2019 Notice of Proposed Plan of Distribution and Opportunity for Comment

Proposed Distribution Plan

34-85091 Feb. 11, 2019 Extension Order

34-83172 May 4, 2018 Order Appointing Tax Administrator

IA-4812
IC-32905 Nov. 22, 2017 Order Making Findings and Imposing Remedial Sanctions and Cease and Desist Order

33-9789
34-75021
IA-4094
IC-31643 May 21, 2015 Order Instituting Administrative and Cease-and-Desist Proceedings

See also other case files for 3-16554 .

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

File No. 3-15654

Release Date Notice, Order, or Plan

34-100526 July 12, 2024 Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, Canceling the Administrator's Bond, and Terminating the Fair Fund

34-87123 Sep. 26, 2019 Order Directing Sixth Disbursement of Fair Fund

34-81695 Sep. 25, 2017 Order Directing Fifth Disbursement of Fair Fund

34-81571 Sep. 11, 2017 Order Directing Fourth Disbursement of Fair Fund

34-80232 Mar. 13, 2017 Order Directing Third Disbursement of Fair Fund

34-80078 Feb. 22, 2017 Order Directing Second Disbursement of Fair Fund

34-79235 Nov. 3, 2016 Order Directing Disbursement of Fair Fund

34-75519 Jul. 24, 2015 Order Approving a Plan of Distribution

Plan of Distribution

34-74614 Mar. 31, 2015 Extension Order

34-73865 Dec. 17, 2014 Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount

34-73795 Dec. 9, 2014 Extension Order

34-72800 Aug. 8, 2014 Extension Order

34-72487 Jun. 27, 2014 Extension Order

34-72146 May 9, 2014 Notice of Proposed Plan of Distribution and Opportunity for Comment
Comments received are available for this proposal.

Proposed Plan of Distribution

34-71558 Feb. 18, 2014 Extension Order

34-71128 Dec. 18, 2013 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

34-71127 Dec. 18, 2013 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

34-71126 Dec. 18, 2013 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Hancock Whitney Investment Services, Inc.

File No. 3-20074

RELEASE DATE NOTICE, ORDER, OR PLAN

/34-106253 Sept. 1, 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

Harbour Investments, Inc.

File No. 3-18760

RELEASE DATE NOTICE, ORDER, OR PLAN

34-89096 Jun. 18, 2020 Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future and Terminating the Fair Fund

34-84115
IA-5006 Sep. 13, 2018 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Harold J. Baxter

File No. 3-11740

RELEASE DATE NOTICE, ORDER, OR PLAN

34-65017 Aug. 3, 2011 Order Disbursing Funds, Terminating Fair Fund, Discharging Plan Administrator, and Transferring Remaining Funds to the U.S. Treasury

34-51341 Mar. 9, 2005 Order Directing Appointment of Tax Administrator

33-8506
34-50681
IA-2329
IC-26656 Nov. 17, 2004 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Heartland Advisors, Inc., William J. Nasgovitz, Paul T. Beste, Thomas J. Conlin, Greg D. Winston, Kevin D. Clark, Kenneth J. Della, and Hugh F. Denison

File No. 3-12936

RELEASE DATE NOTICE, ORDER, OR PLAN

34-67243 Jun. 22, 2012 Order Approving the Final Accounting, Authorizing the Transfer of Residual Funds and Any Future Funds Received by the Fair Fund to the U.S. Treasury, Discharging the Fund Administrator, and Terminating the Fair Fund

34-63173 Oct. 25, 2010 Order Directing Disbursement of Fair Fund

34-61823 Apr. 1, 2010 Order Approving Plan, Appointing a Fund Administrator, and Approving Administrator Bond

Final Plan of Distribution

34-61481 Feb. 3, 2010 Notice of Proposed Distribution Plan and Opportunity for Comment

Proposed Plan of Distribution

34-57651 Apr. 11, 2008 Order Appointing a Tax Administrator

33-8884
34-57206
IA-2698
IC-28136 Jan. 25, 2008 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders

Hennessee Group LLC and Charles J. Gradante

File No. 3-13454

RELEASE DATE NOTICE, ORDER, OR PLAN

34-73885 Dec. 19, 2014 Order Authorizing the Transfer of Residual Funds and Any Future Funds Received By the Fair Fund to the U.S. Treasury, Discharging the Fund Administrator, and Terminating the Fair Fund

34-67514 Jul. 26, 2012 Order Directing Disbursement of Fair Fund

34-64156 Mar. 31, 2011 Order Approving Plan and Appointing a Fund Administrator

Final Plan of Distribution

34-63890 Feb. 11, 2011 Notice of Proposed Plan of Distribution and Opportunity for Comment

Proposed Plan of Distribution

34-61477 Jan. 29, 2010 Order Appointing Tax Administrator

IA-2871 Apr. 22, 2009 Order Instituting Administrative and Cease-Anddesist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Huntington Bancshares, Inc., Thomas E. Hoaglin, Michael J. McMennamin, and John Van Fleet, CPA

File No. 3-11940

RELEASE DATE NOTICE, ORDER, OR PLAN

34-83997 Aug. 30, 2018 Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Plan Administrator, and Terminating the Fair Fund

34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator

34-63290 Nov. 9, 2010 Order Directing Disbursement of Fair Fund

34-56292 Aug. 21, 2007 Order Approving Application of Fund Administrator for Compensation and Reimbursement of Expenses

34-54663 Oct. 27, 2006 Order Approving Application of Fund Administrator for Compensation and Reimbursement of Expenses

34-54554 Oct. 2, 2006 Order Approving Modified Plan of Distribution of a Fair Fund

34-54322 Aug. 15, 2006 Notice of Modified Plan of Distribution of Disgorgement Fund

Modified Distribution Plan

34-54218 Jul. 26, 2006 Order Approving Application of Fund Administrator for Compensation and Reimbursement of Expenses

34-53495 Mar. 16, 2006 Order Approving a Plan of Distribution of a Fair Fund and Appointing a Plan Administrator

Distribution Plan

34-53035 Dec. 29, 2005 Notice of Proposed Plan of Distribution of Disgorgement Fund and Opportunity for Comment by Non-Parties

Proposed Distribution Plan

34-52884 Dec. 5, 2005 Order Directing Appointment of Tax Administrator

33-8579
34-51781
AAER-2252 Jun. 2, 2005 Order Instituting Public Administrative and Cease-and- Desist Proceedings, Making Findings, Imposing a Cease-and-Desist Order, Imposing Remedial Sanctions, and Other Relief

Huron Consulting Group Inc., Gary L. Burge, CPA, and Wayne F. Lipski, CPA

File No. 3-14958

RELEASE DATE NOTICE, ORDER, OR PLAN

34-76699 Dec. 18, 2015 Order Authorizing the Transfer to the U.S. Treasury of Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund

34-68737 Jan. 25, 2013 Order Establishing Fair Fund, Appointing a Fund Administrator, Approving Distribution Plan and Authorizing Transfer of Distribution Fund

34-68420 Dec. 13, 2012 Notice of Proposed Plan of Distribution and Opportunity for Comment

Proposed Plan of Distribution

34-68200 Nov. 9, 2012 Extension Order

34-67472
AAER-3394 Jul. 19, 2012 Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of tThe Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-And-Desist Order and Remedial Sanctions

Infinex Investments Inc.

File No. 3-19036

RELEASE DATE NOTICE, ORDER, OR PLAN

34-106090 Aug. 12, 2026 Order Authorizing the Transfer of Any Remaining Funds in the Distribution Fund and Any Funds Returned in the Future to the U.S. Treasury and Terminating the Distribution Fund

IA-5133 Mar. 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

International Equity Advisors, LLC and Richard Roger Lund

File No. 3-12068

RELEASE DATE NOTICE, ORDER, OR PLAN

34-76704 Dec. 21, 2015 Order Authorizing the Transfer to the U.S. Treasury of Residual Funds and Any Funds Received By the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund

34-58490 Sept. 8, 2008 Order Directing Disbursement of Fair Fund

34-56220 Aug. 8, 2007 Order Approving Distribution Plan

Plan of Distribution

34-55665 Apr. 25, 2007 Notice of Proposed Distribution Plan and Opportunity for Comment

Proposed Distribution Plan

34-53352 Feb. 23, 2006 Order Appointing Tax Administrator

33-8648
34-53019
IA-2467
IC-27198 Dec. 23, 2005 Order Establishing Fair Fund

33-8621
34-52545
IA-2437
IC-27108 Sep. 30, 2005 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Invesco Funds Group, Inc., AIM Advisors, Inc., and AIM Distributors, Inc.

File No. 3-11701

RELEASE DATE NOTICE, ORDER, OR PLAN

34-70825 Nov. 6, 2013 Order Authorizing Transfer of Remaining Funds and Any Future Funds Received by the Fair Fund to the U.S. Treasury, Discharging the Fund Administrator, and Terminating the Fair Fund

34-69375 April 15, 2013 Order Amending May 11, 2011 Order

34-69346 April 8, 2013 Order Authorizing Transfer of Funds, Discharging Fund Adminstrator, and Terminating Fair Fund

34-64472 May 11, 2011 Order Amending Distribution Plan and Directing Disbursement

34-62746 Aug. 19, 2010 Order Directing Disbursement

34-60292a Nov. 20, 2009 Amended Order Directing Disbursement of Fair Fund

34-59929 May 14, 2009 Order Directing Disbursement of Fair Fund

34-57860 May 23, 2008 Order Approving Modified Distribution Plan

Modified Distribution Plan (Invesco Funds Group, Inc.)

34-57859 May 23, 2008 Order Approving Modified Distribution Plan

Modified Distribution Plan (AIM Advisors, Inc. and AIM Distributors, Inc.)

34-56877 Nov. 30, 2007 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 12/28/07)

34-56746 Nov. 5, 2007 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 11/30/07)

34-56745 Nov. 5, 2007 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 11/30/07)

34-56335 Aug. 29, 2007 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 11/5/07)

34-56333 Aug. 29, 2007 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 11/5/07)

34-56027 Jul. 6, 2007 Notice of Proposed Distribution Plan and Opportunity for Comment

Proposed Distribution Plan

34-56025A Jul. 6, 2007 Notice of Proposed Distribution Plan and Opportunity for Comment
Comments received are available for this notice.

Proposed Distribution Plan

34-53437 Mar. 7, 2006 Order Directing Appointment of Tax Administrator

34-50506
IA-2311
IC-26629 Oct. 8, 2004 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also:

Invesco Funds Group, Inc., AIM Advisors, Inc., and AIM Distributors, Inc. (Press Release No. 2009-124, Jun. 1, 2009)

Investmark Advisory Group LLC

File No. 3-19038

RELEASE DATE NOTICE, ORDER, OR PLAN

34-106124 Aug. 12, 2026 Order Authorizing the Transfer of Any Remaining Funds in the Distribution Fund and Any Funds Returned in the Future to the U.S. Treasury and Terminating the Distribution Fund

Inviva, Inc. and Jefferson National Life Insurance Company

File No. 3-11579

RELEASE DATE NOTICE, ORDER, OR PLAN

34-71882 Apr. 4, 2014 Order Authorizing the Transfer of Remaining Funds and Any Future Funds Returned to the Fair Fund to the U.S. Treasury, Discharging the Fund Administrator and Terminating the Fair Fund

34-62228 Jun. 4, 2010 Order Directing Disbursement of Fair Fund

34-61600 Feb. 26, 2010 Order Approving Plan, Appointing a Fund Administrator, and Waiving Bond

34-61210 Dec. 18, 2009 Notice of Proposed Plan of Distribution and Opportunity for Comment

Proposed Plan of Distribution

34-51341 Mar. 9, 2005 Order Directing Appointment of Tax Administrator

33-8456
34-50166
IC-26527 Aug. 9, 2004 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

IPG Investment Advisors, LLC

File No. 3-19551

RELEASE DATE NOTICE, ORDER, OR PLAN

34-106086 Aug. 12, 2026 Order Authorizing the Transfer of Any Remaining Funds in the Distribution Fund and Any Funds Returned in the Future to the U.S. Treasury and Terminating the Distribution Fund

IA-5384 Sept. 30, 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

Janus Capital Management LLC

File No. 3-11590

RELEASE DATE NOTICE, ORDER, OR PLAN

34-66236 Jan. 25, 2012 Order Transferring Remaining Funds to the U.S. Treasury, Terminating Fair Fund, and Discharging Fund Administrator

34-63407 Dec. 1, 2010 Order Directing Disbursement of Fair Fund

IA-3065
IC-29377 Aug. 5, 2010 Order Modifying Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

34-59992 May 28, 2009 Order Directing Disbursement Of Fair Fund

34-59059 Dec. 5, 2008 Order Directing Disbursement of Fair Fund

34-58810 Oct. 17, 2008 Order Directing Disbursement of Fair Fund

34-58475 Sep. 8, 2008 Order Directing Disbursement of Fair Fund

34-57721 Apr. 25, 2008 Order Approving Modified Distribution Plan

Modified Distribution Plan

34-57201 Jan. 25, 2008 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 04/25/08)

34-56995 Dec. 19, 2007 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 01/25/08)

34-56815 Nov. 19, 2007 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 12/19/07)

34-56569 Sep. 27, 2007 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 11/20/07)

34-56171 Jul. 31, 2007 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 10/1/07)

34-55835 May 31, 2007 Notice of Proposed Distribution Plan and Opportunity for Comment
Comments received are available for this notice.

Proposed Plan of Distribution

34-52642 Oct. 20, 2005 Order Directing Appointment of Tax Administrator

IA-2277
IC-26532 Aug. 18, 2004 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also, SEC Announces $18 Million Fair Fund Distribution to Investors Affected by Undisclosed Market Timing in Janus Mutual Funds (Press Release No. 2008-177, August 15, 2008)

Jefferies & Co., Inc. and Scott Jones

File No. 3-12495

RELEASE DATE NOTICE, ORDER, OR PLAN

34-63510 Dec. 9, 2010 Order Supplementing Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

34-55592 Apr. 6, 2007 Order Appointing Tax Administrator

34-54861 Dec. 1, 2006 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also, Jefferies Settles SEC Charges Involving Illegal Gifts and Entertainment (Press Release No. 2006-198, December 4, 2006)

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

File No. 3-18171

Release Date Notice, Order, or Plan

34-103848 Sept. 3, 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 and Terminating the Fair Fund

34-89025 Jun. 5, 2020 Order Directing Disbursement of Fair Fund

34-87283 Oct. 10, 2019 Order Approving Plan of Distribution

Plan of Distribution

34-86733 Aug. 22, 2019 Notice of Proposed Plan of Distribution and Opportunity for Comment

Proposed Distribution Plan

34-84554 Nov. 8, 2018 Extension Order

34-83068 Apr. 19, 2018 Order Appointing Tax Administrator

34-81584 Sep. 12, 2017 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 21C Of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

J.J.B. Hillard and W.I. Lyons, LLC

File No. 3-19049

RELEASE DATE NOTICE, ORDER, OR PLAN

34-106111 Aug. 12, 2026 Order Authorizing the Transfer of Any Remaining Funds in the Distribution Fund and Any Funds Returned in the Future to the U.S. Treasury and Terminating the Distribution Fund

IA-5146 Mar. 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

J. Michael Scarborough and Royal Alliance Associates, Inc.

File No. 3-11538

RELEASE DATE NOTICE, ORDER, OR PLAN

34-81513 Aug. 31, 2017 Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund

34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator

34-67002 May 16, 2012 Order Directing Disbursement of Fair Fund

34-62210 Jun. 2, 2010 Order Directing Disbursement of Fair Fund

34-59930 May 15, 2009 Order Approving Plan of Distribution

Proposed Distribution Plan

34-59368 Feb. 6, 2009 Notice of Proposed Plan of Distribution and Opportunity for Comment

34-54838 Nov. 29, 2006 Order Approving Tax Administrator

33-8438
34-49982 Jul. 8, 2004 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

John D. Carifa

File No. 3-11915

Note: this case has been consolidated with File No. 3-11359. Future materials will appear at the Alliance Capital Management, L.P. .

RELEASE DATE NOTICE, ORDER, OR PLAN

34-53446 Mar. 8, 2006 Order Directing Appointment of Tax Administrator

IA-2379
IC-26859 Apr. 28, 2005 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and- Desist Order

John W. Adams and AIP, LLC

File No. 3-11676

RELEASE DATE NOTICE, ORDER, OR PLAN

34-82882 March 15, 2018 Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Disgorgement Fund in the Future, Discharging the Plan Administrator, Canceling the Plan Administrator's Bond, and Terminating the Disgorgement Fund

34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator

34-74905 May 7, 2015 Order Modifying the Modified Distribution Plan

34-68736 Jan. 25, 2013 Order Modifying Distribution Plan and Directing Disbursement of Disgorgement Fund

Modified Plan of Distribution

34-59870 May 6, 2009 Order Approving Distribution Plan of a Disgorgement Fund

34-59433 Feb. 23, 2009 Proposed Plan of Disgorgement Distribution and Opportunity for Comment

Proposed Plan of Distribution

34-59431 Feb. 20, 2009 Order Approving Publication of Notice of Proposed Distribution Plan and Opportunity for Comment, Approving Plan Administrator, and Approving Administrator Bond

34-51341 Mar. 9, 2005 Order Directing Appointment of Tax Administrator

34-50427 Sep. 23, 2004 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order

Joseph Stilwell and Stilwell Value LLC

File No. 3-16444

RELEASE DATE NOTICE, ORDER, OR PLAN

34-77075 Feb. 5, 2016 Order Directing Transfer of Remaining Funds to the United States Treasury

IA-4049 Mar. 16, 2015 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

JPMorgan Chase & Co.

File No. 3-15507

Release Date Notice, Order, or Plan

34-101134 Sept. 23, 2024 Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, Canceling the Administrator's Bond, and Terminating the Fair Fund

34-86727 Aug. 22, 2019 Order Directing Disbursement of Fair Fund

34-84532 Nov. 5, 2018 Order Setting Fund Administrator's Bond Amount

Feb. 7, 2017 Motion to Amend Plan of Distribution

34-81383 Aug. 11, 2017 Order Directing Disbursement of Fair Fund

34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator

34-74266 Feb. 12, 2015 Order Approving Plan of Distribution

Plan of Distribution

34-73824 Dec. 11, 2014 Notice of Proposed Distribution Plan and Opportunity for Comment

Proposed Distribution Plan
Comments received are available for this proposed plan. -->

34-72181 May 16, 2014 Extension Order

34-71825 Mar. 27, 2014 Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount

34-71654 Mar. 5, 2014 Order Establishing a Fair Fund

34-70780 Oct. 30, 2013 Extension Order

34-70615 Oct. 4, 2013 Order Appointing Tax Administrator

34-70458
AAER-3490 Sep. 19, 2013 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order

J.P. Morgan Securities Inc.

File No. 3-13673

RELEASE DATE NOTICE, ORDER, OR PLAN

34-72303 Jun. 3, 2014 Order Authorizing the Transfer of Remaining Funds and Any Future Funds Returned to the Fair Fund to the U.S. Treasury, Discharging Plan Administrator and Terminating the Fair Fund

34-63812 Feb. 1, 2011 Order Directing Disbursement of Fair Fund

34-63060 Oct. 7, 2010 Order Approving Distribution Plan and Appointing a Plan Administrator

Final Plan of Distribution

34-62738 Aug. 18, 2010 Notice of Proposed Plan of Distribution and Opportunity for Comment

Proposed Plan of Distribution

34-61673 Jan. 19, 2010 Extension Order

33-9078 Nov. 4, 2009 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

33-9079 Nov. 4, 2009 Order Granting a Waiver

33-9080 Nov. 4, 2009 Order Granting Waivers

See also, J.P. Morgan Settles SEC Charges in Jefferson County, Ala. Illegal Payments Scheme (Press Release No. 2009-232, November 4, 2009)

Kenneth C. Meissner, James Doug Scott and Mark S. "Mike" Tomich

File No. 3-16175

Release Date Notice, Order, or Plan

34-97496 May 12, 2023 Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Plan Administrator, and Terminating the Fair Fund

34-91115 Feb. 11, 2021 Order Directing Third Disbursement of Fair Fund

34-85173 Feb. 22, 2019 Order Directing Second Disbursement of Fair Fund

34-81696 Sep. 25, 2017 Order Approving Plan of Distribution, Appointing a Distribution Plan Administrator, and Authorizing Transfer of Fair Fund Funds

Plan of Distribution

34-81449 Aug. 21, 2017 Notice of Proposed Plan of Distribution and Opportunity for Comment

Proposed Plan of Distribution

34-81385 Aug. 14, 2017 Order Establishing Fair Fund

34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator

34-79522 Dec. 9, 2016 Order Appointing Tax Administrator

34-76001 Sep. 28, 2015 Finality Order - James Doug Scott

34-75005 May 20, 2015 Finality Order - Kenneth C. Meissner

34-73226 Sep. 25, 2014 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 9(b) of the Investment Company Act of 1940

Kestra Advisory Services, LLC

RELEASE DATE NOTICE, ORDER, OR PLAN

34-106096 Aug. 12, 2026 Order Authorizing the Transfer of Any Remaining Funds in the Distribution Fund and Any Funds Returned in the Future to the U.S. Treasury and Terminating the Distribution Fund

Kestra Private Wealth Services, LLC (3-19089)

RELEASE DATE NOTICE, ORDER, OR PLAN

34-106110 Aug. 12, 2026 Order Authorizing the Transfer of Any Remaining Funds in the Distribution Fund and Any Funds Returned in the Future to the U.S. Treasury and Terminating the Distribution Fund

Knight Securities L.P

File No. 3-11771

RELEASE DATE NOTICE, ORDER, OR PLAN

34-72744 Aug. 1, 2014 Order Authorizing the Transfer of Remaining Funds and Any Future Funds Returned to the Fair Fund to the U.S. Treasury, Discharging the Fund Administrator, and Terminating the Fair Fund

34-59512 Mar. 5, 2009 Order Directing Disbursement of Fair Fund

34-57222 Jan. 29, 2008 Order Directing Disbursement of Fair Fund and Approving an Amended Fair Fund Distribution Plan

Amended Fair Fund Distribution Plan

34-55530 Mar. 26, 2007 Order Approving Distribution Plan and Appointment of an Administrator of the Distribution Fund

Independent Distribution Consultant’s Fair Fund Distribution Plan

34-54939 Dec. 14, 2006 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan

34-54627 Oct. 19, 2006 Notice of Proposed Distribution Plan and Opportunity for Comment
Comments received are available for this notice

Independent Distribution Consultant’s Proposed Fair Fund Distribution Plan

34-52136 Jul. 27, 2005 Order Modifying Prior Order, Extending Period of Time Granted to the Independent Distribution Consultant to Submit Distribution Plan

34-51850 Jun. 14, 2005 Order Directing Appointment of Tax Administrator

34-50867 Dec. 16, 2004 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions

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

File No. 3-17212

Release Date Notice, Order, or Plan

34-102127 Jan. 6, 20 Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, Canceling the Administrator's Bond, and Terminating the Fair Fund

34-97729 Jun. 15, 2023 Order Directing Second Disbursement of Fair Fund

34-93062 Sep. 20, 2021 Order Approving Second Plan of Distribution

Second Plan of Distribution

34-92498 Jul. 26, 2021 Notice of Proposed Second Plan of Distribution and Opportunity to Comment

Proposed Second Plan of Distribution

34-90347 Nov. 5, 2020 Order Directing Disbursement of Fair Fund

34-85530 Apr. 5, 2019 Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses

34-84493 Oct. 26, 2018 Order Approving Corrected Plan of Distribution

Corrected Distribution Plan

34-84044 Sep. 6, 2018 Notice of Proposed Plan of Distribution and Opportunity to Comment Comments received are available for this proposed plan.

-->

Proposed Distribution Plan

34-82972 Mar. 30, 2018 Order Appointing Fund Administrator and Setting Administrator Bond Amount

34-82783 Feb. 27, 2018 Order Establishing a Fair Fund

34-82187 Nov. 30, 2017 Order Appointing Tax Administrator

34-77644
AAER-3765 Apr. 19, 2016 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Cease-and-Desist Orders and Penalties

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

File No. 3-14321

Release Date Notice, Order, or Plan

34-64184 Apr. 5, 2011 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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

File No. 3-9923

RELEASE DATE NOTICE, ORDER, OR PLAN

34-70172 Aug. 13, 2013 Order Creating a Fair Fund and Transferring the Fair Fund to a Court Registry for Deposit Into a Criminal Restitution Fund

33-7876
34-43067 July 24, 2000 Order Making Findings and Imposing Remedial Sanctions

Mary Beth Stevens

File No. 3-13553

RELEASE DATE NOTICE, ORDER, OR PLAN

34-76152 Oct. 14, 2015 Order Authorizing the Transfer to the U.S. Treasury of Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund

34-68732 Jan. 25, 2013 Order Directing Disbursement of Fair Fund

34-66468 Feb. 24, 2012 Order Approving Plan of Distribution and Appointing a Fund Administrator

Final Plan of Distribution

34-66039 Dec. 22, 2011 Notice of Proposed Plan of Distribution and Opportunity for Comment

Proposed Plan of Distribution

IA-2973 Jan. 5, 2010 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order

IA-2902 Jul. 17, 2009 Securities and Exchange Commission Institutes Administrative Proceedings Against Mary Beth Stevens

Jul. 17, 2009 Order Instituting Administrative and Cease-and-Desist Proceedings

Massachusetts Financial Services Co.

File No. 3-11450

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

RELEASE DATE NOTICE, ORDER, OR PLAN

34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator

34-51341 Mar. 9, 2005 Order Directing Appointment of Tax Administrator

IA-2343
IC-26724 Jan. 21, 2005 Order Approving a Plan of Distribution

IA-2303
IC-26617 Sep. 22, 2004 Notice of Proposed Plan for the Distribution of a Fair Fund and Opportunity for Comment

IA-2224
IC-26409 Mar. 31, 2004 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also, Mutual Fund Manager MFS Pays $50 Million Fine To Settle SEC Enforcement Action (Press Release No. 2004-44, Mar. 31, 2004)

Massachusetts Financial Services Co., John W. Ballen and Kevin R. Parke

File No. 3-11393

RELEASE DATE NOTICE, ORDER, OR PLAN

34-81701 Sep. 25, 2017 Order Authorizing the Transfer to the U.S. Treasury of Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund

34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator

IA-3312
IC-29858 Nov. 9, 2011 Order Modifying Order Instituting Administrative and Cease- and-Desist Proceedings Pursuant to Sections 203(E), 203(F) and 203(K) of the Investment Advisers Act of 1940 and Sections 9(B) and 9(F) of The Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease- and-Desist Order as to Massachusetts Financial Services Company

34-65245 Sep. 1, 2011 Order Directing Disbursement of Distribution Fund

34-63240 Nov. 3, 2010 Order Modifying Distribution Plan and Directing Disbursement

34-59741 Apr. 9, 2009 Order Approving and Ratifying Prior Disbursement of Fair Fund

34-59048 Dec. 3, 2008 Order Directing Disbursement of Fair Fund

34-58412 Aug. 22, 2008 Order Directing Disbursement of Fair Fund

34-58320 Aug. 6, 2008 Order Directing Disbursement of Fair Fund

34-58090 Ju1. 2, 2008 Order Directing Disbursement of Fair Fund

34-57980 Jun. 17, 2008 Order Directing Disbursement of Fair Fund

34-57915 Jun. 4, 2008 Order Directing Disbursement of Fair Fund

34-57783 May 6, 2008 Order Directing Disbursement of Fair Fund

34-57687 Apr. 18, 2008 Order Directing Disbursement of Fair Fund

34-57396 Feb. 28, 2008 Order Directing Disbursement of Fair Fund

34-57276 Feb. 6, 2008 Order Directing Disbursement of Fair Fund

34-57117 Jan. 9, 2008 Order Directing Disbursement of Fair Fund

34-56922 Dec. 6, 2007 Order Directing Disbursement of Fair Fund

34-56743 Nov. 5, 2007 Order Directing Disbursement of Fair Fund

34-56527 Sep. 25, 2007 Revised Order Approving Modified Distribution Plan

34-56122 Jul. 24, 2007 Order Approving Modified Distribution Plan

Plan of Distribution

34-55394 Mar. 2, 2007 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan

34-54744 Nov. 13, 2006 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan

34-54440A Sep. 14, 2006 Notice of Proposed Distribution Plan and Opportunity for Comment
Comments received are available for this notice

Proposed Plan of Distribution

34-51829 Jun. 13, 2005 Order Directing Appointment of Tax Administrator and Establishing a Fair Fund

IA-2213
IC-26347 Feb. 5, 2004 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order ; See also Dissent of Commissioner Glassman

See also, SEC Announces $31.5 Million Fair Fund Distribution to Investors Injured by Undisclosed Market Timing in MFS Funds (Press Release No. 2007-241, Nov. 20, 2007)

Maxwell Technologies, Inc., Van M. Andrews, David J. Schramm, and James W. Dewitt, Jr., CPA

File No. 3-18408

Release Date Notice, Order, or Plan

34-99587 Feb. 22, 2024 Order Authorizing the Transfer to the U.S. Treasury of Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, Canceling the Fund Administrator's Bond, and Terminating the Fair Fund

34-93025 Sep. 16, 2021 Order Directing Second Disbursement of Fair Fund

34-86125 Jun. 17, 2019 Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses

34-86102 Jun. 13, 2019 Order Directing Disbursement of Fair Fund

34-84531 Nov. 5, 2018 Order Approving Plan of Distribution

Plan of Distribution

34-84296 Sep. 27, 2018 Notice of Proposed Plan of Distribution and Opportunity to Comment

Proposed Plan of Distribution

34-83727 Jul. 27, 2018 Order Appointing Fund Administrator and Setting Administrator Bond Amount

34-83333 May 25, 2018 Order Appointing Tax Administrator

33-10472 Mar. 27, 2018 Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (“Order”

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

File No. 3-14167

Note: Funds were transferred to the Distribution Agent.

RELEASE DATE NOTICE, ORDER, OR PLAN

34-81307 Aug. 3, 2017 Order Combining Funds with the China Energy Fair Fund

33-9166
34-63579
AAER-3221 Dec. 20, 2010 Order Instituting Public Administrative and Cease-and Desist Proceedings Pursuant To Section 8A of the Securities Act of 1933 and Section 4C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Metis Wealth Advisors, LLC and Juan R. Montermoso

File No. 3-16955

RELEASE DATE NOTICE, ORDER, OR PLAN

34-81064 June 30, 2017 Notice of Name Change of Appointed Tax Administrator

34-76595 Dec. 9, 2015 Order Appointing Tax Administrator

34-76432
IA-4262
IC-31900 Nov. 12, 2015 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 21c of the Securities Exchange Act of 1934, Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Michael D. Legoski

File No. 3-11620

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

RELEASE DATE NOTICE, ORDER, OR PLAN

34-51341 Mar. 9, 2005 Order Directing Appointment of Tax Administrator

34-50289
IA-2290
IC-26590 Aug. 30, 2004 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Michael J. Laughlin

File No. 3-11916

Note: this case has been consolidated with File No. 3-11359. Future materials will appear at the Alliance Capital Management, L.P. listing.

RELEASE DATE NOTICE, ORDER, OR PLAN

34-53447 Mar. 8, 2006 Order Directing Appointment of Tax Administrator

34-51642
IA-2380
IC-26860 Apr. 28, 2005 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Millennium Partners, L.P., Millennium Management, L.L.C., Millennium International Management, L.L.C., Israel Englander, Terence Feeney, Fred Stone, and Kovan Pillai; and Steven B. Markovitz

File Nos. 3-12116 and 3-11292

RELEASE DATE NOTICE, ORDER, OR PLAN

34-82046 Nov. 9, 2017 Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Dischargi

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Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/agency%3Asec%3Ab0133325f90d9fc1. Public record. Not legal advice.