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U.S. Securities and Exchange Commission

Archive of Terminated Fair Funds and Disgorgement Plans

See also current Fair Funds and Disgorgement Plans.

List of Cases


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

File No. 3-13230

ReleaseDateNotice, 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)



Banc of America Securities, LLC

File No. 3-12591

ReleaseDateNotice, 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 Administratorís 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 Administratorís 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

ReleaseDateNotice, Order, or Plan
34-61252Dec. 29, 2009 Order Discharging Plan Administrator and Terminating Fair Fund
34-56038Jul. 10, 2007 Order Directing Disbursement of Fair Fund
34-55730May 9, 2007 Order Approving a Modified Distribution Plan
   Modified Plan of Distribution
34-55010Dec. 26, 2006 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan
34-54582Oct. 6, 2006 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan
34-54280Aug. 7, 2006 Notice of Proposed Distribution Plan and Opportunity For Comment
Comments received are available for this notice.
   Proposed Plan of Distribution Plan
34-53468Mar. 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

ReleaseDateNotice, Order, or Plan
34-65017Aug. 3, 2011 Order Disbursing Funds, Terminating Fair Fund, Discharging Plan Administrator, and Transferring Remaining Funds to the U.S. Treasury
34-51341Mar. 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


BISYS Fund Services

File No. 3-12432

ReleaseDateNotice, 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
34-62498Jul. 14, 2010 Order Directing Disbursement of Fair Fund
34-60719Sep. 25, 2009 Order Approving Distribution Plan, Appointing a Fund Administrator, and Waiving Bond
34-60435Aug. 5, 2009 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan
   Proposed Distribution Plan
34-60011May 29, 2009 Notice of Proposed Distribution Plan and Opportunity for Comment
34-54635Oct. 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


Bridgeway Capital Management, Inc. and John Noland Ryan Montgomery

File No. 3-11659

ReleaseDateNotice, Order, or Plan
34-62065May 10, 2010 Order Discharging Plan Administrator and Terminating Disgorgement Fund
IA-2473Jan. 11, 2006 Order Amending Plan of Disgorgement Distribution
IA-2367Mar. 16, 2005 Order Approving Plan of Disgorgement Distribution and Appointing Administrator
IA-2358Feb. 10, 2005 Notice of Proposed Distribution Plan and Opportunity for Comment
IA-2294Sep. 15, 2004 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order


Paul George Chironis

File No. 3-13869

ReleaseDateNotice, Order, or Plan
33-9170
34-63661
IC-29548
Jan. 6, 2011 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order
33-9119
34-61968
Apr. 23, 2010 Order Instituting Administrative and Cease-and-Desist Proceedings

See also the following Press Release:



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

File No. 3-11780

ReleaseDateNotice, Order, or Plan
34-68079Oct. 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
34-54637Oct. 20, 2006 Order Directing Distribution of Fair Fund and Extending the Date for Distribution
34-53918AJun. 1, 2006 Order Approving Distribution Plan and Appointing an Administrator
34-53660Apr. 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.
33-8631Oct. 26, 2005 Order Granting a Waiver
34-51341Mar. 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:



Evergreen Investment Management Company, LLC and Evergreen Investment

File No. 3-13507

ReleaseDateNotice, Order, or Plan
34-65179Aug. 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

ReleaseDateNotice, Order, or Plan
34-67188Jun. 12, 2012 Order Discharging Fund Administrator and Terminating Disgorgement Fund
34-61109Dec. 3, 2009 Order Directing Disbursement of Disgorgement Fund
34-57976Jun. 17, 2008 Order Appointing Tax Administrator
34-57807May 9, 2008 Order Approving Distribution Plan and Appointing Fund Administrator
34-57423Mar. 3, 2008 Notice of Proposed Distribution Plan and Opportunity for Comment
   Proposed Plan of Distribution
34-57024Dec. 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

ReleaseDateNotice, Order, or Plan
34-65390Apr. 30, 2010 Order Discharging Plan Administrator and Terminating Fair Fund
34-62016Apr. 30, 2010 Order Directing Disbursement of Fair Fund
IA-2906
IC-28821
Jul. 20, 2009 Order Modifying Respondentís Obligation to Undergo Third Party Compliance Reviews
34-59000Nov. 21, 2008 Order Directing Disbursement of Fair Fund
34-58463Sep. 4, 2008 Order Directing Disbursement of Fair Fund
34-57808May 9, 2008 Order Approving Modified Distribution Plan
   Modified Distribution Plan
Comments received are available for this notice
34-56829Nov. 20, 2007 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan
34-56603Oct. 3, 2007 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (to 11/30/07)
34-56187Aug. 2, 2007 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (to 10/4/07)
34-55868Jun. 6, 2007 Notice of Proposed Distribution Plan and Opportunity for Comment
   Proposed Plan of Distribution
Comments received are available for this notice
34-51341Mar. 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

ReleaseDateNotice, Order, or Plan
34-58106Jul. 7, 2008 Order Approving Final Accounting, Directing Payment of Remainder of Fair Fund to United States Treasury, and Discharging Administrator
34-54342Aug. 21, 2006 Order Directing Distribution of Fair Fund
34-54037Jun. 23, 2006 Order Approving Distribution Plan and Appointing an Administrator
34-53844May 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
34-51341Mar. 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

ReleaseDateNotice, Order, or Plan
34-70208Aug. 15, 2013 Freedom Financial, Inc., et al.
34-54845Nov. 30, 2006 Order Appointing a Tax Administrator
34-54547Sep. 29, 2006 Order Approving Distribution of Disgorgement Fund
34-53814May 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

ReleaseDateNotice, Order, or Plan
34-71426Jan. 28, 2014 Order Discharging Fund Administrator, Transfer of Residual and Terminating Fair Fund
34-67483Jul. 20, 2012 Order Directing Disbursement
34-63203Oct. 28, 2010 Order Directing Disbursement of Fair Fund
34-62381Jun. 25, 2010 Order Approving Plan, Appointing a Fund Administrator, and Waiving Bond
   Final Plan of Distribution
34-62090May 12, 2010 Notice of Proposed Plan of Distribution and Opportunity for Comment
   Proposed Plan of Distribution
34-51341Mar. 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

ReleaseDateNotice, Order, or Plan
34-68733Jan. 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
34-62806Aug. 31, 2010 Order Directing Disbursement of Fair Fund
34-62728Aug. 16, 2010 Order Directing Disbursement of Fair Fund
34-61256Dec. 30, 2009 Order Approving Distribution Plan
   Final Plan of Distribution
34-61255Dec. 30, 2009 Order Appointing A Fund Administrator and Waiving Bond
34-60656Sep. 11, 2009 Notice of Proposed Plan of Distribution and Opportunity for Comment
   Proposed Plan of Distribution
34-57796May 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

ReleaseDateNotice, Order, or Plan
34-63144Oct. 21, 2010 Order Discharging Plan Administrator and Terminating Fair Fund
34-60447Aug. 5, 2009 Order Directing Disbursement of Fair Fund
   Distribution Plan
34-58225Jul. 25, 2008 Order Approving Distribution Plan, Appointing a Plan Administrator, and Waiving Bond
34-57863May 23, 2008 Notice of Proposed Distribution Plan and Opportunity for Comment
   Proposed Plan of Distribution
34-56702Oct. 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

ReleaseDateNotice, Order, or Plan
34-63449Dec. 7, 2010 Order Discharging Fund Administrator and Terminating Disgorgement Fund
34-60024Jun. 2, 2009 Order Directing Disbursement of the Disgorgement Fund and Approving Amendments to the Distribution Plan
34-56911Dec. 5, 2007 Order Approving a Plan for the Administration and Distribution of the Disgorgement Fund
34-56659Oct. 15, 2007 Notice of Proposed Modified Distribution Plan and Opportunity for Comment
   Modified Plan for the Administration and Distribution of the Disgorgement Fund
34-56623Oct. 5, 2007 Order Extending Time for Approval or Disapproval of the Distribution Plan
34-54006Jun. 16, 2006 Order Extending Period for Comments on the Proposed Plan for the Administration And Distribution of the Disgorgement Fund
34-53760May 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
34-53416Mar. 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


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

ReleaseDateNotice, Order, or Plan
34-63565Dec. 16, 2010 Termination of Fair Fund and Discharge of Administrator and Tax Administrator
34-56365Sep. 6, 2007 Order Authorizing Disbursement of Distribution Fund, Approving Procedures and Amending Distribution Plan
34-54903Dec. 11, 2006 Order Appointing Tax Administrator
34-53170Jan. 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
34-51711May 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


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

ReleaseDateNotice, Order, or Plan
34-67243Jun. 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
34-63173Oct. 25, 2010 Order Directing Disbursement of Fair Fund
34-61823Apr. 1, 2010 Order Approving Plan, Appointing a Fund Administrator, and Approving Administrator Bond
   Final Plan of Distribution
34-61481Feb. 3, 2010 Notice of Proposed Distribution Plan and Opportunity for Comment
   Proposed Plan of Distribution
34-57651Apr. 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


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

File No. 3-11701

ReleaseDateNotice, Order, or Plan
34-70825Nov. 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
34-69375April 15, 2013 Order Amending May 11, 2011 Order
34-69346April 8, 2013 Order Authorizing Transfer of Funds, Discharging Fund Adminstrator, and Terminating Fair Fund
34-64472May 11, 2011 Order Amending Distribution Plan and Directing Disbursement
34-62746Aug. 19, 2010 Order Directing Disbursement
34-60292aNov. 20, 2009 Amended Order Directing Disbursement of Fair Fund
34-59929May 14, 2009 Order Directing Disbursement of Fair Fund
34-57860May 23, 2008 Order Approving Modified Distribution Plan
   Modified Distribution Plan (Invesco Funds Group, Inc.)
34-57859May 23, 2008 Order Approving Modified Distribution Plan
   Modified Distribution Plan (AIM Advisors, Inc. and AIM Distributors, Inc.)
34-56877Nov. 30, 2007 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 12/28/07)
34-56746Nov. 5, 2007 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 11/30/07)
34-56745Nov. 5, 2007 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 11/30/07)
34-56335Aug. 29, 2007 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 11/5/07)
34-56333Aug. 29, 2007 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 11/5/07)
34-56027Jul. 6, 2007 Notice of Proposed Distribution Plan and Opportunity for Comment
   Proposed Distribution Plan
34-56025AJul. 6, 2007 Notice of Proposed Distribution Plan and Opportunity for Comment
Comments received are available for this notice.
   Proposed Distribution Plan
34-53437Mar. 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:



Inviva, Inc. and Jefferson National Life Insurance Company

File No. 3-11579

ReleaseDateNotice, 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
34-62228Jun. 4, 2010 Order Directing Disbursement of Fair Fund
34-61600Feb. 26, 2010 Order Approving Plan, Appointing a Fund Administrator, and Waiving Bond
34-61210Dec. 18, 2009 Notice of Proposed Plan of Distribution and Opportunity for Comment
   Proposed Plan of Distribution
34-51341Mar. 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


Janus Capital Management LLC

File No. 3-11590

ReleaseDateNotice, Order, or Plan
34-66236Jan. 25, 2012 Order Transferring Remaining Funds to the U.S. Treasury, Terminating Fair Fund, and Discharging Fund Administrator
34-63407Dec. 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
34-59992May 28, 2009 Order Directing Disbursement Of Fair Fund
34-59059Dec. 5, 2008 Order Directing Disbursement of Fair Fund
34-58810Oct. 17, 2008 Order Directing Disbursement of Fair Fund
34-58475Sep. 8, 2008 Order Directing Disbursement of Fair Fund
34-57721Apr. 25, 2008 Order Approving Modified Distribution Plan
   Modified Distribution Plan
34-57201Jan. 25, 2008 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 04/25/08)
34-56995Dec. 19, 2007 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 01/25/08)
34-56815Nov. 19, 2007 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 12/19/07)
34-56569Sep. 27, 2007 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 11/20/07)
34-56171Jul. 31, 2007 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 10/1/07)
34-55835May 31, 2007 Notice of Proposed Distribution Plan and Opportunity for Comment
Comments received are available for this notice.
   Proposed Plan of Distribution
34-52642Oct. 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

ReleaseDateNotice, Order, or Plan
34-63510Dec. 9, 2010 Order Supplementing Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
34-55592Apr. 6, 2007 Order Appointing Tax Administrator
34-54861Dec. 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)



J.P. Morgan Securities Inc.

File No. 3-13673

ReleaseDateNotice, 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
34-63812Feb. 1, 2011 Order Directing Disbursement of Fair Fund
34-63060Oct. 7, 2010 Order Approving Distribution Plan and Appointing a Plan Administrator
   Final Plan of Distribution
34-62738Aug. 18, 2010 Notice of Proposed Plan of Distribution and Opportunity for Comment
   Proposed Plan of Distribution
34-61673Jan. 19, 2010 Extension Order
33-9078Nov. 4, 2009 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
33-9079Nov. 4, 2009 Order Granting a Waiver
33-9080Nov. 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)



Knight Securities L.P

File No. 3-11771

ReleaseDateNotice, Order, or Plan
34-72744Aug. 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
34-59512Mar. 5, 2009 Order Directing Disbursement of Fair Fund
34-57222Jan. 29, 2008 Order Directing Disbursement of Fair Fund and Approving an Amended Fair Fund Distribution Plan
   Amended Fair Fund Distribution Plan
34-55530Mar. 26, 2007 Order Approving Distribution Plan and Appointment of an Administrator of the Distribution Fund
   Independent Distribution Consultantís Fair Fund Distribution Plan
34-54939Dec. 14, 2006 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan
34-54627Oct. 19, 2006 Notice of Proposed Distribution Plan and Opportunity for Comment
Comments received are available for this notice
   Independent Distribution Consultantís Proposed Fair Fund Distribution Plan
34-52136Jul. 27, 2005 Order Modifying Prior Order, Extending Period of Time Granted to the Independent Distribution Consultant to Submit Distribution Plan
34-51850Jun. 14, 2005 Order Directing Appointment of Tax Administrator
34-50867Dec. 16, 2004 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions


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

File No. 3-9923

ReleaseDateNotice, Order, or Plan
34-70172Aug. 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


Morgan Stanley & Co. Incorporated

File No. 3-12631

ReleaseDateNotice, Order, or Plan
34-68299Nov. 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
34-64078Mar. 11, 2011 Order Directing Disbursement of Disgorgement Fund
34-63399Nov. 30, 2010 Order Directing Disbursement of Disgorgement Fund
34-62162May 24, 2010 Order Directing Disbursement of Disgorgement Fund
34-60568Aug. 25, 2009 Order Approving Plan of Distribution
34-60567Aug. 25, 2009 Order Appointing a Plan Administrator and Waiving Bond
34-60160Jun. 23, 2009 Notice of Proposed Plan of Disgorgement and Opportunity for Comment
   Proposed Plan of Distribution
34-55911Jun. 15, 2007 Order Appointing Tax Administrator
34-55726May 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
33-8801May 9, 2007 Corrected Order Granting a Waiver

Morgan Stanley DW, Inc.

File No. 3-11335

ReleaseDateNotice, Order, or Plan
34-53997Jun. 15, 2006 Order Approving Final Accounting, Directing Payment of Remainder of Fair Fund to United States Treasury, and Discharging Plan Administrator
34-53996Jun. 15, 2006 Order Directing Payment of Plan Administratorís 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
34-51341Mar. 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

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


New York Life Investment Management LLC

File No. 3-13487

ReleaseDateNotice, Order, or Plan
34-64750Jun. 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

ReleaseDateNotice, Order, or Plan
34-65017Aug. 3, 2011 Order Disbursing Funds, Terminating Fair Fund, Discharging Plan Administrator, and Transferring Remaining Funds to the U.S. Treasury
34-51341Mar. 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

ReleaseDateNotice, Order, or Plan
34-65017Aug. 3, 2011 Order Disbursing Funds, Terminating Fair Fund, Discharging Plan Administrator, and Transferring Remaining Funds to the U.S. Treasury
34-59445Feb. 25, 2009 Order Directing Disbursement of Fair Fund
34-56320Aug. 24, 2007 Order Directing Disbursement of Fair Fund
34-55831May 30, 2007 Order Directing Disbursement of Fair Fund
34-55627Apr. 12, 2007 Order Directing Disbursement of Fair Fund
34-54812Nov. 22, 2006 Order Approving a Distribution Plan
   Plan of Distribution
34-54073Jun. 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,



Putnam Investment Management LLC

File No. 3-11317

ReleaseDateNotice, Order, or Plan
34-67591Aug. 2, 2012 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
34-65243ADec. 12, 2011 Amended Order Directing Disbursement of Fair Fund Residual
34-65243Sep. 1, 2011 Order Directing Disbursement of Fair Fund Residual
34-64034Mar. 4, 2011 Order Directing Disbursement of Fair Fund
34-63221Nov. 1, 2010 Order Directing Disbursement of Fair Fund
34-61463Feb. 2, 2010 Order Directing Disbursement of Fair Fund
34-61098Dec. 2, 2009 Order Directing Disbursement of Fair Fund
34-60412Jul. 31, 2009 Order Directing Disbursement of Fair Fund
34-59994May 28, 2009 Order Directing Disbursement of Fair Fund
34-59447Feb. 25, 2009 Order Directing Disbursement of Fair Fund
34-59041Dec. 2, 2008 Order Directing Disbursement of Fair Fund
34-58369aAug. 15, 2008 Corrected Order Directing Disbursement of Fair Fund
34-56115Jul. 20, 2007 Order Approving Modified Distribution Plans
   Plan of Distribution
34-55849Jun. 1, 2007 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (to 7/16/07
34-55561Mar. 30, 2007 Notice of Proposed Distribution Plan and Opportunity For Comment
Comments received are available for this proposal.
   Proposed Plan of Distribution
34-51341Mar. 9, 2005 Order Directing Appointment of Tax Administrator
34-50039Jul. 20, 2004 Order Denying Motion to Vacate Administrative Orders
IA-2226
IC-26412
Apr. 8, 2004 Order Making Findings and Imposing Supplemental Remedial Sanctions
614Apr. 7, 2004 Order
613Mar. 26, 2004 Order
IA-2192
IC-26255
Nov. 13, 2003 Order Making Findings and Imposing Partial Relief, Including a Final Censure, Remedial Undertakings and a Cease and Desist Order
IA-2185Oct. 28, 2003 In the Matter of Putnam Investment Management LLC

See also, SEC Announces Fair Fund Distribution to Harmed Investors in Putnam Mutual Funds (Press Release No. 2008-178, August 18, 2008)

See also, Commission Announces Completion of Independent Assessment Consultant's Report on Losses Attributable to Market Timing and Excessive Short-Term Trading by Putnam Employees (Press Release No. 2005-26, March 3, 2005)



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

File No. 3-11692

ReleaseDateNotice, Order, or Plan
34-60700Sep. 21, 2009 Order Discharging Plan Administrator and Terminating Fair Fund
34-54436Sep. 13, 2006 Order Approving Plan of Fair Fund Distribution, Approving Distribution of Funds, and Appointing Administrator
34-53572Mar. 30, 2006 Notice of Proposed Plan of Distribution and Opportunity for Comment
   Proposed Distribution Plan
34-53353Feb. 23, 2006 Order Appointing Tax Administrator
33-8636
34-52810
Nov. 21, 2005 Notice That Initial Decision Has Become Final
622Oct. 14, 2005 Order Denying Motion to Correct Manifest Errors of Fact
ID-296Sep. 15, 2005 Initial Decision
33-8597
34-52164
IA-2411
Jul. 29, 2005 Order Granting Extension
619Feb. 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

ReleaseDateNotice, Order, or Plan
34-65309Sep. 9, 2011 Order Discharging Plan Administrator and Terminating Fair Fund
34-60986Nov. 10, 2009 Order Directing Disbursement of Fair Fund
34-59085Dec. 11, 2008 Order Approving Distribution Plan, Appointing A Plan Administrator, and Waiving Bond
   Notice of Proposed Distribution Plan and Opportunity for Comment
34-57549Mar. 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

ReleaseDateNotice, Order, or Plan
34-54527Sep. 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
34-51406Mar. 22, 2005 Order Directing Distribution of Disgorgement Fund
34-51341Mar. 9, 2005 Order Directing Appointment of Tax Administrator
34-49299Feb. 23, 2004 Order Approving Plan for the Distribution of Disgorgement Fund
   Notice of Proposed Plan of Distribution and Proposed Plan of Distribution
34-47144Jan. 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

ReleaseDateNotice, 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.
34-63904Feb. 14, 2011 Order Discharging Fund Administrator and Terminating Fair Fund
34-61037Nov. 19, 2009 Order Directing Disbursement
34-57661Apr. 14, 2008 Order Directing Disbursement of Fair Fund
34-56222Aug. 8, 2007 Order Approving Modified Distribution Plan
   Plan of Distribution
34-56043Jul. 11, 2007 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan
34-55753May 14, 2007 Notice of Proposed Distribution Plan and Opportunity for Comment
Comments received are available for this proposal.
   Proposed Distribution Plan
34-51341Mar. 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)



Strong Capital Management, Inc.

File No. 3-12448

ReleaseDateNotice, Order, or Plan
34-70003Jul. 18, 2013 Order Authorizing the 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
34-66496Mar. 1, 2012 Order Directing Disbursement of Fair Fund
34-65465Oct. 3, 2011 Order Approving Plan of Distribution
34-65023Aug. 3, 2011 Notice of Proposed Plan of Distribution and Opportunity for Comment
   Proposed Plan of Distribution
34-65022Aug. 3, 2011 Order Appointing Fund Administrator and Waiving Bond Requirement
34-54639Oct. 23, 2006 Order Appointing Tax Administrator
IA-2560
IC-27508
Sep. 29, 2006 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions


Nancy C. Tengler

File No. 3-11727

Note: this case has been consolidated with File No. 3-11726. Future materials will appear at the Fremont Investment Advisors, Inc. listing.

ReleaseDateNotice, Order, or Plan
34-51341Mar. 9, 2005 Order Directing Appointment of Tax Administrator
IA-2318Nov. 4, 2004 Order Instituting Adminstrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and Issuing a Cease-and-Desist Order


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

File No. 3-12133

ReleaseDateNotice, 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:


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

File No. 3-12341

ReleaseDateNotice, Order, or Plan
34-67940Oct. 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
34-64650Jun. 13, 2011 Order Approving Application of Distribution Administrator for Fees and Expenses
34-60901May 11, 2010 Order Approving Application of Distribution Administrator for Fees and Expenses and Directing Disbursement of Fair Fund
34-60901Oct. 29, 2009 Order Approving Application of Distribution Administrator for Fees and Expenses
34-60125Jun. 17, 2009 Order Approving Application of Distribution Administrator for Fees and Expenses
34-59813Apr. 22, 2009 Order Directing Disbursement of Fair Fund
34-59269Jan. 21, 2009 Order Approving Application of Fund Administrator for Fees and Expenses
34-58417Aug. 25, 2008 Order Approving Application of Fund Administrator for Fees and Expenses
34-57732Apr. 29, 2008 Order Approving Application of Fund Administrator for Fees and Expenses
34-56310Aug. 23, 2007 Order Approving Distribution Plan
34-56011 Jul. 5, 2007 Notice of Proposed Distribution Plan and Opportunity for Comment
    Proposed Plan of Distribution
34-55952Jun. 25, 2007 Order Granting Extension of Time to File Proposed Plan of Distribution, Approving Plan Administrator, and Approving Administrator Bond
34-54662Oct. 27, 2006 Order Granting Motion for Extension of Time to File Distribution Plan
34-54406Sep. 6, 2006 Order Granting Motion for Extension of Time to File Distribution Plan
34-54405Sep. 6, 2006 Order Appointing a Tax Administrator
IA-2525Jun. 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


Modified: 08/01/2014