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Archive of Terminated Fair Funds and Disgorgement Plans

List of Cases

Banc of America Securities, LLC (3-12591)
Banc One Investment Advisors Corporation and Mark A. Beeson (3-11530)
Harold J. Baxter (3-11740)
Bridgeway Capital Management, Inc. and John Noland Ryan Montgomery (3-11659)
Edward D. Jones & Co., L.P. (3-11780)
Evergreen Investment Management Company, LLC and Evergreen Investment (3-13507)
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)
Gabelli Funds LLC (3-13019)
General American Life Insurance Company and William C. Thater (3-12720)
Gerson Asset Management, Inc. and Seth Gerson (3-12121)
Janus Capital Management LLC (3-11590)
Morgan Stanley & Co. Incorporated (3-12631)
Morgan Stanley DW, Inc. (3-11335)
Stephen R. Moynahan (3-13263)
New York Life Investment Management LLC (3-13487)
Gary L. Pilgrim (3-11739)
Pilgrim Baxter & Associates, Ltd. (3-11524)
Raymond James Financial Services, Inc. and J. Stephen Putnam (3-11692)
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)
RS Investment Management, Inc., RS Investment Management, L.P., G. Randall Hecht and Steven M. Cohen (3-11696)
Veras Capital Master Fund, VEY Partners Master Fund, Veras Investment Partners, LLC, Kevin D. Larson, and James R. McBride (3-12133)
Weiss Research, Inc., Martin Weiss, and Lawrence Edelson (3-12341)

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)

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)

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

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

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)

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

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

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

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

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

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)

Morgan Stanley & Co. Incorporated

File No. 3-12631

Release	Date	Notice, Order, or Plan
34-68299	Nov. 27, 2012	Order Authorizing the Transfer of Remaining Funds and Any Future Funds Returned to the Disgorgement Fund to the United States Treasury, Terminating the Disgorgement Fund, and Discharging the Plan Administrator
34-64078	Mar. 11, 2011	Order Directing Disbursement of Disgorgement Fund
34-63399	Nov. 30, 2010	Order Directing Disbursement of Disgorgement Fund
34-62162	May 24, 2010	Order Directing Disbursement of Disgorgement Fund
34-60568	Aug. 25, 2009	Order Approving Plan of Distribution
34-60567	Aug. 25, 2009	Order Appointing a Plan Administrator and Waiving Bond
34-60160	Jun. 23, 2009	Notice of Proposed Plan of Disgorgement and Opportunity for Comment
		Proposed Plan of Distribution
34-55911	Jun. 15, 2007	Order Appointing Tax Administrator
34-55726	May 9, 2007	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
33-8802 34-55727	May 9, 2007	Corrected Order Granting Waivers
33-8801	May 9, 2007	Corrected Order Granting a Waiver

Morgan Stanley DW, Inc.

File No. 3-11335

Release	Date	Notice, Order, or Plan
34-53997	Jun. 15, 2006	Order Approving Final Accounting, Directing Payment of Remainder of Fair Fund to United States Treasury, and Discharging Plan Administrator
34-53996	Jun. 15, 2006	Order Directing Payment of Plan Administrator’s Fees and Expenses
33-8634 34-52735	Nov. 4, 2005	Notice Concerning Distribution Plan
33-8620 34-52540	Sep. 30, 2005	Order Directing Distribution of Fair Fund
33-8615 34-52482	Sep. 21, 2005	Order Approving Plan of Distribution and Appointing An Administrator
33-8602 34-52245	Aug. 12, 2005	Notice of Proposed Plan for the Distribution of a Fair Fund and Opportunity for Comment
34-51341	Mar. 9, 2005	Order Directing Appointment of Tax Administrator
33-8339 34-48789	Nov. 17, 2003	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also, SEC Charges Morgan Stanley With Inadequate Disclosure in Mutual Fund Sales (Press Release No. 2003-159, November 17, 2003)

Stephen R. Moynahan

File No. 3-13263

Release	Date	Notice, Order, or Plan
34-65937	Dec. 12, 2011	Order Discharging Plan Administrator and Terminating Fair Fund
34-61069	Nov. 30, 2009	Order Directing Disbursement of Fair Fund
34-59693	Apr. 2, 2009	Order Approving Distribution Plan
		Proposed Distribution Plan
34-59339	Feb. 2, 2009	Notice of Proposed Distribution Plan and Opportunity for Comment
34-58689	Sep. 30, 2008	Order Instituting Administrative and Cease-and-Desist Proceedings

New York Life Investment Management LLC

File No. 3-13487

Release	Date	Notice, Order, or Plan
34-64750	Jun. 27, 2011	Order Terminating the Fair Fund
IA-2883 IC-28747	May 27, 2009	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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

Pilgrim Baxter & Associates, Ltd.

File No. 3-11524

Release	Date	Notice, Order, or Plan
34-65017	Aug. 3, 2011	Order Disbursing Funds, Terminating Fair Fund, Discharging Plan Administrator, and Transferring Remaining Funds to the U.S. Treasury
34-59445	Feb. 25, 2009	Order Directing Disbursement of Fair Fund
34-56320	Aug. 24, 2007	Order Directing Disbursement of Fair Fund
34-55831	May 30, 2007	Order Directing Disbursement of Fair Fund
34-55627	Apr. 12, 2007	Order Directing Disbursement of Fair Fund
34-54812	Nov. 22, 2006	Order Approving a Distribution Plan
		Plan of Distribution
34-54073	Jun. 30, 2006	Notice Of Proposed Distribution Plan and Opportunity for Comment Comments received are available for this notice
		Proposed Plan of Distribution
IA-2458 IC-27181	Dec. 7, 2004	Order Directing Appointment of Tax Administrator
IA-2275 IC-26531	Aug. 11, 2004	Order Amending June 21, 2004 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and an Order to Cease and Desist
IA-2251 IC-26470	Jun. 21, 2004	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and an Order to Cease-and-Desist

See also the following Press Releases,

SEC Announces Final Disbursement to Investors From $267 Million Pilgrim Baxter Fair Fund (Press Release No. 2007-181, September 12, 2007)
SEC Announces Second of Three Disbursements From $267 Million Pilgrim Baxter Fair Fund (Press Release No. 2007-113, June 13, 2007)
SEC Announces $125 Million Fair Fund Distribution to Investors Injured by Pilgrim Baxter Market Timing Fraud (Press Release No. 2007-68, April 23, 2007)

Raymond James Financial Services, Inc. and J. Stephen Putnam

File No. 3-11692

Release	Date	Notice, Order, or Plan
34-60700	Sep. 21, 2009	Order Discharging Plan Administrator and Terminating Fair Fund
34-54436	Sep. 13, 2006	Order Approving Plan of Fair Fund Distribution, Approving Distribution of Funds, and Appointing Administrator
34-53572	Mar. 30, 2006	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Distribution Plan
34-53353	Feb. 23, 2006	Order Appointing Tax Administrator
33-8636 34-52810	Nov. 21, 2005	Notice That Initial Decision Has Become Final
622	Oct. 14, 2005	Order Denying Motion to Correct Manifest Errors of Fact
ID-296	Sep. 15, 2005	Initial Decision
33-8597 34-52164 IA-2411	Jul. 29, 2005	Order Granting Extension
619	Feb. 10, 2005	Order on Motion to Quash
34-51090 IA-2345	Jan. 28, 2005	Order Making Findings and Imposing Remedial Sanctions as to David Lee Ullom
33-8499 34-50476 IA-2309	Sep. 30, 2004	In the Matter of Raymond James Financial Services, Inc., J. Stephen Putnam and David Lee Ullom
	Sep. 30, 2004	Order Instituting Public Administrative and Cease-and-Desist Proceedings and Notice of Hearing

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

File No. 3-12947

Release	Date	Notice, Order, or Plan
34-65309	Sep. 9, 2011	Order Discharging Plan Administrator and Terminating Fair Fund
34-60986	Nov. 10, 2009	Order Directing Disbursement of Fair Fund
34-59085	Dec. 11, 2008	Order Approving Distribution Plan, Appointing A Plan Administrator, and Waiving Bond
		Notice of Proposed Distribution Plan and Opportunity for Comment
34-57549	Mar. 24, 2008	Order Appointing a Tax Administrator
33-8890 34-57271 IA-2701 IC-28142	Feb. 5, 2008	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Robertson Stephens, Inc.

File No. 3-11003

Release	Date	Notice, Order, or Plan
34-54527	Sep. 27, 2006	Order Authorizing Disbursement of Funds From Fair Fund to Pay Fees and Taxes and Disbursement of Remaining Fund Balance to U.S. Treasury
34-51406	Mar. 22, 2005	Order Directing Distribution of Disgorgement Fund
34-51341	Mar. 9, 2005	Order Directing Appointment of Tax Administrator
34-49299	Feb. 23, 2004	Order Approving Plan for the Distribution of Disgorgement Fund
		Notice of Proposed Plan of Distribution and Proposed Plan of Distribution
34-47144	Jan. 9, 2003	Order Instituting Administrative Proceedings, Making Findings and Imposing Sanctions

RS Investment Management, Inc., RS Investment Management, L.P., G. Randall Hecht and Steven M. Cohen

File No. 3-11696

Release	Date	Notice, Order, or Plan
IA-3353 IC-29917	Jan. 13, 2012	Order Modifying Order Instituting Administrative and Cease-And-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order as to RS Investment Management, Inc. and RS Investment Management, L.P.
34-63904	Feb. 14, 2011	Order Discharging Fund Administrator and Terminating Fair Fund
34-61037	Nov. 19, 2009	Order Directing Disbursement
34-57661	Apr. 14, 2008	Order Directing Disbursement of Fair Fund
34-56222	Aug. 8, 2007	Order Approving Modified Distribution Plan
		Plan of Distribution
34-56043	Jul. 11, 2007	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan
34-55753	May 14, 2007	Notice of Proposed Distribution Plan and Opportunity for Comment Comments received are available for this proposal.
		Proposed Distribution Plan
34-51341	Mar. 9, 2005	Order Directing Appointment of Tax Administrator
IA-2310 IC-26627	Oct. 6, 2004	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also, SEC Announces $30 Million Fair Fund Distribution to Investors Affected by Undisclosed Market Timing in RS Investments Mutual Funds (Press Release No. 2008-65, April 25, 2008)

Veras Capital Master Fund, VEY Partners Master Fund, Veras Investment Partners, LLC, Kevin D. Larson, and James R. McBride

File No. 3-12133

Release	Date	Notice, Order, or Plan
34-60705	Sep. 22, 2009	Order Discharging Plan Administrator and Terminating Fair Fund
34-55847	Jun. 1, 2007	Second Order Directing Disbursement of Fair Fund
34-55363	Feb. 27, 2007	Order Directing Disbursement of Fair Fund
34-54568A	Oct. 4, 2006	Corrected Order Approving Distribution Plan of a Fair Fund
34-54299	Aug. 10, 2006	Notice of Proposed Distribution Plan and Opportunity for Comment
		Distribution Plan
34-53466	Mar. 10, 2006	Order Appointing Tax Administrator
33-8646 34-53011 IA-2466 IC-27197	Dec. 22, 2005	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also the following Press Release:

SEC Announces $38 Million Fair Fund Distribution in the Veras Hedge Funds Settlement (Press Release No. 2007-50, March 21, 2007)
SEC Charges Veras Capital Master Fund, VEY Partners Master Fund, Veras Investment Partners, LLC, Kevin D. Larson, and James R. McBride in Fraudulent Market Timing and Late Trading Scheme (Press Release No. 2005-82, December 22, 2005)

Weiss Research, Inc., Martin Weiss, and Lawrence Edelson

File No. 3-12341

Release	Date	Notice, Order, or Plan
34-67940	Oct. 2, 2012	Order Authorizing Payment of Final Invoices for the Tax Administrator and Plan Administrator, Transferring Remaining Funds and Any Future Funds Returned to the Fair Fund to the U.S. Treasury, Terminating the Fair Fund, and Discharging the Plan Administrator
34-64650	Jun. 13, 2011	Order Approving Application of Distribution Administrator for Fees and Expenses
34-60901	May 11, 2010	Order Approving Application of Distribution Administrator for Fees and Expenses and Directing Disbursement of Fair Fund
34-60901	Oct. 29, 2009	Order Approving Application of Distribution Administrator for Fees and Expenses
34-60125	Jun. 17, 2009	Order Approving Application of Distribution Administrator for Fees and Expenses
34-59813	Apr. 22, 2009	Order Directing Disbursement of Fair Fund
34-59269	Jan. 21, 2009	Order Approving Application of Fund Administrator for Fees and Expenses
34-58417	Aug. 25, 2008	Order Approving Application of Fund Administrator for Fees and Expenses
34-57732	Apr. 29, 2008	Order Approving Application of Fund Administrator for Fees and Expenses
34-56310	Aug. 23, 2007	Order Approving Distribution Plan
34-56011	Jul. 5, 2007	Notice of Proposed Distribution Plan and Opportunity for Comment
		Proposed Plan of Distribution
34-55952	Jun. 25, 2007	Order Granting Extension of Time to File Proposed Plan of Distribution, Approving Plan Administrator, and Approving Administrator Bond
34-54662	Oct. 27, 2006	Order Granting Motion for Extension of Time to File Distribution Plan
34-54406	Sep. 6, 2006	Order Granting Motion for Extension of Time to File Distribution Plan
34-54405	Sep. 6, 2006	Order Appointing a Tax Administrator
IA-2525	Jun. 22, 2006	Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

http://www.sec.gov/litigation/fairfundlist-archive.htm