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U.S. Securities and Exchange Commission

Distributions in Commission Administrative Proceedings:
Notices and Orders Pertaining to Disgorgement and Fair Funds

For information on how the SEC administers Fair Funds, see Rules of Practice and Rules on Fair Funds and Disgorgement Plans. For information on the current tax administrator, see Release No. 34-68683 (January 17, 2013).

See also Archive of Terminated Fair Funds and Disgorgement Plans.

List of Cases


John W. Adams and AIP, LLC

File No. 3-11676

ReleaseDateNotice, Order, or Plan
34-68736Jan. 25, 2013 Order Modifying Distribution Plan and Directing Disbursement of Disgorgement Fund
   Modified Plan of Distribution
34-59870May 6, 2009 Order Approving Distribution Plan of a Disgorgement Fund
34-59433Feb. 23, 2009 Proposed Plan of Disgorgement Distribution and Opportunity for Comment
   Proposed Plan of Distribution
34-51341Mar. 9, 2005 Order Directing Appointment of Tax Administrator
34-50427Sep. 23, 2004 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order


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

File Nos. 3-15134 and 3-15135

ReleaseDateNotice, Order, or Plan
34-71937 Apr. 11, 2014 Extension Order
34-71170 Dec. 20, 2013 Extension Order
34-70043Jul. 26, 2013 Extension Order
34-68988Feb. 26, 2013 Order Appointing Tax Administrator
34-68931Feb. 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)


Alliance Capital Management, L.P.

File No. 3-11359

ReleaseDateNotice, Order, or Plan
34-71591Feb. 20, 2014 Order Directing Disbursement of Fair Fund
34-71274Jan. 9, 2014 Order Amending the Plan of Distribution
34-64568May 31, 2011 Order Directing Disbursement of Fair Fund
34-60446Aug. 5, 2009 Order Directing Disbursement of Fair Fund
34-59926May 14, 2009 Order Directing Disbursement of Fair Fund
34-59832Apr. 28, 2009 Order Directing Disbursement of Fair Fund
34-59657Mar. 31, 2009 Order Directing Disbursement of Fair Fund
34-59389Feb. 11, 2009 Order Directing Disbursement of Fair Fund
34-59280Jan. 22, 2009 Order Directing Disbursement of Fair Fund
34-57825May 15, 2008 Order Approving Distribution Plan, Appointing a Fund Administrator, and Waiving Bond
   Final Plan of Distribution
34-57489Mar. 13, 2008 Notice of Proposed Distribution Plan and Opportunity for Comment
   Proposed Plan of Distribution
34-51341Mar. 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)



American Skandia Investment Services, Inc.

File No. 3-13446

ReleaseDateNotice, Order, or Plan
34-67149Jun. 6, 2012 Order Directing Disbursement of Fair Fund
34-66425Feb. 17, 2012 Order Directing Disbursement of Fair Fund
34-64651Jun. 13, 2011 Order Directing Disbursement of Fair Fund
34-63765Jan. 25, 2011 Order Directing Disbursement of Fair Fund
34-62733Aug. 16, 2010 Order Approving Plan of Distribution, Appointing Fund Administrator, and Waiving Bond
   Final Distribution Plan
34-62106May 13, 2010 Notice of Proposed Distribution Plan and Opportunity for Comment
   Proposed Plan of Distribution
34-59984May 27, 2009 Order Appointing Tax Administrator
33-9029Apr. 17, 2009 Order Granting a Waiver
33-9028
34-59780
Apr. 17, 2009 Order Granting Waivers
IA-2867Apr. 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

ReleaseDateNotice, Order, or Plan
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

ReleaseDateNotice, Order, or Plan
34-57639Apr. 9, 2008 Order Approving Distribution Plan, Appointing an Administrator, and Waiving Bond
34-57341Feb. 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 Administrtor
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:



Ameriprise Financial, Inc. (formerly American Express Financial Corporation)

File No. 3-12114

ReleaseDateNotice, Order, or Plan
IA-2452
IC-27171
Dec. 1, 2005 Order Directing Appointment of Tax Administrtor
IA-2451
IC-27170
Dec. 1, 2005 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also, American Express Financial Corporation, Now Known as Ameriprise Financial, Inc., to Pay $15 Million to Settle Market Timing Charges (Press Release No. 2005-169, December 1, 2005)



Ark Asset Management Co., Inc.

File No. 3-13714

ReleaseDateNotice, Order, or Plan
34-70171Aug. 13, 2013 Amended Order Directing Disbursement of Disgorgement Fund
34-67524Jul. 27, 2012 Order Directing Disbursement of Disgorgement Fund
34-63993Mar. 1, 2011 Order Approving Distribution Plan and Appointing a Plan Administrator
   Final Plan of Distribution
34-63666Jan. 6, 2011 Notice of Proposed Distribution Plan and Opportunity for Comment
   Proposed Plan of Distribution
34-63118Oct. 15, 2010 Order Appointing Tax Administrator
IA-3091Sep. 29, 2010 Order Making Findings and Imposing Sanctions
IA-2962Dec. 14, 2009 Order Instituting Cease and Desist Proceedings and Notice of Hearing


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

File No. 3-11818

ReleaseDateNotice, Order, or Plan
34-70082 Jul. 31, 2013 Order Directing Disbursement of Fair Fund
34-68208Nov. 9, 2012 Order Directing Disbursement of Fair Fund
34-67415Jul. 11, 2012 Order Directing Disbursement of Fair Fund
34-65746Nov. 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
34-64606Jun. 6, 2011 Order Directing Disbursement of Fair Fund
34-63360Nov. 23, 2010 Order Directing Disbursement of Fair Fund
34-62212Jun. 3, 2010 Order Directing Disbursement of Fair Fund
34-61088Dec. 1, 2009 Order Directing Disbursement of Fair Fund
34-60080Jun. 9, 2009 Order Directing Disbursement of Fair Fund
34-59520Mar. 5, 2009 Order Directing Disbursement of Fair Fund
34-58896Nov. 3, 2008 Order Directing Disbursement of Fair Fund
34-58322Aug. 6, 2008 Order Directing Disbursement of Fair Fund
34-57926Jun. 5, 2008 Order Directing Disbursement of Fair Fund
34-57048Dec. 27, 2007 Order Approving the Distribution Plan
34-56783Nov. 13, 2007 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 12/4/07)
34-56385Sep. 11, 2007 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan
34-56077Jul. 16, 2007 Notice of Proposed Distribution Plan and Opportunity for Comment
Comments received are available for this notice.
   Proposed Plan of Distribution
34-51341Mar. 9, 2005 Order Directing Appointment of Tax Administrator
33-8539Feb. 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)



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

File No. 3-12238

ReleaseDateNotice, Order, or Plan
34-60310Jul. 15, 2009 Order Directing Disbursement of Fair Fund
34-60049Jun. 5, 2009 Order Directing Disbursement of Fair Fund
34-59828Apr. 28, 2009 Order Directing Disbursement of Fair Fund
34-59356Feb. 4, 2009 Order Approving Distribution Plan, Appointing a Fund Administrator, and Waiving Bond
   Modified Plan of Distribution
   Distribution Plan
34-59065Dec. 8, 2008 Notice of Proposed Distribution Plan and Opportunity for Comment
   Proposed Plan of Distribution
34-53625Apr. 10, 2006 Order Appointing Tax Administrator
33-8671Mar. 16, 2006 Order Granting Waivers
33-8670Mar. 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:



BNY Mellon Securities LLC

File No. 3-14191

ReleaseDateNotice, Order, or Plan
34-72962Sep. 3, 2014 Order Directing Disbursement of Fair Fund
34-71638Feb. 28, 2014 Order Approving Modified Plan of Distribution, Appointing Fund Administrator, and Setting Fund Administrator Bond Amount
   Modified Plan of Distribution
34-68796Jan. 31, 2013 Notice of Proposed Plan of Distribution and Opportunity For Comment
   Proposed Plan of Distribution
33-9215Mar. 30, 2012 Extension Order
33-9215Jun. 2, 2011 Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-63938Feb. 22, 2011 Order Appointing Tax Administrator
34-63724Jan. 14, 2011 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions


Canadian Imperial Holdings Inc. and CIBC World Markets Corp.

File No. 3-11987

ReleaseDateNotice, Order, or Plan
34-65892Dec. 5, 2011 Order Directing Disbursement of Fair Fund
34-65798Nov. 21, 2011 Order Directing Disbursement of Fair Fund
34-65697Nov. 7, 2011 Order Directing Disbursement of Fair Fund
34-61568Feb. 23, 2010 Order Approving Plan, Appointing a Fund Administrator, and Waiving Bond
   Corrected Plan of Distribution
34-61142Dec. 10, 2009 Notice of Proposed Plan of Distribution and Opportunity for Comment
   Proposed Distribution Plan
34-53768May 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)



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..

ReleaseDateNotice, Order, or Plan
34-53446Mar. 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


Centaur Management Co. LLC

File No. 3-14950

ReleaseDateNotice, Order, or Plan
34-70015 July 22, 2013 Order Approving Plan of Distribution
    Distribution Plan
34-69604May 17, 2013 Notice of Proposed Plan of Distribution and Opportunity for Comment
   Proposed Plan of Distribution
34-69150Mar. 15, 2013 Order Appointing Fund Administrator and Approving Fund Administrator Bond
34-67824Sep. 11, 2012 Order Appointing Tax Administrator
34-67783Sep. 5, 2012 Extension Order
IA-3432Jul. 17, 2012 Order Instituting Administrative and Cease-and-Desist Proceedings Making Findings, and Imposing Remedial Sanctions and a Ceaseand-Desist Order


CIHC, Inc., Conseco Services, LLC, and Conseco Equity Sales, Inc.

File No. 3-11578

ReleaseDateNotice, Order, or Plan
34-72999Sep. 4, 2014 Order Directing Disbursement of Fair Fund
34-61601Feb. 26, 2010 Order Approving Plan, Appointing a Fund Administrator, and Waiving Bond
34-61209AJan. 19, 2010 Amended Notice of Proposed Plan of Distribution and Opportunity for Comment
34-61209Dec. 18, 2009 Notice of Proposed Plan of Distribution and Opportunity for Comment
   Proposed Plan of Distribution
34-53477 Mar. 14, 2006 Order Appointing Tax Administrator
33-8455
34-50165
IC-26526
Aug. 9, 2004 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order


Columbia Management Advisors, Inc. and Columbia Funds Distributor, Inc.

File No. 3-11814

ReleaseDateNotice, Order, or Plan
34-65122Aug. 12, 2011 Order Directing Disbursement of Fair Fund
34-62058May 6, 2010 Order Directing Disbursement of Fair Fund
34-58939Nov. 13, 2008 Order Directing Disbursement of Fair Fund
34-57422Mar. 3, 2008 Order Directing Disbursement of Fair Fund
34-56857Nov. 28, 2007 Order Directing Disbursement of Fair Fund
34-56216Aug. 7, 2007 Order Directing Disbursement of Fair Fund
34-55922Jun. 18, 2007 Order Directing Disbursement of Fair Fund
34-55598Apr. 6, 2007 Order Approving a Distribution Plan
   Plan of Distribution
34-55332Feb. 22, 2007 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan
34-55059Jan. 8, 2007 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan
34-54474Sep. 20, 2006 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan
34-54175Jul. 19, 2006 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
33-8536Feb. 9, 2005 Order Under Rule 602(e) Under the Securities Act of 1933, Granting a Waiver of the Disqualification Provisions of Rule 602(c)(3)
33-8534
34-51164
IA-2351
IC-26752
Feb. 9, 2005 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also, SEC Announces $37 Million Fair Fund Distribution to Mutual Fund Investors Injured by Columbia Market Timing Fraud (Press Release No. 2005-127, July 2, 2007)



Comprehensive Capital Management, Inc.

File No. 3-15393

ReleaseDateNotice, Order, or Plan
34-73127Sep. 17, 2014 Extension Order
IA-3636Jul. 29, 2013 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Cornerstone Capital and Laura Jean Kent

File No. 3-13199

ReleaseDateNotice, Order, or Plan
34-69057Mar. 7, 2013 Order Directing Disbursement of Distribution Fund
34-62936Sep. 17, 2010 Corrected Order Directing Disbursement of Disgorgement Fund
34-61653Mar. 5, 2010 Order Approving Plan and Appointing a Plan Administrator
   Plan of Distribution
34-61208Dec. 18, 2009 Notice of Proposed Plan of Distribution and Opportunity for Comment
   Proposed Plan of Distribution
34-60848Oct. 20, 2009 Order Granting Extension of Time to File Proposed Plan of Distribution
34-60675Sep. 15, 2009 Order Granting Extension of Time to File Proposed Plan of Distribution
34-60327Jul. 17, 2009 Order Appointing Tax Administrator
34-59951May 20, 2009 Order Granting Extension of Time to File Proposed Plan of Distribution
IA-2855Mar. 20, 2009 Order Making Findings and Imposing Remedial Sanctions and a Cease and Desist Order

Charles W. Crouse and Norman R. Hess

File No. 3-11515

ReleaseDateNotice, Order, or Plan
34-65999Dec. 16, 2011 Order Directing Disbursement of Fair Fund
34-57607Apr. 2, 2008 Order Approving and Ratifying Prior Disbursement and Approving Future Disbursement of Fair Fund
34-53432Mar. 7, 2006 Order Appointing Tax Administrator
34-52678Oct. 26, 2005 Order Approving Plan of Fund Distribution, Appointing Administrator, and Consolidating Settlement Funds for Administration
34-52279Aug. 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
34-51266Feb. 25, 2005 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order
34-49829Jun. 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


Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.), Credit Suisse Asset Management, LLC, and Samir H. Bhatt

File No. 3-14594

ReleaseDateNotice, Order, or Plan
34-73401Oct. 21, 2014 Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-71752Mar. 19, 2014 Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-70390Sep. 13, 2013 Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-69624May 22, 2013 Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-67341Jul. 3, 2012 Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-65908Dec. 7, 2011 Order Appointing Tax Administrator
33-9268
IA-3302
Oct. 19, 2011 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders

See also the following Press Release:



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

ReleaseDateNotice, Order, or Plan
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
34-70695Oct. 16, 2013 Extension Order
34-68593Jan. 7, 2013 Extension Order
34-68349Dec. 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


David Henry Disraeli and Lifeplan Associates, Inc.

File No. 3-12288

ReleaseDateNotice, 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
34-56012Jul. 5, 2007 Order Granting Partial Protective Order
633Mar. 21, 2007 Order Denying Motion to Correct Manifest Errors of Fact
ID-328Mar. 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


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

File No. 3-12805

ReleaseDateNotice, Order, or Plan
34-63814Feb. 1, 2011 Order Directing Disbursement of Fair Fund
34-63424Dec. 3, 2010 Order Directing Disbursement of Fair Fund
34-63204Oct. 28, 2010 Order Directing Disbursement of Fair Fund
34-62017Apr. 30, 2010 Order Approving Distribution Plan
   Final Plan of Distribution
34-61746Mar. 19, 2010 Order Appointing a Fund Administrator and Waiving Bond
34-61745Mar. 19, 2010 Notice of Proposed Plan of Distribution and Opportunity for Comment
   Proposed Plan of Distribution
34-56658Oct. 12, 2007 Order Appointmenting Tax Administrator
33-8843Sep. 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

ReleaseDateNotice, Order, or Plan
34-70367Sep. 10, 2013 Order Directing Disbursement of Fair Fund
34-67187Jun. 12, 2012 Order Modifying Distribution Plan and Directing Disbursement
34-62836Sep. 2, 2010 Order Directing Disbursement of Fair Fund
34-62542Jul. 21, 2010 Order Directing Disbursement of Fair Fund
34-61437Jan. 28, 2010 Order Approving Plan, Appointing an Administrator, and Waiving Bond
   Distribution Plan
34-61118Dec. 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


Fidelity National Capital Investors, Inc.

File No. 3-11514

ReleaseDateNotice, Order, or Plan
34-57606Apr. 2, 2008 Order Approving and Ratifying Prior Disbursement of Fair Fund
34-50801Dec. 7, 2004 Order Approving Plan of Fund Distribution and Appointing Administrator
34-50493Oct. 5, 2004 Notice of Proposed Plan of Disgorgement and Fair Fund Distribution and Opportunity for Comment
34-49824Jun. 8, 2004 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions as to Fidelity National Capital Investors, Inc.


Fifth Third Bancorp and Daniel Poston

File No. 3-15635

ReleaseDateNotice, Order, or Plan
34-71515Feb. 10, 2014 Extension Order
33-9490Dec. 4, 2013 Order Instituting Public Administrative and Cease-and Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders and Penalties


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

File No. 3-12737

ReleaseDateNotice, Order, or Plan
34-65152Aug. 17, 2011 Order Directing Disbursement of Distribution Fund
34-64295Apr. 13, 2011 Order Approving Plan of Distribution
   Final Plan of Distribution
34-63994Mar. 1, 2011 Notice of Proposed Plan of Distribution and Opportunity for Comment
   Proposed Plan of Distribution
34-59976May 27, 2009 Order Appointing Tax Administrator
IA-2639Aug. 23, 2007 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, And Imposing Remedial Sanctions and a Cease-and-Desist Order


George B. Franz III and Ruby Corporation

File No. 3-15526

ReleaseDateNotice, Order, or Plan
34-72334 Jun. 5, 2014 Order Appointing Tax Administrator
34-72058 Apr. 30, 2014 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 203(e), (f), and (k) of the Investment Advisers Act of 1940, Section 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940
34-70533 Sep. 26, 2013 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e), (f), and (k) of the Investment Advisers Act of 1940, Section 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940


Fred Alger Management, Inc. and Fred Alger & Company, Incorporated

File No. 3-12540

ReleaseDateNotice, Order, or Plan
34-55888Jun. 8, 2007 Order Appointing Tax Administrator
34-55118Jan. 18, 2007 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

ReleaseDateNotice, Order, or Plan
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

GMB Capital Management LLC (currently known as “Clearstream Investments LLC”); GMB Capital Partners LLC; Gabriel Bitran and Marco Bitran

File No. 3-14854

ReleaseDateNotice, Order, or Plan
34-70591 Oct. 1, 2013 Extension Order
34-68869Feb. 8, 2013 Extension Order
34-68774Jan. 30, 2013 Order Appointing Tax Administrator
33-9315
34-66837
IA-3399
IC-30040
Apr. 20, 2012 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Order

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

File No. 3-15654

ReleaseDateNotice, Order, or Plan
34-72800Aug. 8, 2014 Extension Order
34-72487Jun. 27, 2014 Extension Order
34-72146May 9, 2014 Notice of Proposed Plan of Distribution and Opportunity for Comment
Comments received are available for this proposal.
   Proposed Plan of Distribution
34-71558Feb. 18, 2014 Extension Order
34-71128Dec. 18, 2013 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order


Haidar Capital Management, LLC, Haidar Capital Advisors, LLC, and Said N. Haidar

File No. 3-12678

ReleaseDateNotice, Order, or Plan
34-62200Jun. 1, 2010 Order Approving Plan, Appointing a Fund Administrator, and Waiving Bond
34-61897Apr. 13, 2010 Notice of Proposed Plan of Distribution and Opportunity for Comment
   Proposed Plan of Distribution
33-8820
IA-2617
IC-27883
Jul. 6, 2007 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, Imposing a Cease-and-Desist Order, and Imposing Remedial Sanctions


Hennessee Group LLC and Charles J. Gradante

File No. 3-13454

ReleaseDateNotice, Order, or Plan
34-67514Jul. 26, 2012 Order Directing Disbursement of Fair Fund
34-64156Mar. 31, 2011 Order Approving Plan and Appointing a Fund Administrator
   Final Plan of Distribution
34-63890Feb. 11, 2011 Notice of Proposed Plan of Distribution and Opportunity for Comment
   Proposed Plan of Distribution
34-61477Jan. 29, 2010 Order Appointing Tax Administrator
IA-2871Apr. 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

ReleaseDateNotice, Order, or Plan
34-63290Nov. 9, 2010 Order Directing Disbursement of Fair Fund
34-56292Aug. 21, 2007 Order Approving Application of Fund Administrator for Compensation and Reimbursement of Expenses
34-54663Oct. 27, 2006 Order Approving Application of Fund Administrator for Compensation and Reimbursement of Expenses
34-54554Oct. 2, 2006 Order Approving Modified Plan of Distribution of a Fair Fund
34-54322Aug. 15, 2006 Notice of Modified Plan of Distribution of Disgorgement Fund
   Modified Distribution Plan
34-54218Jul. 26, 2006 Order Approving Application of Fund Administrator for Compensation and Reimbursement of Expenses
34-53495Mar. 16, 2006 Order Approving a Plan of Distribution of a Fair Fund and Appointing a Plan Administrator
   Distribution Plan
34-53035Dec. 29, 2005 Notice of Proposed Plan of Distribution of Disgorgement Fund and Opportunity for Comment by Non-Parties
   Proposed Distribution Plan
34-52884Dec. 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

ReleaseDateNotice, Order, or Plan
34-68737Jan. 25, 2013 Order Establishing Fair Fund, Appointing a Fund Administrator, Approving Distribution Plan and Authorizing Transfer of Distribution Fund
34-68420Dec. 13, 2012 Notice of Proposed Plan of Distribution and Opportunity for Comment
   Proposed Plan of Distribution
34-68200Nov. 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


Ronald E. Huxtable II

File No. 3-15748

ReleaseDateNotice, Order, or Plan
34-72505Jul. 1, 2014 Order Appointing Tax Administrator
33-9547
34-71537
IA-3777
IC-30918
Feb. 12, 2014 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, And Imposing Remedial Sanctions and a Cease-and-Desist Order


International Equity Advisors, LLC and Richard Roger Lund

File No. 3-12068

ReleaseDateNotice, Order, or Plan
34-58490Sept. 8, 2008 Order Directing Disbursement of Fair Fund
34-56220Aug. 8, 2007 Order Approving Distribution Plan
   Plan of Distribution
34-55665Apr. 25, 2007 Notice of Proposed Distribution Plan and Opportunity for Comment
   Proposed Distribution Plan
34-53352Feb. 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


JPMorgan Chase & Co.

File No. 3-15507

ReleaseDateNotice, Order, or Plan
34-73824Dec. 11, 2014 Notice of Proposed Distribution Plan and Opportunity for Comment
   Proposed Distribution Plan
Comments due: 30 days from publication of this Notice
34-72181 May 16, 2014 Extension Order
34-71825 Mar. 27, 2014 Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount
34-71654Mar. 5, 2014 Order Establishing a Fair Fund
34-70780Oct. 30, 2013 Extension Order
34-70615Oct. 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


JP Turner & Company, LLC, and William L. Mello

File No. 3-15014

ReleaseDateNotice, Order, or Plan
34-73322Nov. 25, 2014 Order Approving Plan of Distribution
   Final Plan of Distribution
34-73322Oct. 8, 2014 Notice of Proposed Plan of Distribution and Opportunity for Comment
   Proposed Plan of Distribution
34-72486Jun. 26, 2014 Extension Order
34-68172Nov. 6, 2012 Extension Order
34-67958Oct. 2, 2012 Order Appointing Tax Administrator
34-67808
IA-3460
Sep. 10, 2012 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions


J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. Cube, Mayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, Michael B. Scott

File No. 3-10765

ReleaseDateNotice, Order, or Plan
34-51341Mar. 9, 2005 Order Directing Appointment of Tax Administrator
33-8436
34-49970
Jul. 6, 2004 Opinion in the Matter of Edgar B. Alacan
ID-239Oct. 23, 2003 Initial Decision as to Edgar B. Alacan
33-8279
34-48443
Sep. 4, 2003 Notice That Initial Decision Has Become Final: Mayer Dallal
ID-233Jul. 23, 2003 Initial Decision as to Mayer Dallal
33-8218
34-47611
Apr. 1, 2003 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Michael B. Scott
33-8215
34-47581
Mar. 27, 2003 Order Making Findings and Imposing Remedial Sanctions by Default Against John A. Bruno
33-8211
34-47544
Mar. 20, 2003 Order Making Findings and Imposing Remedial Sanctions by Default Against Danoo Noor, Sr.
33-8203
34-47506
Mar. 14, 2003 Order Making Findings and Imposing Remedial Sanctions by Default Against J.W. Barclay & Co., Inc.
33-8202
34-47498
Mar. 13, 2003 Order Making Findings and Imposing Remedial Sanctions as to Michael J. Wills
33-8201
34-47497
Mar. 13, 2003 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Emmanuel P. Cube
33-8200
34-47496
Mar. 13, 2003 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Emanuele A. Scarso
33-8094
34-45815
Apr. 24, 2002 In the Matter of J.W. Barclay & Co., Inc., et al.


Thomas A. Kolbe

File No. 3-11618

ReleaseDateNotice, Order, or Plan
34-51341Mar. 9, 2005 Order Directing Appointment of Tax Administrator
IA-2288
IC-26588
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.

ReleaseDateNotice, Order, or Plan
34-53447Mar. 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


Michael D. Legoski

File No. 3-11620

ReleaseDateNotice, Order, or Plan
34-51341Mar. 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


Linkbrokers Derivatives LLC

File No. 3-16017

ReleaseDateNotice, Order, or Plan
34-73012Sep. 5, 2014 Order Appointing Tax Administrator
34-72846
Aug. 14, 2014 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant To Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order


Gregg C. Lorenzo, Francis V. Lorenzo, and Charles Vista, LLC

File No. 3-15211

ReleaseDateNotice, Order, or Plan
34-72856Aug. 15, 2014 Order Appointing Tax Administrator
33-9480
34-70904
Nov. 20, 2013 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Respondents Gregg C. Lorenzo and Charles Vista, LLC
33-9385
34-68943
Feb. 15, 2013 Order Instituting Administrative and Cease-and-Desist Proceedings


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

File No. 3-14321

ReleaseDateNotice, Order, or Plan
34-64184Apr. 5, 2011 Order Instituting Public Administrative and Cease-and-Desist Proceedings, 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.

ReleaseDateNotice, 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


Massachusetts Financial Services Co.

File No. 3-11450

ReleaseDateNotice, Order, or Plan
34-51341Mar. 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

ReleaseDateNotice, Order, or Plan
34-65245Sep. 1, 2011 Order Directing Disbursement of Distribution Fund
34-63240Nov. 3, 2010 Order Modifying Distribution Plan and Directing Disbursement
34-59741Apr. 9, 2009 Order Approving and Ratifying Prior Disbursement of Fair Fund
34-59048Dec. 3, 2008 Order Directing Disbursement of Fair Fund
34-58412Aug. 22, 2008 Order Directing Disbursement of Fair Fund
34-58320Aug. 6, 2008 Order Directing Disbursement of Fair Fund
34-58090Ju1. 2, 2008 Order Directing Disbursement of Fair Fund
34-57980Jun. 17, 2008 Order Directing Disbursement of Fair Fund
34-57915Jun. 4, 2008 Order Directing Disbursement of Fair Fund
34-57783May 6, 2008 Order Directing Disbursement of Fair Fund
34-57687Apr. 18, 2008 Order Directing Disbursement of Fair Fund
34-57396Feb. 28, 2008 Order Directing Disbursement of Fair Fund
34-57276Feb. 6, 2008 Order Directing Disbursement of Fair Fund
34-57117Jan. 9, 2008 Order Directing Disbursement of Fair Fund
34-56922Dec. 6, 2007 Order Directing Disbursement of Fair Fund
34-56743Nov. 5, 2007 Order Directing Disbursement of Fair Fund
34-56527Sep. 25, 2007 Revised Order Approving Modified Distribution Plan
34-56122Jul. 24, 2007 Order Approving Modified Distribution Plan
   Plan of Distribution
34-55394Mar. 2, 2007 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan
34-54744Nov. 13, 2006 Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan
34-54440ASep. 14, 2006 Notice of Proposed Distribution Plan and Opportunity for Comment
Comments received are available for this notice
   Proposed Plan of Distribution
34-51829Jun. 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)



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

ReleaseDateNotice, Order, or Plan
34-67513Jul. 26, 2012 Order Directing Disbursement of Fair Fund
34-63445Dec. 6, 2010 Order Directing Disbursement of Fair Fund
34-62057May 12, 2010 Corrected Order Directing Disbursement of Fair Fund
34-60593Aug. 31, 2009 Order Directing Disbursement of Fair Fund
34-60056AJun. 5, 2009 Corrected Order Directing Disbursement of Fair Fund
34-56196Aug. 3, 2007 Order Approving Distribution Plan, Appointing an Administrator, and Waiving Bond
34-55841May 31, 2007 Notice of Proposed Distribution Plan and Opportunity for Comment
Comments received are available for this notice.
   Proposed Plan of Distribution
34-54835 Nov. 29, 2006 Order Permitting Attorney to Resume Appearing and Practicing
33-8748
34-54586
IA-2561
IC-27513
Oct. 11, 2006 Order Making Findings and Imposing Disgorgement and Civil Penalties
34-53452 Mar. 8, 2006 Order Appointing Tax Administrator
33-8639
34-52863
IA-2453
IC-27172
Dec. 1, 2005 Order Instituting Administrative And Cease-and- Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
33-8298
34-48588
IA-2180
IC-26201
Oct. 2, 2003 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions

See also, the following Press Releases:


Timothy J. Miller

File No. 3-11619

ReleaseDateNotice, Order, or Plan
34-51341Mar. 9, 2005 Order Directing Appointment of Tax Administrator
IA-2289
IC-26589
Aug. 30, 2004 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order


MMR Investment Bankers, LLC (d/b/a MMR, INC.), William G. Martin, Jr., Eugene R. Rankin, John A. Hubert, and Aaron D. Fimreite

File No. 3-14163

ReleaseDateNotice, Order, or Plan
33-9221
34-64626
Jun. 8, 2011 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Respondent Aaron D. Fimreite
33-9220
34-64625
Jun. 8, 2011 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Respondent John A. Hubert
33-9219
34-64624
Jun. 8, 2011 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Respondent Eugene R. Rankin
33-9218
34-64623
Jun. 8, 2011 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Respondent William G. Martin, Jr.
33-9217
34-64623
Jun. 8, 2011 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Respondent MMR Investment Bankers, LLC (d/b/a MMR, Inc.)
33-9163
34-64543
Jun. 8, 2011 Order Instituting Administrative and Cease-and-Desist Proceedings


Moon Capital Management

File No. 3-13197

ReleaseDateNotice, Order, or Plan
34-58548Sep. 15, 2008 Order Instituting Administrative and Cease-and-Desist Proceedings


Morgan Asset Management, Inc.; Morgan Keegan & Company, Inc.; James C. Kelsoe, Jr.; and Joseph Thompson Weller, CPA

File No. 3-13847

ReleaseDateNotice, Order, or Plan
34-72599 Jul. 11, 2014 Order Directing Disbursement of Fair Fund
34-70222 Aug. 16, 2013 Order Approving Modified Plan and Setting Fund Administrator Bond Amount
    Modified Plan of Distribution
34-70016Jul. 23, 2013 Extension Order
34-69288Apr. 3, 2013 Notice of Proposed Plan of Distribution and Opportunity for Comment
Comments received are available for this notice.
   Proposed Plan of Distribution
34-65919Dec. 8, 2011 Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-65227Aug. 30, 2011 Order Appointing Fund Administrator
34-64917Jul. 19, 2011 Order Appointing Tax Administrator
34-64720
IA-3218
IC-29704
AAER-3296
Jun. 22, 2011 Corrected Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order, and Imposing Suspension
33-9116
34-61856
IA-3009
IC-29203
AAER-3125
Apr. 7, 2010 Order Instituting Administrative and Cease-and-Desist Proceedings

See also the following Press Release,



Morgan Stanley & Co. Incorporated

File No. 3-12907

ReleaseDateNotice, Order, or Plan
34-70648 Oct. 9, 2013 Order Directing Disbursement of Fair Fund
34-61882Apr. 9, 2010 Order Approving Plan and Appointing a Plan Administrator
   Final Plan of Distribution
34-61598Feb. 26, 2010 Notice of Proposed Plan of Distribution and Opportunity for Comment
   Proposed Plan of Distribution
34-57723
IC-28078
Apr. 28, 2008 Order Appointing Tax Administrator
34-56980
IC-28078
Dec. 18, 2007 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order


North East Capital, LLC and Anthony T. Vicidomine

File No. 3-15429

ReleaseDateNotice, Order, or Plan
34-72419Jun. 18, 2014 Order Appointing Tax Administrator
33-9442
34-70223
IA-3651
IC-30651
Aug. 16, 2013 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order


Paul W. Oliver, Jr.

File No. 3-13554

Note: this case has been consolidated with File No. 3-13553. Future materials will appear at the Mary Beth Stevens listing.

ReleaseDateNotice, Order, or Plan
34-66039Dec. 22, 2011 Notice of Proposed Plan of Distribution and Opportunity for Comment
   Proposed Plan of Distribution
IA-2903
IC-28747
Jul. 17, 2009 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order


Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc.

File No. 3-14909

ReleaseDateNotice, Order, or Plan
34-71493 Feb. 5, 2014 Order Approving Plan of Distribution
   Plan of Distribution
34-71119Dec. 18, 2013 Notice of Proposed Plan of Distribution and Opportunity for Comment
   Proposed Plan of Distribution
34-70244Aug. 21, 2013 Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-69873Jun. 27, 2013 Order Granting Extenstion of Time to Submit Proposed Plan of Distribution
34-69418Apr. 19, 2013 Order Granting Extenstion of Time to Submit Proposed Plan of Distribution
34-69138Mar. 14, 2013 Order Appointing Fund Administrator and Approving Fund Administrator Bond
34-67363Jul. 6, 2012 Order Appointing Tax Administrator
33-9329
34-67142
IA-3417
IC-30099
Jun. 6, 2012 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order


Oxford Investment Partners, LLC and Walter J. Clarke

File No. 3-14899

ReleaseDateNotice, Order, or Plan
34-68993Feb. 27, 2013 Order Appointing Tax Administrator
IA-3554
IC-30385
Feb. 15, 2013 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Walter J. Clarke
IA-3553
IC-30384
Feb. 15, 2013 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Oxford Investment Partners, LLC
IA-3412
IC-30086
May 30, 2012 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing


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

File No. 3-12868

ReleaseDateNotice, Order, or Plan
34-72598Jul. 11, 2014 Order Directing Disbursement of Disgorgement Fund
34-65936Dec. 12, 2011 Order Approving Distribution Plan
   Final Plan of Distribution
34-65498Oct. 6, 2011 Order Appointing a Fund Administrator and Approving Administrator Bond
34-65490Oct. 6, 2011 Notice of Proposed Plan of Distribution and Opportunity for Comment
   Proposed Plan of Distribution
34-60852Oct. 21, 2009 Order Appointing Tax Administrator
33-8858
34-56672
Oct. 18, 2007 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order


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

File No. 3-11645

ReleaseDateNotice, Order, or Plan
34-65935Dec. 9, 2011 Order Directing Disbursement of Fair Fund
34-64477May 12, 2011 Order Directing Disbursement of Fair Fund
34-63518Dec. 10, 2010 Order Approving Plan of Distribution, Appointing a Fund Administrator, and Waiving Bond
   Final Plan of Distribution
34-63059Oct. 7, 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
34-50354
IA-2292
IC-26594
Sep. 13, 2004 Order Instituting Administrative and Cease-and-Desist Proceedings Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order


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

File No. 3-13532

ReleaseDateNotice, Order, or Plan
34-71118Dec. 18, 2013 Order Directing Disbursement of Fair Fund Residual
34-66947May 8, 2012 Order Approving and Ratifying Prior Disbursement
34-64081Mar. 14, 2011 Order Approving Distribution Plan of a Fair Fund and Appointing a Fund Administrator
34-63813Feb. 1, 2011 Notice of Proposed Modified Plan of Distribution and Opportunity for Comment
   Proposed Modified Plan of Distribution
34-63563Dec. 16, 2010 Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells
34-62979Sep. 23, 2010 Notice of Proposed Plan of Distribution and Opportunity for Comment
   Proposed Plan of Distribution
34-62264Jun. 10, 2010 Order Appointing Tax Administrator
33-9113
34-61719
Mar. 16, 2010 Order Making Findings and Imposing Remedial Sanctions as to Prime Capital Services, Inc. and Gilman Ciocia, Inc.
34-61079
IA-2957
Nov. 30, 2009 Order Making Findings and Imposing Remedial Sanctions as to Christie A. Andersen
33-9047
34-60190
IA-2898
Jun. 30, 2009 Order Instituting Administrative and Cease-and-Desist Proceedings
  Jun. 30, 2009 Order Instituting Administrative and Cease-and-Desist Proceedings


Prudential Equity Group, LLC f/k/a Prudential Securities Inc.

File No. 3-12400

ReleaseDateNotice, Order, or Plan
34-64328Apr. 22, 2011 Order Directing Disbursement of Distribution Fund
34-62848Sep. 3, 2010 Order Directing Disbursement of Distribution Fund
34-62551Jul. 22, 2010 Order Directing Disbursement of Distribution Fund
34-62265Jun. 10, 2010 Order Directing Disbursement of Distribution Fund
34-61974Apr. 23, 2010 Corrected Order Directing Disbursement of Distribution Fund
34-61691Mar. 11, 2010 Corrected Order Directing Disbursement of Distribution Fund
34-61501Feb. 4, 2010 Order Approving Distribution Plan, Appointing a Fund Administrator, and Waiving Bond
34-61117Dec. 4, 2009 Notice of Proposed Distribution Plan and Opportunity For Comment
   Proposed Plan of Distribution
34-54470Sep. 19, 2006 Order Appointing Tax Administrator
34-54371 Aug. 28, 2006 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
33-8734
34-54372
Aug. 28, 2006 Order Granting Waivers
33-8733Aug. 28, 2006 Order Granting a Waiver


Putnam Investment Management LLC

File No. 3-11868

ReleaseDateNotice, Order, or Plan
34-53042Dec. 29, 2005 Order Appointing Plan Administrator
34-53041Dec. 29, 2005 Order Directing Appointment of Tax Administrator
IA-2425
IC-27062
Sep. 12, 2005 Order Approving a Plan of Distribution of a Fair Fund and Appointing a Plan Administrator
IA-2387
IC-26873
May 19, 2005 Notice of Proposed Plan for the Distribution of a Fair Fund and Opportunity for Comment
IA-2370
IC-26788
Mar. 23, 2005 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 Putnam Pays $40 Million Fine to Settle SEC Enforcement Action (Press Release No. 2005-40, March 23, 2005)



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

File No. 3-14564

ReleaseDateNotice, Order, or Plan
33-9262
34-65404
IA-3289
Sep. 27, 2011 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also, SEC Charges RBC Capital Markets in Sale of Unsuitable CDO Investments to Wisconsin School Districts (Press Release No. 2011-191, September 27, 2011)



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

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

ReleaseDateNotice, 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)


Charles L. Rizzo and Gina M. Hornbogen

File No. 3-14641

ReleaseDateNotice, Order, or Plan
34-72667 Jul. 24, 2014 Order Approving Amended Plan of Distribution
    Amended Distribution Plan
34-72429 Jun. 18, 2014 Notice of Amended Proposed Plan of Distribution and Opportunity for Comment
    Amended Proposed Distribution Plan
34-71831 Mar. 28, 2014 Extension Order
34-71448 Jan. 30, 2014 Extension Order
34-70965 Dec. 3, 2013 Extension Order
34-70573 Sep. 30, 2013 Notice of Proposed Plan of Distribution and Opportunity for Comment
Comments received are available for this proposed plan.
    Proposed Distribution Plan
34-68264 Nov. 19, 2012 Order Appointing Tax Administrator
34-68264
IA-3436
Jul. 20, 2012 Order Making Findings and Imposing Remedial Sanctions
34-65829
IA-3321
Nov. 28, 2011 Order Instituting Administrative Proceedings


Armando Ruiz and Maradon Holdings, LLC

File No. 3-14388

ReleaseDateNotice, 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


Sarkauskas and Associates, Inc. and James M. Sarkauskas

File No. 3-15471

ReleaseDateNotice, Order, or Plan
34-73323 Oct. 8, 2014 Order Appointing Tax Administrator
34-70388
IA-3669
IC-30687
Sep. 13, 2013 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order


J. Michael Scarborough and Royal Alliance Associates, Inc.

File No. 3-11538

ReleaseDateNotice, Order, or Plan
34-67002May 16, 2012 Order Directing Disbursement of Fair Fund
34-62210Jun. 2, 2010 Order Directing Disbursement of Fair Fund
34-59930May 15, 2009 Order Approving Plan of Distribution
   Proposed Distribution Plan
34-59368Feb. 6, 2009 Notice of Proposed Plan of Distribution and Opportunity for Comment
34-54838Nov. 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


Mark Shaw

File No. 3-14192

Note: this case has been consolidated with File No. 3-14191. Future materials will appear at the BNY Mellon Securities LLC listing.

ReleaseDateNotice, Order, or Plan
33-9215Jun. 2, 2011 Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-63937Feb. 22, 2011 Order Appointing Tax Administrator
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


Smith Barney Fund Management LLC and Citigroup Global Markets, Inc.

File No. 3-11935

ReleaseDateNotice, Order, or Plan
34-65460Sep. 30, 2010 Order Modifying the Distribution Plan
34-62088May 12, 2010 Order Directing Disbursement of Fair Fund
34-61917Apr. 15, 2010 Order Approving Plan of Distribution
   Final Plan of Distribution
34-61587Feb. 25, 2010 Notice of Proposed Plan of Distribution and Extension of Opportunity for Comment
   Proposed Plan of Distribution (with attachments)
34-61312Jan. 7, 2010 Notice of Proposed Plan of Distribution and Opportunity for Comment
34-53453Mar. 8, 2006 Order Appointing Tax Administrator
33-8577
34-51762
May 31, 2005 Order Granting Waivers
33-8576May 31, 2005 Order Granting a Waiver
34-51761
IA-2390
May 31, 2005 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order


Southwest Securities, Inc., Daniel R. Leland, Kerry M. Rigdon and Kevin J. Marsh

File No. 3-11793

ReleaseDateNotice, Order, or Plan
34-65016Aug. 2, 2011 Order Directing Disbursement of Fair Fund
34-63172Oct. 25, 2010 Order Approving Plan of Distribution
   Final Plan of Distribution
34-62810Sep 1, 2010 Order Appointing Fund Administrator and Waiving the Bond Requirement
34-62809Sep. 1, 2010 Notice of Proposed Plan of Distribution and Opportunity for Comment
   Proposed Plan of Distribution
34-53460Mar. 9, 2006 Order Appointing Tax Administrator
33-8521Jan. 10, 2005 Order Granting a Waiver
34-51002
IA-2341
IC-26721
Jan. 10, 2005 Order Instituting Public Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions, and Instituting Cease-and-Desist Proceedings and Imposing a Cease-and-Desist Order


Specialist

Bear Wagner Specialists LLC, File No. 3-11445
Fleet Specialist, Inc., File No. 3-11446
LaBranche & Co. LLC, File No. 3-11447
Spear, Leeds & Kellogg Specialists LLC, File No. 3-11448
Van der Moolen Specialists USA, LLC, File No. 3-11449
Performance Specialist Group LLC, File No. 3-11558
SIG Specialists, Inc., File No. 3-11559

See also the following Press Releases:

ReleaseDateNotice, Order, or Plan
34-67809Sep. 10, 2012 Order Denying Request of Robert J. Peacock for "Review And Repeal" of Commission's Order of May 26, 2011
34-64553May 26, 2011 Order Approving Transfer of Remaining Distribution Funds to the U.S. Treasury
Note: See also the Dissent of Commissioner Paredes in this matter
34-61199ADec. 17, 2009 Corrected Order Approving a Distribution, Authorizing Disbursement of Funds, Modifying Prior Order, and Modifying Distribution Plan
34-60403Jul. 30, 2009 Notice of Closing of the Distribution Funds and Opportunity for Comment as to Use of Remaining Funds
Comments received are available for this proposal.
34-60402Jul. 30, 2009 Order Approving Audit Reports, Announcing the Decision to Close the Distribution Funds Following a Final Distribution, Approving Publication of a Notice Seeking Comments on the Use of the Remaining Funds, Modifying Prior Order and Modifying Distribution Plan
34-58035Jun. 26, 2008 Order Approving a Distribution, Authorizing Disbursement of Funds, Modifying Prior Order, and Modifying Distribution Plan
34-56944Dec. 12, 2007 Order Approving a Distribution and Authorizing Disbursement of Funds
34-55915Jun. 15, 2007 Order Approving a Distribution, Authorizing Disbursement of Funds, Modifying Prior Order, and Modifying Distribution Plan
34-54815Nov. 24, 2006 Order Approving a Distribution and Authorizing Disbursement of Funds
34-54102Jul. 5, 2006 Order Modifying Prior Order, Modifying Distribution Plan, Approving a Distribution, and Authorizing Disbursement of Funds
   Fund Administrator's Modified Fair Fund Distribution Plan
34-53823May 17, 2006 Order Approving a Distribution Plan
34-53025Dec. 27, 2005 Notice of Proposed Distribution Plan and Opportunity for Comment
Comments received are available for this proposal.
   Fund Administrator's Proposed Fair Fund Distribution Plan
Order Authorizing Disbursement of Funds from Fair Fund to Pay Estimated Taxes
34-52443Sep. 15, 2005 Bear Wagner Specialists LLC
34-52442Sep. 15, 2005 Fleet Specialist, Inc.
34-52441Sep. 15, 2005 LaBranche & Co. LLC
34-52440Sep. 15, 2005 Performance Specialist Group LLC
34-52439Sep. 15, 2005 Spear, Leeds & Kellogg Specialists LLC
34-52438Sep. 15, 2005 SIG Specialists, Inc.
34-52437Sep. 15, 2005 Van der Moolen Specialists, USA, LLC
Order Modifying Prior Orders, Extending Period of Time Granted to Heffler, Radetich & Saitta L.L.P. to Submit Plan Identifying Injured Customers
34-52233Aug. 10, 2005 LaBranche & Co. LLC
34-52232Aug. 10, 2005 SIG Specialists, Inc.
34-52231Aug. 10, 2005 Performance Specialist Group LLC
34-52230Aug. 10, 2005 Van der Moolen Specialists, USA, LLC
34-52229Aug. 10, 2005 Spear, Leeds & Kellogg Specialists LLC
34-52228Aug. 10, 2005 Bear Wagner Specialists LLC
34-52227Aug. 10, 2005 Fleet Specialist, Inc.
Order Authorizing Disbursement of Funds from Fair Fund to Pay Estimated Taxes
34-51849Jun. 14, 2005 SIG Specialists, Inc.
34-51848Jun. 14, 2005 Performance Specialist Group LLC
34-51847Jun. 14, 2005 Van der Moolen Specialists, USA, LLC
34-51846Jun. 14, 2005 Spear, Leeds & Kellogg Specialists LLC
34-51845Jun. 14, 2005 LaBranche & Co. LLC
34-51844Jun. 14, 2005 Fleet Specialist, Inc.
34-51843Jun. 14, 2005 Bear Wagner Specialists LLC
Order Authorizing Disbursement of Funds from Fair Fund to Pay Estimated Taxes
34-51557Apr. 15, 2005 Van der Moolen Specialists, USA, LLC
34-51556Apr. 15, 2005 Spear, Leeds & Kellogg Specialists LLC
34-51555Apr. 15, 2005 SIG Specialists, Inc.
34-51554Apr. 15, 2005 Performance Specialist Group LLC
34-51553Apr. 15, 2005 LaBranche & Co. LLC
34-51552Apr. 15, 2005 Fleet Specialist, Inc.
34-51551Apr. 15, 2005 Bear Wagner Specialists LLC
Order Modifying Prior Order, Extending Period of Time Granted to Heffler, Radetich & Saitta L.L.P. to Submit Plan Identifying Injured Customers
34-51495Apr. 6, 2005 Bear Wagner Specialists LLC
34-51494Apr. 6, 2005 Fleet Specialist, Inc.
34-51493Apr. 6, 2005 LaBranche & Co. LLC
34-51492Apr. 6, 2005 Spear, Leeds & Kellogg Specialists LLC
34-51491Apr. 6, 2005 Van der Moolen Specialists, USA, LLC
34-51490Apr. 6, 2005 Performance Specialist Group LLC
34-51489Apr. 6, 2005 SIG Specialists, Inc.
Order Supplementing Prior Order, Creating a Fair Fund, Appointing Heffler, Radetich & Saitta L.L.P. as Fund Administrator, and Directing the Transfer of Funds
34-50535Oct. 13, 2004 Van der Moolen Specialists, USA, LLC
34-50534Oct. 13, 2004 SIG Specialists, Inc.
34-50533Oct. 13, 2004 Spear, Leeds & Kellogg Specialists LLC
34-50532Oct. 13, 2004 Performance Specialist Group LLC
34-50531Oct. 13, 2004 LaBranche & Co. LLC
34-50530Oct. 13, 2004 Fleet Specialist, Inc.
34-50529Oct. 13, 2004 Bear Wagner Specialists LLC
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
34-50076Jul. 26, 2004 SIG Specialists, Inc.
34-50075Jul. 26, 2004 Performance Specialist Group LLC
34-49502Mar. 30, 2004 Van der Moolen Specialists, USA, LLC (Corrected Order)
34-49501Mar. 30, 2004 Spear, Leeds & Kellogg Specialists LLC
34-49500Mar. 30, 2004 LaBranche & Co. LLC
34-49499Mar. 30, 2004 Fleet Specialist, Inc.
34-49498Mar. 30, 2004 Bear Wagner Specialists LLC


Ronald St. Clair, CPA, and Lawrence Swan, CA

File No. 3-14615

ReleaseDateNotice, Order, or Plan
33-9274
34-65698
IC-29856
Nov. 7, 2011 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order


Mary Beth Stevens

File No. 3-13553

ReleaseDateNotice, Order, or Plan
34-68732Jan. 25, 2013 Order Directing Disbursement of Fair Fund
34-66468Feb. 24, 2012 Order Approving Plan of Distribution and Appointing a Fund Administrator
   Final Plan of Distribution
34-66039Dec. 22, 2011 Notice of Proposed Plan of Distribution and Opportunity for Comment
   Proposed Plan of Distribution
IA-2973Jan. 5, 2010 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order
IA-2902Jul. 17, 2009 Securities and Exchange Commission Institutes Administrative Proceedings Against Mary Beth Stevens
 Jul. 17, 2009 Order Instituting Administrative and Cease-and-Desist Proceedings


Strong Capital Management, Inc., Strong Investor Services, Inc., Strong Investments, Inc., Richard S. Strong, Thomas A. Hooker, Jr. and Anthony J. D'Amato

File No. 3-11498

ReleaseDateNotice, Order, or Plan
34-64327Apr. 22, 2011 Order Directing Disbursement of Fair Fund
34-63143Oct. 21, 2010 Order Directing Disbursement of Fair Fund
34-62475Jul. 8, 2010 Order Directing Disbursement of Fair Fund
34-60667Sep. 14, 2009 Order Approving Distribution Plan, Appointing an Administrator, and Waiving Bond
34-60406Jul. 30, 2009 Notice of Proposed Distribution Plan and Opportunity for Comment
   Proposed Plan of Distribution
34-51694
IA-2383
IC-26868
May 13, 2005 Order Modifying Prior Order to Extend Period of Time During Which Richard S. Strong May Hold His Ownership Interest in Strong Capital Management, Inc., Strong Investor Services, Inc. and Strong Investments, Inc.
34-51341Mar. 9, 2005 Order Directing Appointment of Tax Administrator
34-49741
IA-2239
IC-26448
May 20, 2004 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders


Keith MacDonald Summers

File No. 3-16014

ReleaseDateNotice, Order, or Plan
34-73400Oct. 21, 2014 Extension Order
34-73073Sep. 11, 2014 Order Appointing Tax Administrator
33-9630
34-72836
IA-3895
IC-31210
Aug. 13, 2014 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order


UBS Financial Services Inc. of Puerto Rico

File No. 3-14863

ReleaseDateNotice, Order, or Plan
34-68600Jan. 8, 2013 Order Appointing a Fund Administrator and Approving Fund Administrator Bond
33-9343
34-67526
Jul. 27, 2012 Order Extending the Time by Which UBS PR Shall Submit to the Commission the Findings of the Independent Consultant Making Recommendations for Any Changes in or Improvements To UBS PR’s Policies, Procedures, and Practices, and a Procedure for Implementing Such Recommended Changes
33-9332
34-67359
Jul. 5, 2012 Order Extending Time to Retain an Independent Third-Party Consultant
34-67148Jun. 6, 2012 Extension Order
34-67042May 22, 2012 Order Appointing Tax Administrator
33-9318
34-66893
May 1, 2012 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order


Value Line, Inc., Value Line Securities, Inc., Jean Bernhard Buttner, and David Henigson

File No. 3-13675

ReleaseDateNotice, Order, or Plan
34-69469Apr. 26, 2013 Order Directing Disbursement of Fair Fund
34-63640Jan. 4, 2011 Order Approving Distribution Plan
   Final Plan of Distribution
34-63269Nov. 8, 2010 Notice of Proposed Plan of Distribution and Opportunity for Comment
   Proposed Plan of Distribution
34-62837Sep. 2, 2010 Order Appointing a Fund Administrator and Waiving Bond
34-61316Jan. 8, 2010 Extension Order
34-61045Nov. 20, 2009 Order Appointing Tax Administrator
33-9081
34-60936
IA-2945
IC-28989
Nov. 4, 2009 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order


Waddell & Reed, Inc., Waddell & Reed Investment Management Company, and Waddell & Reed Services Company

File No. 3-12372

ReleaseDateNotice, Order, or Plan
34-72610Jul. 15, 2014 Order Directing Disbursement of a Fair Fund
34-70151Aug. 9, 2013 Order Approving Plan of Distribution, Appointing a Fund Administrator, and Waiving Bond Requirement
34-69437Apr. 23, 2013 Notice of Proposed Plan of Distribution and Opportunity for Comment
   Proposed Plan of Distribution
34-55369Feb. 28, 2007 Order Appointing Tax Administrator
34-54193
IA-2537
IC-27424
Jul. 24, 2006 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also:



Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC and Shawn Patrick McMurtry

File No. 3-14982

ReleaseDateNotice, Order, or Plan
34-69917Jul. 2, 2013 Order Appointing Fund Administrator and Approving Fund Administrator Bond Amount
34-69149Mar. 15, 2013 Extension Order
34-67972Oct. 3, 2012 Extension Order
34-67829Sep. 11, 2012 Order Appointing Tax Administrator
33-9349
34-67649
IC-30167
Aug. 14, 2012 Order Instituting Administrative and Cease-and-Desist Proceedings Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order


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

File No. 3-14320

ReleaseDateNotice, Order, or Plan
33-9201Apr. 5, 2011 Order Granting Waivers as to Wells Fargo Securities and Its Affiliates
33-9200Apr. 5, 2011 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also:



West Coast Asset Management, Inc. and Lance W. Helfert

File No. 3-15660

ReleaseDateNotice, Order, or Plan
34-71474 Feb. 4, 2014 Order Appointing Tax Administrator
33-9501
34-3746
Dec. 23, 2013 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8a of the Securities Act of 1933, and Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order


Zurich Capital Markets Inc.

File No. 3-12628

ReleaseDateNotice, Order, or Plan
34-63420Dec. 2, 2010 Order Directing Disbursement of Fair Fund
34-62217Jun. 3, 2010 Order Approving Plan, Appointing a Fund Administrator, and Waiving Bond
    Final Plan of Distribution
34-61918Apr. 15, 2010 Notice of Proposed Distribution Plan and Opportunity for Comment
    Proposed Plan of Distribution
34-56397Sep. 12, 2007 Order Appointing Tax Administrator
34-55711
IC-27819
May 7, 2007 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

 

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


Modified: 12/11/2014