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

June 7, 2021

For information on how the SEC administers Fair Funds, see Rules of Practice and Rules on Fair Funds and Disgorgement Plans. For information on the current tax administrator, see Release No. 34-85174 (February 22, 2019).

List of Cases

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Alexander Capital, L.P. (3-18561)
Alexander S. Gould (3-19965)
Ameriprise Financial, Inc. (formerly American Express Financial Corporation) (3-12114)
Anastasios P. "Tommy" Belesis (3-18088)
Anthony Coronati and Bidtoask LLC (3-16203)
Augustine Capital Management, LLC, (f/k/a Augustine Capital Management, Inc.) et al. (3-17740)
Bankrate, Inc. and Hyunjin Lerner, CPA (3-16786; 3-16787)
Bethany Liou (3-19597)
BitClave PTE, Ltd. (3-19816)
BKS Advisors, LLC and Roger T. Denha (3-18648; 3-18649)
BlueCrest Capital Management Limited (3-20162)
BNY Mellon Securities LLC and Mark Shaw (3-14191, 3-14192)
Canadian Imperial Holdings Inc. and CIBC World Markets Corp. (3-11987)
Centaur Management Co. LLC (3-14950)
Charles L. Rizzo and Gina M. Hornbogen (3-14641)
Charles W. Crouse and Norman R. Hess (3-11515)
CIHC, Inc., Conseco Services, LLC, and Conseco Equity Sales, Inc. (3-11578)
Citigroup Alternative Investments LLC and Citigroup Global Markets Inc. (3-16757)
Citigroup Global Markets, Inc. (3-17808)
Clayborne Group, LLC and Dean A. Heinemann (3-18423)
Columbia Management Advisors, Inc. and Columbia Funds Distributor, Inc. (3-11814)
Computer Sciences Corporation, Michael Laphen, Michael Mancuso,
Wayne Banks, Claus Zilmer, and Paul Wakefield (3-16575)
Cornerstone Capital and Laura Jean Kent (3-13199)
Covia Holdings Corp. and Fairmount Santrol Holdings Inc. Now Known as Bison Merger Sub I, LLC (3-20163)
Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.), Credit Suisse Asset Management, LLC, and Samir H. Bhatt (3-14594)
Credit Suisse Securities (USA) LLC; Sanford Michael Katz (3-17899 and 3-17900)
Credit Suisse Securities (USA) LLC, DLJ Mortgage Capital, Inc., Credit Suisse First Boston Mortgage Acceptance Corp., Credit Suisse First Boston Mortgage Securities Corp., and Asset Backed Securities Corporation (3-15098)
David F. Bandimere (3-15124)
Derik J. Todd, et al. (3-17672)
DeVere USA, Inc. (3-18527)
EZTD, Inc.
FCA US LLC and Fiat Chrysler Automobiles N.V. (3-19541)
Fiat Chrysler Automobiles N.V. (3-20092)
Fidelity National Capital Investors, Inc. (3-11514)
Fieldstone Financial Management Group, LLC and Kristofor R. Behn (3-19227)
Fifth Street Management, LLC (3-18909)
Fifth Third Bancorp and Daniel Poston (3-15635)
First Southwest Company, LLC (3-17154)
Focus Media Holding Limited and Jason Jiang (3-16852)
Fortress Investment Management, LLC, and William M. Malloy, III (3-19715)
Foundations Asset Management, LLC, Michael W. Shamburger, and Rob E. Wedel (3-19266)
Fred Alger Management, Inc. (3-12540)
Gemini Fund Services, LLC (3-18348)
General Electric Company (3-20165)
George B. Franz III and Ruby Corporation (3-15526)
GMB Capital Management LLC; GMB Capital Partners LLC; Gabriel Bitran and Marco Bitran (3-14854)
Gregg C. Lorenzo, Francis V. Lorenzo, and Charles Vista, LLC (3-15211)
G-Trade Services LLC, ConvergEx Global Markets Limited, and ConvergEx Execution Solutions LLC (3-15654)
Haidar Capital Management, LLC, Haidar Capital Advisors, LLC, and Said N. Haidar (3-12678)
Houston American Energy Corp., John F. Terwilliger, Jr., Undiscovered Equities Inc., and Kevin T. McKnight (3-16000)
Howard Richards; James Goodland, and Securus Wealth Management, LLC (3-16877; 3-16878)
IFS Securities (3-19220)
Institutional Investors Advisory Company (3-18114)
Jeremy A. Licht d/b/a JL Capital Management (3-18171)
JPMorgan Chase & Co. (3-15507)
JP Turner & Company, LLC, and William L. Mello (3-15014)
J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. Cube, Mayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, Michael B. Scott (3-10765)
Keith MacDonald Summers (3-16014)
Kendall J. Groom, CPA (3-19301)
Kenneth C. Meissner, James Doug Scott and Mark S. "Mike" Tomich (3-16175)
Kroll Bond Rating Agency, LLC (3-20097)
Laurence I. Balter d/b/a Oracle Investment Research (3-17614)
Leonardo Cornide and Jorge Falcon (3-19511)
Linkbrokers Derivatives LLC and Aaron Nowak (3-16017; 3-16999)
Logitech International, S.A., Michael Doktorczyk, and Sherralyn Bolles, CPA (3-17212)
Lovelock & Lewes, Price Waterhouse, Bangalore, Price Waterhouse & Co., Bangalore, Price Waterhouse, Calcutta, and Price Waterhouse & Co., Calcutta (3-14321)
MagnaChip Semiconductor Corporation and Margaret Hye-Ryoung Sakai, CPA (3-17956)
Mancera, S.C., Alejandro Valdez Mendoza, C.P., and Angel Radames Corral Nieblas, C.P. (3-20173)
Mark Grahm, Blue Capital., et al. (3-18724)
Maxwell Technologies, Inc., Van M. Andrews, David J. Schramm, and James W. Dewitt, Jr., CPA (3-18408)
Mergenet Medical, Inc., Bruce Matthew Sher, Shara Anne Hernandez, and Peter Anthony DeCicco, Jr. (3-18253)
Michael S. Wilson, CPA and Cotterman-Wilson, CPAs, Inc.; James T. Budden and Alexander W. Budden (3-16652; 3-16892)
MiddleCove Capital, LLC, and Noah L. Myers (3-14993)
MMR Investment Bankers, LLC (d/b/a MMR, INC.), William G. Martin, Jr., Eugene R. Rankin, John A. Hubert, and Aaron D. Fimreite (3-14163)
Morgan Stanley, Co. LLC; Morgan Stanley ABS Capital I Inc.; and Morgan Stanley Mortgage Capital Holdings LLC (3-15982)
Morgan Stanley Smith Barney LLC (3-17809)
Morgan Stanley Smith Barney LLC (3-19793)
MVP Manager LLC (3-19334)
North East Capital, LLC and Anthony T. Vicidomine (3-15429)
Northern Trust Hedge Fund Services LLC and Northern Trust Global Fund Services Cayman Limited (3-20030)
Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc. (3-14909)
Orthofix International N.V.; Jeffrey Hammel, CPA; Brian McCollum; Kenneth Mack and Bryan McMillan (3-17791, 3-17792, 3-17793, 3-17794)
Oxford Investment Partners, LLC and Walter J. Clarke (3-14899)
Paragon Coin, Inc. (3-18897)
Pennant Management, Inc. (3-18884)
Peter Kuperman and QED Benchmark Management LLC (3-17075)
Petróleo Brasileiro S.A. - Petrobras (3-18843)
Quantek Asset Management, LLC, et al. (3-14893)
Reliance Financial Advisors, LLC (3-16311)
Robinhood Financial, LLC (3-20171)
Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr. (3-17315)
S&P Dow Jones Indices LLC (3-20310)
Sandra Dyche (3-16398)
Scott A. Doak (3-16941)
Securities America Advisors (3-20150)
Sica Wealth Management, LLC and Jeffrey C. Sica (3-19716)
Signator Investors, Inc. and Gregory J. Mitchell; Cory D. Williams (3-16753 and 3-16754)
Six Financial Inc. (3-18234)
Serge Matta (3-19500)
Steven Durrelle Williams (3-16246)
Strong Capital Management, Inc., Strong Investor Services, Inc., Strong Investments, Inc., Richard S. Strong, Thomas A. Hooker, Jr. and Anthony J. D'Amato (3-11498)
Success Trade, Inc., Success Trade Securities, Inc., and Fuad Ahmed (3-16755)
Super Micro Computer, Inc. and Howard Hideshima (3-19927, 3-19928)
Taberna Capital Management, LLC, Michael Fralin, and Raphael Licht (3-16776)
Train and Babcock Advisors LLC (3-18324)
Trinity Capital Corporation and William C. Enloe (3-16837, 3-16838)
UBS Financial Services Inc. of Puerto Rico (3-14863)
UBS Financial Services Inc. of Puerto Rico and Ramiro L. Colon, III (3-16846, 3-16847)
Unikrn, Inc. (3-20003)
Value Line, Inc., Value Line Securities, Inc., Jean Bernhard Buttner, and David Henigson (3-13675)
VEREIT, Inc. (3-19831)
Visium Asset Management, LP (3-18473)
Weatherford International PLC, et al. and Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA (3-17582, 3-17628)
Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC and Shawn Patrick McMurtry (3-14982)
Wells Fargo & Company (3-19704)
William B. Fretz, Jr., John P. Freeman, Covenant Capital Management Partners, L.P., and Covenant Partners, L.P. (3-16829)
Wilmington Trust Corporation (3-16098)
Wireline, Inc. (3-20206)

Alexander Capital, L.P.

File No. 3-18561

Release	Date	Notice, Order, or Plan
34-86382	Jul. 15, 2019	Order Appointing Tax Administrator
34-83562	Jun. 29, 2018	Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions

Alexander S. Gould

File No. 3-19965

Release	Date	Notice, Order, or Plan
34-89785	Sep. 8, 2019	Order Directing Payment of Certain Funds Received by the Commission
IA-5574	Sep. 8, 2018	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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

File No. 3-12114

Release	Date	Notice, Order, or Plan
34-85641	Apr. 15, 2019	Order Directing Disbursement of Fair Fund
34-82231	Dec. 7, 2017	Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-77816	May. 12, 2016	Order Approving Plan of Distribution
34-77498	Apr. 1, 2016	Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-77497	Apr. 1, 2016	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
IA-2452 IC-27171	Dec. 1, 2005	Order Directing Appointment of Tax Administrtor
IA-2451 IC-27170	Dec. 1, 2005	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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

Anastasios P. "Tommy" Belesis

File No. 3-18088

Release	Date	Notice, Order, or Plan
34-86181	Jun. 24, 2019	Order Appointing Tax Administrator
33-10395 34-81276 IC-32772	Aug. 1, 2017	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Anthony Coronati and Bidtoask LLC

File No. 3-16203

Release	Date	Notice, Order, or Plan
34-83179	May 7, 2018	Order Directing Disbursement of Fair Fund
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-80469	Apr. 17, 2017	Order Approving Plan of Distribution
		Plan of Distribution
34-80087	Feb. 22, 2017	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-73475	Oct. 30, 2014	Order Appointing Tax Administrator
33-9666 34-73381 IA-3954 IC-31293	Oct. 17, 2014	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Augustine Capital Management, LLC, (f/k/a Augustine Capital Management, Inc.), et al.

File No. 3-17740

Release	Date	Notice, Order, or Plan
34-88510	Mar. 30, 2020	Order Directing Disbursement of Fair Fund
34-85340	Mar. 18, 2019	Order Approving Plan of Distribution
		Distribution Plan
34-84675	Nov. 29, 2018	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Distribution Plan
34-82590	Jan. 26, 2018	Extension Order
34-82330	Dec. 14, 2017	Order Appointing Tax Administrator
IA-4800	Oct. 26, 2017	Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 203(E), 203(F) And 203(K) of The Investment Advisers Act Of 1940, and Section 9(B) of The Investment Company Act Of 1940 and Instituting Public Administrative Proceedings, and Imposing Sanctions Pursuant to Rule 102(E) of the Commission’s Rules of Practice as to Thomas F. Duszynski, CPA

Bankrate, Inc. and Hyunjin Lerner, CPA

File Nos. 3-16786 and 3-16787

Release	Date	Notice, Order, or Plan
34-90188	Oct. 15, 2020	Order Approving Plan of Distribution
		Distribution Plan
34-89711	Aug. 28, 2020	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-82535	Jan. 18, 2018	Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-80626	May 8, 2017	Order Establishing a Fair Fund
34-77924	May 26, 2016	Order Appointing Tax Administrator
34-77016	Feb. 2, 2016	Omnibus Order Directing the Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution Funds
33-9902 34-75850 AAER-3684	Sep. 8, 2015	Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
33-9901 34-75849 AAER-3683	Sep. 8, 2015	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Cease-and-Desist Order and Civil Penalty

Bethany Liou

File No. 3-19597

Release	Date	Notice, Order, or Plan
34-91815	May 10, 2020	Order Directing Disbursement of Distribution Fund
34-90625	Dec. 10, 2020	Order Approving Plan of Distribution
		Distribution Plan (Corrected)
34-90285	Oct. 29, 2020	Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
34-89755	Sep. 2, 2020	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Distribution Plan Comments received are available for this plan.
34-88442	Mar. 20, 2020	Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-87644	Dec. 2, 2019	Order Appointing Tax Administrator
33-10725	Nov. 4, 2019	Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing a Cease-and-Desist Order

BitClave PTE, Ltd.

File No. 3-19816

Release	Date	Notice, Order, or Plan
34-91647	Apr. 22, 2021	Order Appointing Fund Administrator and Setting Bond Amount
34-90545	Dec. 1, 2020	Order Appointing Tax Administrator
33-10788	May 28, 2020	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order

BKS Advisors, LLC and Roger T. Denha

File Nos. 3-18648 and 3-18649

Release	Date	Notice, Order, or Plan
34-89113	Jun. 22, 2020	Order Directing Disbursement of Fair Fund
34-86472	Jul. 25, 2019	Order Approving Plan of Distribution
		Distribution Plan
34-85997	May 31, 2019	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Distribution Plan
34-84452	Oct. 18, 2018	Extension Order
IA-4987	Aug. 17, 2018	Order Instituting Administrative and Cease-And-Desist Proceedings, Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order
34-83873	Aug. 17, 2018	Order Instituting Administrative and Cease-And-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order
34-84230	Sep. 20, 2018	Order Appointing Tax Administrator

BlueCrest Capital Management Limited

File No. 3-20162

Release	Date	Notice, Order, or Plan
34-92097	Jun. 3, 2021	Order Appointing Fund Administrator and Setting Administrator's Bond Amount
34-91588	Apr. 16, 2021	Order Appointing Tax Administrator
34-91102	Feb. 11, 2021	Extension Order
33-10896	Dec 8, 2020	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933 and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

BNY Mellon Securities LLC and Mark Shaw

File Nos. 3-14191 and 3-14192

Release	Date	Notice, Order, or Plan
34-84058	Sep. 7, 2018	Order Directing Second Disbursement of Fair Fund
34-81064	Jun. 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-72962	Sep. 3, 2014	Order Directing Disbursement of Fair Fund
34-71638	Feb. 28, 2014	Order Approving Modified Plan of Distribution, Appointing Fund Administrator, and Setting Fund Administrator Bond Amount
		Modified Plan of Distribution
34-68796	Jan. 31, 2013	Notice of Proposed Plan of Distribution and Opportunity For Comment
		Proposed Plan of Distribution
33-9215	Mar. 30, 2012	Extension Order
33-9215	Jun. 2, 2011	Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-63938	Feb. 22, 2011	Order Appointing Tax Administrator
34-63937	Feb. 22, 2011	Order Appointing Tax Administrator
34-63724	Jan. 14, 2011	Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
33-9174 34-63725	Jan. 14, 2011	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Canadian Imperial Holdings Inc. and CIBC World Markets Corp.

File No. 3-11987

Release	Date	Notice, Order, or Plan
34-85017	Jan. 31, 2019	Order Directing Disbursement of Fair Fund
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-65892	Dec. 5, 2011	Order Directing Disbursement of Fair Fund
34-65798	Nov. 21, 2011	Order Directing Disbursement of Fair Fund
34-65697	Nov. 7, 2011	Order Directing Disbursement of Fair Fund
34-61568	Feb. 23, 2010	Order Approving Plan, Appointing a Fund Administrator, and Waiving Bond
		Corrected Plan of Distribution
34-61142	Dec. 10, 2009	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Distribution Plan
34-53768	May 8, 2006	Order Appointing Tax Administrator
33-8593 34-52064	Jul. 20, 2005	Order Granting Waivers
33-8592 34-52063 IA-2407 IC-26994	Jul. 20, 2005	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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

Centaur Management Co. LLC

File No. 3-14950

Release	Date	Notice, Order, or Plan
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-74802	April 23, 2015	Order Directing Disbursement of Fair Fund
34-70015	July 22, 2013	Order Approving Plan of Distribution
		Distribution Plan
34-69604	May 17, 2013	Notice of Proposed Planof Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-69150	Mar. 15, 2013	Order Appointing Fund Administrator and Approving Fund Administrator Bond
34-67824	Sep. 11, 2012	Order Appointing Tax Administrator
34-67783	Sep. 5, 2012	Extension Order
IA-3432	Jul. 17, 2012	Order Instituting Administrative and Cease-and-Desist Proceedings Making Findings, and Imposing Remedial Sanctions and a Ceaseand-Desist Order

Charles L. Rizzo and Gina M. Hornbogen

File No. 3-14641

Release	Date	Notice, Order, or Plan
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-78230	Jul. 5, 2016	Order Directing Disbursement of Fair Fund
34-74566	Mar. 23, 2015	Order Directing Disbursement of Fair Fund
34-72667	Jul. 24, 2014	Order Approving Amended Plan of Distribution
		Amended Distribution Plan
34-72429	Jun. 18, 2014	Notice of Amended Proposed Plan of Distribution and Opportunity for Comment
		Amended Proposed Distribution Plan
34-71831	Mar. 28, 2014	Extension Order
34-71448	Jan. 30, 2014	Extension Order
34-70965	Dec. 3, 2013	Extension Order
34-70573	Sep. 30, 2013	Notice of Proposed Plan of Distribution and Opportunity for Comment Comments received are available for this proposed plan.
		Proposed Distribution Plan
34-68264	Nov. 19, 2012	Order Appointing Tax Administrator
34-68264 IA-3436	Jul. 20, 2012	Order Making Findings and Imposing Remedial Sanctions
34-65829 IA-3321	Nov. 28, 2011	Order Instituting Administrative Proceedings

Charles W. Crouse and Norman R. Hess

File No. 3-11515

Release	Date	Notice, Order, or Plan
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-65999	Dec. 16, 2011	Order Directing Disbursement of Fair Fund
34-57607	Apr. 2, 2008	Order Approving and Ratifying Prior Disbursement and Approving Future Disbursement of Fair Fund
34-53432	Mar. 7, 2006	Order Appointing Tax Administrator
34-52678	Oct. 26, 2005	Order Approving Plan of Fund Distribution, Appointing Administrator, and Consolidating Settlement Funds for Administration
34-52279	Aug. 17, 2005	Notice of Proposed Plan of Disgorgement and Fair Fund Distribution and Opportunity for Comment
33-8563 34-51480	Apr. 6, 2005	Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order
34-51266	Feb. 25, 2005	Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order
34-49829	Jun. 8, 2004	SEC Institutes Public Administrative Proceedings Against Charles W. Crouse and Norman R. Hess
	Jun. 8, 2004	Order Instituting Administrative and Cease-and-Desist Proceedings

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

File No. 3-11578

Release	Date	Notice, Order, or Plan
34-87523	Nov. 13, 2019	Order Directing Disbursement of Fair Fund
34-82118	Nov. 20, 2017	Order Directing Disbursement of Fair Fund
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-80452	Apr. 13, 2017	Order Directing Disbursement of Fair Fund
34-78370	Jul. 20, 2016	Order Directing Disbursement of Fair Fund
34-74522	Mar. 17, 2015	Order Directing Disbursement of Fair Fund
34-72999	Sep. 4, 2014	Order Directing Disbursement of Fair Fund
34-61601	Feb. 26, 2010	Order Approving Plan, Appointing a Fund Administrator, and Waiving Bond
34-61209A	Jan. 19, 2010	Amended Notice of Proposed Plan of Distribution and Opportunity for Comment
34-61209	Dec. 18, 2009	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-53477	Mar. 14, 2006	Order Appointing Tax Administrator
33-8455 34-50165 IC-26526	Aug. 9, 2004	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Citigroup Alternative Investments LLC and Citigroup Global Markets Inc.

File No. 3-16757

Release	Date	Notice, Order, or Plan
34-87000	Sep. 18, 2019	Order Directing Disbursement of Distribution Fund
34-83123	Apr. 27, 2018	Order Approving Plan of Distribution
		Distribution Plan
34-82680	Feb. 9, 2018	Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
34-82047	Nov. 9, 2017	Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
34-81570	Sep. 11, 2017	Notice of Proposed Plan of Distribution and Opportunity for Comment Comments received are available for this proposed plan.
		Proposed Plan of Distribution
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-77624	Apr. 14, 2016	Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount
34-76312	Oct. 29, 2015	Order Appointing Tax Administrator
33-9894	Aug. 17, 2015	Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From Being an Ineligible Issuer
33-9893 34-75710 IA-4174	Aug. 17, 2015	Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Section 15(b)(4) of the Securities Exchange Act of 1934, and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Citigroup Global Markets, Inc.

File No. 3-17808

Release	Date	Notice, Order, or Plan
34-81634	Sep. 14, 2017	Corrected Order Appointing Tax Administrator
33-10288	Jan. 24, 2017	Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8a of the Securities Act Of 1933, Making Findings, and Imposing a Cease-and-Desist Order

Clayborne Group, LLC and Dean A. Heinemann

File No. 3-18423

Release	Date	Notice, Order, or Plan
34-85968	May 30, 2019	Order Directing Payment of Certain Funds Received by the Commission and Directing the Transfer of Remaining Funds to Treasury
IA-4875	Apr. 5, 2018	Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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

File No. 3-11814

Release	Date	Notice, Order, or Plan
34-81961	Oct. 26, 2017	Order Directing Disbursement
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-65122	Aug. 12, 2011	Order Directing Disbursement of Fair Fund
34-62058	May 6, 2010	Order Directing Disbursement of Fair Fund
34-58939	Nov. 13, 2008	Order Directing Disbursement of Fair Fund
34-57422	Mar. 3, 2008	Order Directing Disbursement of Fair Fund
34-56857	Nov. 28, 2007	Order Directing Disbursement of Fair Fund
34-56216	Aug. 7, 2007	Order Directing Disbursement of Fair Fund
34-55922	Jun. 18, 2007	Order Directing Disbursement of Fair Fund
34-55598	Apr. 6, 2007	Order Approving a Distribution Plan
		Plan of Distribution
34-55332	Feb. 22, 2007	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan
34-55059	Jan. 8, 2007	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan
34-54474	Sep. 20, 2006	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan
34-54175	Jul. 19, 2006	Notice Of Proposed Distribution Plan and Opportunity for Comment Comments received are available for this proposal.
		Proposed Plan of Distribution
34-51341	Mar. 9, 2005	Order Directing Appointment of Tax Administrator
33-8536	Feb. 9, 2005	Order Under Rule 602(e) Under the Securities Act of 1933, Granting a Waiver of the Disqualification Provisions of Rule 602(c)(3)
33-8534 34-51164 IA-2351 IC-26752	Feb. 9, 2005	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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

Computer Sciences Corporation, Michael Laphen, Michael Mancuso, Wayne Banks, Claus Zilmer, and Paul Wakefield

File No. 3-16575

Release	Date	Notice, Order, or Plan
34-90487	Nov. 23, 2020	Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-86046	Jun. 6, 2019	Order Directing Disbursement of Fair Fund
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-80559	Apr. 28, 2017	Order Approving Plan of Distribution
		Plan of Distribution
34-80233	Mar. 13, 2017	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-79058	Oct. 6, 2016	Third Extension Order
34-78133	Jun. 22, 2016	Order Appointing Fund Plan Administrator and Setting Bond Amount
34-77985	Jun. 2, 2016	Second Extension Order
34-77223	Feb. 24, 2016	Extension Order
34-75573	Jul. 30, 2015	Order Appointing Tax Administrator
33-9804	Jun. 5, 2015	Order Instituting Public Administrative And Cease-And desist Proceedings Pursuant to Section 8a Of The Securities Act Of 1933, Sections 4c And 21c of the Securities Exchange Act Of 1934, and Rule 102(E) of the Commission's Rules Of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order ("Order")

Cornerstone Capital and Laura Jean Kent

File No. 3-13199

Release	Date	Notice, Order, or Plan
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-69057	Mar. 7, 2013	Order Directing Disbursement of Distribution Fund
34-62936	Sep. 17, 2010	Corrected Order Directing Disbursement of Disgorgement Fund
34-61653	Mar. 5, 2010	Order Approving Plan and Appointing a Plan Administrator
		Plan of Distribution
34-61208	Dec. 18, 2009	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-60848	Oct. 20, 2009	Order Granting Extension of Time to File Proposed Plan of Distribution
34-60675	Sep. 15, 2009	Order Granting Extension of Time to File Proposed Plan of Distribution
34-60327	Jul. 17, 2009	Order Appointing Tax Administrator
34-59951	May 20, 2009	Order Granting Extension of Time to File Proposed Plan of Distribution
IA-2855	Mar. 20, 2009	Order Making Findings and Imposing Remedial Sanctions and a Cease and Desist Order

Covia Holdings Corp. and Fairmount Santrol Holdings Inc. Now Known as Bison Merger Sub I, LLC

File No. 3-20163

Release	Date	Notice, Order, or Plan
34-92211	Jun. 21, 2021	Order Appointing Fund Administrator and Setting Administrator’s Bond Amount
34-91187	Feb. 23, 2021	Order Appointing Tax Administrator
34-91103	Feb. 11, 2021	Extension Order
33-10897	Dec 8, 2020	Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order

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

File No. 3-14594

Release	Date	Notice, Order, or Plan
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-79997	Feb. 9, 2017	Order Approving Plan of Distribution and Directing Disbursement of Fair Fund
		Plan of Distribution
34-78659	Aug. 24, 2016	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-77046	Feb. 3, 2016	Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-75506	Jul. 22, 2015	Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-74768	Apr. 20, 2015	Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-73401	Oct. 21, 2014	Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-71752	Mar. 19, 2014	Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-70390	Sep. 13, 2013	Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-69624	May 22, 2013	Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-67341	Jul. 3, 2012	Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-65908	Dec. 7, 2011	Order Appointing Tax Administrator
33-9268 IA-3302	Oct. 19, 2011	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders

See also the following Press Release:

Citigroup to Pay $285 Million to Settle SEC Charges for Misleading Investors About CDO Tied to Housing Market (Press Release No. 2011-214, October 21, 2011)

Credit Suisse Securities (USA) LLC and Sanford Michael Katz

File Nos. 3-17899 and 3-17900

Release	Date	Notice, Order, or Plan
34-87921	Jan. 9, 2020	Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-85027	Feb. 1, 2019	Corrected Order Directing Disbursement of Fair Fund
34-83999	Aug. 30, 2018	Order Approving Plan of Distribution
		Distribution Plan
34-83621	Jul. 12, 2018	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Distribution Plan
34-82722	Feb. 15, 2018	Order Appointing Tax Administrator
34-82595	Jan. 29, 2018	Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-82200	Dec. 1, 2017	Second Extension Order
34-80887	June 8, 2017	Extension Order
34-80886	June 8, 2017	Extension Order
34-80373	April 4, 2017	Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Order
IA-4679	Apr. 4, 2017	Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Order

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

File No. 3-15098

Release	Date	Notice, Order, or Plan
34-81703	Sep. 25, 2017	Order Directing Disbursement of the Bulk Settlement Practice Fair Fund
34-81702	Sep. 25, 2017	Order Directing Disbursement of the First Payment Default Practice Fair Fund
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-75878	Sep. 10, 2015	Order Establishing Fair Fund and Approving Plan of Distribution Bulk Settlement Practice
		Plan of Distribution Bulk Settlement Practice
34-75877	Sep. 10, 2015	Order Establishing Fair Fund and Approving Plan of Distribution First Payment Default Practice
		Plan of Distribution First Payment Default Practice
34-75118	Jun. 5, 2015	Extension Order
34-74806	Apr. 24, 2015	Extension Order
34-74397	Feb. 27, 2015	Extension Order
34-73890	Dec. 19, 2014	Extension Order
34-72851	Aug. 14, 2014	Notice of Proposed Plan of Distribution (First Payment Default Practice) and Opportunity for Comment Comments received are available for this proposed plan.
		Proposed Plan of Distribution First Payment Default Practice and Exhibit A; Exhibit B
34-72850	Aug. 14, 2014	Notice of Proposed Plan of Distribution (Bulk Settlements Practice) and Opportunity for Comment Comments received are available for this proposed plan.
		Proposed Plan of Distribution Bulk Settlement Practice and Exhibit A; Exhibit B
34-71300	Jan. 14, 2014	Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount
34-70695	Oct. 16, 2013	Extension Order
34-68593	Jan. 7, 2013	Extension Order
34-68349	Dec. 4, 2012	Order Appointing Tax Administrator
33-9368 34-68251	Nov. 16, 2012	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order

David F. Bandimere

File No. 3-15124

Release	Date	Notice, Order, or Plan
34-90349	Nov. 5, 2020	Order Appointing Tax Administrator
34-89896	Sep. 16, 2020	Extension Order
33-10728 34-87605	Nov. 22, 2019	Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order

DeVere USA, Inc.

File No. 3-18527

Release	Date	Notice, Order, or Plan
34-89588	Aug. 17, 2020	Order Approving Modified Plan of Distribution
		Modified Plan of Distribution
34-88919	May 21, 2020	Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
34-88452	Mar. 23, 2020	Notice of Proposed Plan of Distribution and Opportunity for Comment Comments received are available for this proposed plan.
		Distribution Plan
34-84607	Nov. 16, 2018	Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-83769	Aug. 3, 2018	Extension Order
34-83443	Jun. 14, 2018	Order Appointing Tax Administrator
IA-4933	Jun. 4, 2018	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant To Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Derik J. Todd, et al.

File No. 3-17672

Release	Date	Notice, Order, or Plan
34-85175	Feb. 22, 2019	Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-83503	Jun. 25, 2018	Second Extension Order
34-82768	Feb. 23, 2018	Extension Order
34-82329	Dec. 14, 2017	Order Appointing Tax Administrator
33-10250	Nov. 10, 2016	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8a Of The Securities Act of 1933, Section 21C of The Securities Exchange Act Of 1934, Sections 203(e), 203(e) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

EZTD, Inc.

File No. 3-17673

Release	Date	Notice, Order, or Plan
34-88454	Mar. 23, 2020	Order Appointing Fund Administrator and Setting Bond Amount
34-82195	Dec. 1, 2017	Order Appointing Tax Administrator
33-10251	Nov. 10, 2016	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

FCA US LLC and Fiat Chrysler Automobiles N.V.

File No. 3-19541

Release	Date	Notice, Order, or Plan
34-91997	May 25, 2021	Order Appointing Tax Administrator
34-91642	Apr. 22, 2021	Order Appointing Fund Administrator and Setting Bond Amount
34-87851	Dec. 23, 2019	Extension Order
33-10706 34-87134 AAER-4095	Sep. 27, 2019	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order

Fiat Chrysler Automobiles N.V.

File No. 3-20092

Release	Date	Notice, Order, or Plan
34-91572	Apr. 15, 2021	Order Appointing Fund Administrator and Setting Bond Amount
34-91571	Apr. 15, 2021	Order Appointing Tax Administrator
34-90031	Sep. 28, 2020	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order

Fidelity National Capital Investors, Inc.

File No. 3-11514

Release	Date	Notice, Order, or Plan
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-57606	Apr. 2, 2008	Order Approving and Ratifying Prior Disbursement of Fair Fund
34-50801	Dec. 7, 2004	Order Approving Plan of Fund Distribution and Appointing Administrator
34-50493	Oct. 5, 2004	Notice of Proposed Plan of Disgorgement and Fair Fund Distribution and Opportunity for Comment
34-49824	Jun. 8, 2004	Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions as to Fidelity National Capital Investors, Inc.

Fieldstone Financial Management Group, LLC and Kristofor R. Behn

File No. 3-19227

Release	Date	Notice, Order, or Plan
34-88964	May 28, 2020	Order Directing Disbursement of Fair Fund
34-88249	Feb. 20, 2020	Order Approving Plan of Distribution
		Distribution Plan
34-87854	Dec. 23, 2019	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Distribution Plan
34-87218	Oct. 3, 2019	Order Appointing Tax Administrator
33-10655	Jul. 1, 2019	Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Fifth Street Management, LLC

File No. 3-18909

Release	Date	Notice, Order, or Plan
34-91509	Apr. 8, 2021	Order Directing Disbursement of Fair Fund
34-89024	Jun. 5, 2020	Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-86551	Aug. 1, 2019	Order Approving Plan of Distribution
		Distribution Plan
34-86190	Jun. 24, 2019	Notice of Proposed Plan of Distribution and Opportunity to Comment
		Proposed Distribution Plan
34-85742	Apr. 29, 2019	Order Appointing Tax Administrator
34-85684	Apr. 18, 2019	Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-85232	Mar. 1, 2019	Extension Order
33-10581	Dec. 3, 2018	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Sections 203(e) and 203(k) of the Investment Advisers Act of 1940 and Section 9(f) of the Investment Company Act of 1940 Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Fifth Third Bancorp and Daniel Poston

File No. 3-15635

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

First Southwest Company, LLC

File No. 3-17154

Release	Date	Notice, Order, or Plan
34-77300	Mar. 7, 2016	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b), 15B(c)(2) and 21C Of The Securities Exchange Act Of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
34-85433	Mar. 28, 2019	Order Establishing Fair Fund and Directing Payment of Funds

Focus Media Holding Limited and Jason Jiang

File No. 3-16852

Release	Date	Notice, Order, or Plan
34-88963	May 28, 2020	Order Directing Disbursement of Fair Fund
34-82411	Dec. 27, 2017	Order Approving Plan of Distribution
		Plan of Distribution
34-82002	Nov. 2, 2017	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-80544	Apr. 27, 2017	Third Extension Order
34-80436	Apr. 11, 2017	Order Appointing Fund Plan Administrator and Setting Bond Amount
34-79166	Oct. 26, 2016	Second Extension Order
34-78028	Jun. 9, 2016	Order Appointing Tax Administrator
34-78006	Jun. 7, 2016	Extension Order
33-9933	Sep. 30, 2015	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order

Fortress Investment Management, LLC, and William M. Malloy, III

File No. 3-19715

Release	Date	Notice, Order, or Plan
34-91508	Apr. 8, 2021	Order Directing Disbursement of Fair Fund
34-90924	Jan. 14, 2021	Order Approving Plan of Distribution
		Plan of Distribution
34-90483	Nov. 23, 2020	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-88597	Apr. 8, 2020	Order Appointing Tax Administrator
34-88588	Apr. 8, 2020	Extension Order
IA-5452 IC-33807	Feb. 27, 2020	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Foundations Asset Management, LLC, Michael W. Shamburger, and Rob E. Wedel

File No. 3-19266

Release	Date	Notice, Order, or Plan
34-89521	Aug. 11, 2020	Order Appointing Tax Administrator
34-86446 IA-5306	Jul. 24, 2019	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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

File No. 3-12540

Release	Date	Notice, Order, or Plan
34-85791	May 6, 2019	Order Directing Third Disbursement of Fair Fund
34-83915	Aug. 23, 2018	Order Directing Second Disbursement of Fair Fund
34-81698	Sep. 25, 2017	Order Directing Disbursement of Fair Fund
34-81064	Jun. 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-75520	Jul. 24, 2015	Order Approving a Plan of Distribution
		Plan of Distribution
34-75515	Jul. 23, 2015	Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount
34-74871	May 5, 2015	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-55888	Jun. 8, 2007	Order Appointing Tax Administrator
34-55118	Jan. 18, 2007	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Gemini Fund Services, LLC

File No. 3-18348

Release	Date	Notice, Order, or Plan
34-83070	Apr. 19, 2018	Order Appointing Tax Administrator
34-83069	Apr. 19, 2018	Order Directing Payment of Certain Funds Received by the Commission and Directing Transfer of Remaining Funds to the U.S. Treasury
IA-4847	Jan. 22, 2018	Order Instituting Cease-and-Desist Proceedings, Pursuant to Section 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order

General Electric Company

File No. 3-20165

Release	Date	Notice, Order, or Plan
34-91606	Apr. 16, 2021	Order Appointing Tax Administrator
34-9124	Mar. 2, 2021	Extension Order
33-10899 34-90620 AAER-4194	Dec. 9, 2020	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

George B. Franz III and Ruby Corporation

File No. 3-15526

Release	Date	Notice, Order, or Plan
34-81064	Jun. 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-72334	Jun. 5, 2014	Order Appointing Tax Administrator
34-72058	Apr. 30, 2014	Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 203(e), (f), and (k) of the Investment Advisers Act of 1940, Section 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940
34-70533	Sep. 26, 2013	Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e), (f), and (k) of the Investment Advisers Act of 1940, Section 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940

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

File No. 3-14854

Release	Date	Notice, Order, or Plan
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-79440	Dec. 1, 2016	Order Approving Plan of Distribution
		Plan of Distribution
34-79139	Oct. 21, 2016	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-70591	Oct. 1, 2013	Extension Order
34-68869	Feb. 8, 2013	Extension Order
34-68774	Jan. 30, 2013	Order Appointing Tax Administrator
33-9315 34-66837 IA-3399 IC-30040	Apr. 20, 2012	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Order

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

File No. 3-15211

Release	Date	Notice, Order, or Plan
34-83502	Jun. 25, 2018	Order Directing Disbursement of Fair Fund
34-82677	Feb. 9, 2018	Order Approving Amended Plan of Distribution
		Distribution Plan
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-76837	Jan. 5, 2016	Notice of Amended Proposed Plan of Distribution and Opportunity for Comment Comments received are available for this notice.
		Proposed Amended Plan of Distribution
34-75059	May 28, 2015	Extension Order
34-74607	Mar. 30, 2015	Notice of Proposed Plan of Distribution and Opportunity for Comment Comments received are available for this notice.
		Proposed Plan of Distribution
34-72856	Aug. 15, 2014	Order Appointing Tax Administrator
33-9480 34-70904	Nov. 20, 2013	Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Respondents Gregg C. Lorenzo and Charles Vista, LLC
33-9385 34-68943	Feb. 15, 2013	Order Instituting Administrative and Cease-and-Desist Proceedings

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

File No. 3-15654

Release	Date	Notice, Order, or Plan
34-87123	Sep. 26, 2019	Order Directing Sixth Disbursement of Fair Fund
34-81695	Sep. 25, 2017	Order Directing Fifth Disbursement of Fair Fund
34-81571	Sep. 11, 2017	Order Directing Fourth Disbursement of Fair Fund
34-80232	Mar. 13, 2017	Order Directing Third Disbursement of Fair Fund
34-80078	Feb. 22, 2017	Order Directing Second Disbursement of Fair Fund
34-79235	Nov. 3, 2016	Order Directing Disbursement of Fair Fund
34-75519	Jul. 24, 2015	Order Approving a Plan of Distribution
		Plan of Distribution
34-74614	Mar. 31, 2015	Extension Order
34-73865	Dec. 17, 2014	Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount
34-73795	Dec. 9, 2014	Extension Order
34-72800	Aug. 8, 2014	Extension Order
34-72487	Jun. 27, 2014	Extension Order
34-72146	May 9, 2014	Notice of Proposed Plan of Distribution and Opportunity for Comment Comments received are available for this proposal.
		Proposed Plan of Distribution
34-71558	Feb. 18, 2014	Extension Order
34-71128	Dec. 18, 2013	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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

File No. 3-12678

Release	Date	Notice, Order, or Plan
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-79803	Jan. 13, 2017	Order Directing Disbursement of Fair Fund
34-62200	Jun. 1, 2010	Order Approving Plan, Appointing a Fund Administrator, and Waiving Bond
		Final Plan of Distribution
34-61897	Apr. 13, 2010	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-56909	Dec. 5, 2007	Order Appointing Tax Administrator
33-8820 IA-2617 IC-27883	Jul. 6, 2007	Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, Imposing a Cease-and-Desist Order, and Imposing Remedial Sanctions

Houston American Energy Corp., John F. Terwilliger, Jr., Undiscovered Equities Inc., and Kevin T. McKnight

File No. 3-16000

Release	Date	Notice, Order, or Plan
34-85185	Feb. 25, 2019	Corrected Order Appointing Tax Administrator
34-83636	Jul. 16, 2018	Order Establishing a Fair Fund, Appointing a Fund Administrator, and Setting Administrator's Bond Amount
33-9621 34-72749	Aug. 4, 2014	Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8a of the Securities Act of 1933 and 21C of the Securities Exchange Act of 1934

Howard Richards; James Goodland, and Securus Wealth Management, LLC

File Nos. 3-16877 and 3-16878

Release	Date	Notice, Order, or Plan
34-82902	Mar. 16, 2018	Order Appointing Fund Administrator and Waiving Bond
34-82835	Mar. 8, 2018	Order Appointing Tax Administrator
34-82184	Nov. 30, 2017	Third Extension Order
34-80842	Jun. 1, 2017	Second Extension Order
34-79449	Dec. 1, 2016	Extension Order
IA-4213	Sep. 30, 2015	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(E), 203(F) and 203(K) of The Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order(James Goodland, and Securus Wealth Management, LLC)
34-76058	Sep. 30, 2015	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant To Sections 15(B) and 21c of the Secutrities Exchange Act of 1934, Sections 203(F) and 203(K) of the Investment Advisers Act of 1940, and Section 9(B) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Howard Richards)

IFS Securities

File No. 3-19220

Release	Date	Notice, Order, or Plan
34-87269	Oct. 10, 2019	Order Appointing Tax Administrator
34-87175	Sep. 30, 2019	Order Directing Payment of Certain Funds Received by the Commission and Directing the Transfer of Remaining Funds to Treasury
34-86210	Jun. 27, 2019	Order Instituting Administrative Proceedings Pursuant to Sections 15(b) and 15B(c) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions

Institutional Investors Advisory Company

File No. 3-18114

Release	Date	Notice, Order, or Plan
34-81627	Sep. 14, 2017	Order Appointing Tax Administrator
IA-4747	Aug. 16, 2017	Order Instituting Cease-and-Desist Proceedings Pursuant to Section 203(K) of the Investment Advisers Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order

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

File No. 3-18171

Release	Date	Notice, Order, or Plan
34-89025	Jun. 5, 2020	Order Directing Disbursement of Fair Fund
34-87283	Oct. 10, 2019	Order Approving Plan of Distribution
		Plan of Distribution
34-86733	Aug. 22, 2019	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Distribution Plan
34-84554	Nov. 8, 2018	Extension Order
34-83068	Apr. 19, 2018	Order Appointing Tax Administrator
34-81584	Sep. 12, 2017	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 21C Of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

JPMorgan Chase & Co.

File No. 3-15507

Release	Date	Notice, Order, or Plan
34-86727	Aug. 22, 2019	Order Directing Disbursement of Fair Fund
34-84532	Nov. 5, 2018	Order Setting Fund Administrator's Bond Amount
	Feb. 7, 2017	Motion to Amend Plan of Distribution
34-81383	Aug. 11, 2017	Order Directing Disbursement of Fair Fund
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-74266	Feb. 12, 2015	Order Approving Plan of Distribution
		Plan of Distribution
34-73824	Dec. 11, 2014	Notice of Proposed Distribution Plan and Opportunity for Comment
		Proposed Distribution Plan
34-72181	May 16, 2014	Extension Order
34-71825	Mar. 27, 2014	Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount
34-71654	Mar. 5, 2014	Order Establishing a Fair Fund
34-70780	Oct. 30, 2013	Extension Order
34-70615	Oct. 4, 2013	Order Appointing Tax Administrator
34-70458 AAER-3490	Sep. 19, 2013	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order

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

File No. 3-15014

Release	Date	Notice, Order, or Plan
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-75294	Jun. 24, 2014	Order Directing Disbursement of Distribution Fund
34-73679	Nov. 25, 2014	Order Approving Plan of Distribution
		Final Plan of Distribution
34-73322	Oct. 8, 2014	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-72486	Jun. 26, 2014	Extension Order
34-68172	Nov. 6, 2012	Extension Order
34-67958	Oct. 2, 2012	Order Appointing Tax Administrator
34-67808 IA-3460	Sep. 10, 2012	Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions

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

File No. 3-10765

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

Keith MacDonald Summers

File No. 3-16014

Release	Date	Notice, Order, or Plan
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-75679	Aug. 12, 2015	Order Directing Disbursement of Disgorgement Fund
34-74812	Apr. 27, 2015	Order Approving Plan of Distribution
		Plan of Distribution
34-74461	March 10, 2015	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-73400	Oct. 21, 2014	Extension Order
34-73073	Sep. 11, 2014	Order Appointing Tax Administrator
33-9630 34-72836 IA-3895 IC-31210	Aug. 13, 2014	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Kendall J. Groom, CPA

File No. 3-19301

Release	Date	Notice, Order, or Plan
34-86764	Aug. 26, 2019	Order Appointing Tax Administrator
34-86541	August 1, 2019	Order Directing Payment of Certain Funds Received by Commission
34-86540	August 1, 2019	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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

File No. 3-16175

Release	Date	Notice, Order, or Plan
34-91115	Feb. 11, 2021	Order Directing Third Disbursement of Fair Fund
34-85173	Feb. 22, 2019	Order Directing Second Disbursement of Fair Fund
34-81696	Sep. 25, 2017	Order Approving Plan of Distribution, Appointing a Distribution Plan Administrator, and Authorizing Transfer of Fair Fund Funds
		Plan of Distribution
34-81449	Aug. 21, 2017	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-81385	Aug. 14, 2017	Order Establishing Fair Fund
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-79522	Dec. 9, 2016	Order Appointing Tax Administrator
34-76001	Sep. 28, 2015	Finality Order - James Doug Scott
34-75005	May 20, 2015	Finality Order - Kenneth C. Meissner
34-73226	Sep. 25, 2014	Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 9(b) of the Investment Company Act of 1940

Kroll Bond Rating Agency, LLC

File No. 3-20097

Release	Date	Notice, Order, or Plan
34-90348	Nov. 5, 2020	Order Appointing Tax Administrator
34-90037	Sep. 29, 2020	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
34-90038	Sep. 29, 2020	Order Directing Payment of Certain Funds Received by the Commission

Laurence I. Balter d/b/a Oracle Investment Research

File No. 3-17614

Release	Date	Notice, Order, or Plan
34-91738	Apr. 30, 2021	Extension Order
34-91570	Apr. 15, 2021	Order Appointing Fund Administrator and Setting Bond Amount
34-81445	Aug. 21, 2017	Order Appointing Tax Administrator
33-10367 34-80801 IC-32664 IA-4710	May 26, 2017	Order Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order

Leonardo Cornide and Jorge Falcon

File No. 3-19511

Release	Date	Notice, Order, or Plan
34-90006	Sep. 25, 2020	Order Directing Fourth Payment of Certain Funds Received by the Commission
34-89390	Jul. 23, 2020	Order Directing Third Payment of Certain Funds Received by the Commission
34-88777	Apr. 30, 2020	Order Directing Second Payment of Certain Funds Received by the Commission
34-88145	Feb. 7, 2020	Order Appointing Tax Administrator
34-88144	Feb. 7, 2020	Order Directing Payment of Certain Funds Received by the Commission
IA-5366A	Jan. 24, 2020	Amended Order Instituting Cease-And- Desist Proceedings Pursuant to Section 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order

Linkbrokers Derivatives LLC and Aaron Nowak

File Nos. 3-16017 and 3-16999

Release	Date	Notice, Order, or Plan
34-84712	Dec. 3, 2018	Order Directing Disbursement of Fair Fund
34-84407	Oct. 11, 2018	Order Directing Payment of Fund Administrator Fees, and Approval of Future Fees and Expenses
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-79248	Nov. 4, 2016	Order Approving Plan of Distribution
		Plan of Distribution
34-78577	Aug. 15, 2016	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-76815	Dec. 31, 2015	Extension Order
33-9988 34-76628 IC-31934	Dec. 11, 2015	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Nowak)
34-75784	Aug. 28, 2015	Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount
34-75341	Jul. 1, 2015	Extension Order
34-73651	Nov. 20, 2014	Extension Order
34-73012	Sep. 5, 2014	Order Appointing Tax Administrator
34-72846	Aug. 14, 2014	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant To Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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

File No. 3-17212

Release	Date	Notice, Order, or Plan
34-90347	Nov. 5, 2020	Order Directing Disbursement of Fair Fund
34-85530	Apr. 5, 2019	Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-84493	Oct. 26, 2018	Order Approving Corrected Plan of Distribution
		Corrected Distribution Plan
34-84044	Sep. 6, 2018	Notice of Proposed Plan of Distribution and Opportunity to Comment
		Proposed Distribution Plan
34-82972	Mar. 30, 2018	Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-82783	Feb. 27, 2018	Order Establishing a Fair Fund
34-82187	Nov. 30, 2017	Order Appointing Tax Administrator
34-77644 AAER-3765	Apr. 19, 2016	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Cease-and-Desist Orders and Penalties

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

File No. 3-14321

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

MagnaChip Semiconductor Corporation and Margaret Hye-Ryoung Sakai, CPA, CPA

File No. 3-17956

Release	Date	Notice, Order, or Plan
34-88430	Mar. 19, 2020	Order Appointing Fund Administrator and Setting Bond Amount
34-83437	Jun. 14, 2018	Order Appointing Tax Administrator
34-83433	June 14, 2018	Extension Order
33-10352	May 1, 2017	Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of The Securities Act Of 1933, Sections 4C and 21C of The Securities Exchange Act Of 1934, And Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders

Mancera, S.C., Alejandro Valdez Mendoza, C.P., and Angel Radames Corral Nieblas, C.P.

File No, 3-20173

Release	Date	Notice, Order, or Plan
34-91792	May 7, 2021	Order Appointing Tax Administrator
34-91104	Feb. 11, 2021	Extension Order
33-90699	Dec. 17, 2020	Order Instituting Public Administrative and Cease- And-Desist Proceedings Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Mark Grahm, Blue Capital., et al.

File No. 3-18724

Release	Date	Notice, Order, or Plan
IA-5000	Sep. 6, 2018	Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
34-84043	Sep. 6, 2018	Order Directing Payment of Certain Funds Received by Commission
34-84443	Oct. 17, 2018	Order Appointing Tax Administrator

Maxwell Technologies, Inc., Van M. Andrews, David J. Schramm, and James W. Dewitt, Jr., CPA

File No. 3-18408

Release	Date	Notice, Order, or Plan
34-86125	Jun. 17, 2019	Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-86102	Jun. 13, 2019	Order Directing Disbursement of Fair Fund
34-84531	Nov. 5, 2018	Order Approving Plan of Distribution
		Plan of Distribution
34-84296	Sep. 27, 2018	Notice of Proposed Plan of Distribution and Opportunity to Comment
		Proposed Plan of Distribution
34-83727	Jul. 27, 2018	Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-83333	May 25, 2018	Order Appointing Tax Administrator
33-10472	Mar. 27, 2018	Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (“Order”)

Mergenet Medical, Inc., Bruce Matthew Sher, Shara Anne Hernandez, and Peter Anthony DeCicco, Jr.

File No. 3-18253

Release	Date	Notice, Order, or Plan
34-88847	May 11, 2020	Order Appointing Tax Administrator
33-10426	Oct. 16, 2017	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing A Cease-and-Desist Order

Michael S. Wilson, CPA and Cotterman-Wilson, CPAs, Inc.; James T. Budden and Alexander W. Budden

File Nos. 3-16652 and 3-16892

Release	Date	Notice, Order, or Plan
34-79427	Nov. 29, 2016	Order Approving Plan of Distribution and Directing Disbursement of Fair Funds
		Plan of Distribution
34-78848	Sep. 15, 2016	Notice of Proposed Plan of Distribution and Opportunity For Comment *Comments due:* 30 days from date of this Notice
		Proposed Plan of Distribution
IA-4225	Oct. 13, 2015	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (James T. Budden and Alexander W. Budden)
34-75298 IA-4130 AAER-3665	Jun. 25, 2015	Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Michael S. Wilson, CPA and Cotterman-Wilson CPAs, Inc.)

MiddleCove Capital, LLC, and Noah L. Myers

File Nos. 3-14993

Release	Date	Notice, Order, or Plan
34-83669	Jul. 19, 2018	Order Approving Plan of Distribution
		Distribution Plan
34-83364	Jun. 4, 2018	Notice of Proposed Plan of Distribution and Opportunity for Comment *Comments due:* 30 days from date of this Notice
		Proposed Distribution Plan
34-81287	Aug. 2, 2017	Order Appointing Tax Administrator
34-68669 IA-3534 IC-30351	Jan. 16, 2013	Order Making Findings and Imposing Remedial Sancations and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940

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

File No. 3-14163

Release	Date	Notice, Order, or Plan
34-85832	May 10, 2019	Order Appointing Tax Administrator
33-9221 34-64626	Jun. 8, 2011	Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Respondent Aaron D. Fimreite
33-9220 34-64625	Jun. 8, 2011	Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Respondent John A. Hubert
33-9219 34-64624	Jun. 8, 2011	Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Respondent Eugene R. Rankin
33-9218 34-64623	Jun. 8, 2011	Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Respondent William G. Martin, Jr.
33-9217 34-64623	Jun. 8, 2011	Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Respondent MMR Investment Bankers, LLC (d/b/a MMR, Inc.)
33-9163 34-64543	Jun. 8, 2011	Order Instituting Administrative and Cease-and-Desist Proceedings

Morgan Stanley, Co. LLC; Morgan Stanley ABS Capital I Inc.; and Morgan Stanley Mortgage Capital Holdings LLC

File No. 3-15982

Release	Date	Notice, Order, or Plan
34-89201	Jun. 30, 2020	Order Approving Plan of Distribution
		Plan of Distribution
34-86474	Jul. 25, 2019	Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
34-85998	May 31, 2019	Notice of Proposed Plan of Distribution and Opportunity for Comment Comments received are available for this proposed plan.
		Proposed Plan of Distribution
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-77063	Feb. 4, 2016	Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount
34-74231	Feb. 6, 2015	Order Appointing Tax Administrator
33-9618	Jul. 24, 2014	Order Granting Waivers of the Disqualification Provisions
33-9617	Jul. 24, 2014	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order

Morgan Stanley Smith Barney LLC

File No. 3-17809

Release	Date	Notice, Order, or Plan
34-81633	Sep. 14, 2017	Corrected Order Appointing Tax Administrator
33-10290	Jan 24, 2017	Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing a Cease-and-Desist Order

Morgan Stanley Smith Barney LLC

File No. 3-19793

Release	Date	Notice, Order, or Plan
34-92096	Jun. 3, 2021	Order Appointing Fund Administrator and Setting Administrator's Bond Amount
34-91737	Apr. 30, 2021	Second Extension Order
34-89383	Jul. 23, 2020	Extension Order
34-88969	May 28, 2020	Order Appointing Tax Administrator
34-88856 IA-5499	May 12, 2020	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

MVP Manager LLC

File No. 3-19334

Release	Date	Notice, Order, or Plan
34-90187	Oct. 15, 2020	Order Appointing Tax Administrator
34-87396	Oct. 24, 2019	Extension Order
IA-5319	Aug. 13, 2019	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

North East Capital, LLC and Anthony T. Vicidomine

File No. 3-15429

Release	Date	Notice, Order, or Plan
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-78173	Jun. 28, 2016	Order Directing Disbursement of Fair Fund
34-78100	Jun. 17, 2016	Order Approving Amended Plan of Distribution
		Amended Plan of Distribution
34-77712	Apr. 26, 2016	Notice of Proposed Amended Plan of Distribution and Opportunity for Comment
		Proposed Amended Plan of Distribution
34-75753	Aug. 25, 2015	Extension Order
34-74808	Apr. 24, 2015	Extension Order
34-74355	Feb. 24, 2015	Extension Order
34-73921	Dec. 23, 2014	Notice of Proposed Plan of Distribution and Opportunity for Comment Comments received are available for this proposed plan.
		Proposed Plan of Distribution
34-72419	Jun. 18, 2014	Order Appointing Tax Administrator
33-9442 34-70223 IA-3651 IC-30651	Aug. 16, 2013	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Northern Trust Hedge Fund Services LLC and Northern Trust Global Fund Services Cayman Limited

File No. 3-20030

Release	Date	Notice, Order, or Plan
34-91818	May 10, 2021	Extension Order
IA-5585	Sept. 18, 2020	Order Instituting Cease-and-Desist Proceedings Pursuant to Section 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order

Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc.

File No. 3-14909

Release	Date	Notice, Order, or Plan
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-79247	Nov. 4, 2016	Order Directing Disbursement For Second Distribution, Payment of Fund Administrator Fees, and Approval of Future Fees And Expenses
34-78224	Jul. 1, 2016	Order Approving Application of Fund Administrator for Payment of Fees and Expenses
34-75551	Jul. 29, 2015	Order Directing Disbursement of Fair Fund
34-74005	Jan. 6, 2015	Order Approving Application of Fund Administrator for Payment of Fees and Expenses
34-71493	Feb. 5, 2014	Order Approving Plan of Distribution
		Plan of Distribution
34-71119	Dec. 18, 2013	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-70244	Aug. 21, 2013	Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-69873	Jun. 27, 2013	Order Granting Extenstion of Time to Submit Proposed Plan of Distribution
34-69418	Apr. 19, 2013	Order Granting Extenstion of Time to Submit Proposed Plan of Distribution
34-69138	Mar. 14, 2013	Order Appointing Fund Administrator and Approving Fund Administrator Bond
34-67363	Jul. 6, 2012	Order Appointing Tax Administrator
33-9329 34-67142 IA-3417 IC-30099	Jun. 6, 2012	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Orthofix International N.V.; Jeffrey Hammel, CPA; Brian McCollum; Kenneth Mack and Bryan McMillan

File Nos. 3-17791, 3-17792, 3-17793, 3-17794

Release	Date	Notice, Order, or Plan
34-89223	Jul. 6, 2020	Order Directing Disbursement of Fair Fund
34-86100	Jun. 13, 2019	Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-83497	Jun. 22, 2018	Order Approving Distribution Plan
		Distribution Plan
34-83133	Apr. 30, 2018	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Distribution Plan
34-82933	Mar. 22, 2017	Third Extension Order
34-82410	Dec. 27, 2017	Order Consolidating Fair Funds, Appointing Fund Administrator, and Setting Administrator Bond Amount
34-81623	Sept. 14, 2017	Second Extension Order
34-81624	Sept. 14, 2017	Second Extension Order
34-81622	Sept. 14, 2017	Second Extension Order
34-81620	Sept. 14, 2017	Second Extension Order
34-81273	Jul. 31, 2017	Order Appointing Tax Administrator
34-81272	Jul. 31, 2017	Order Appointing Tax Administrator
34-81271	Jul. 31, 2017	Order Appointing Tax Administrator
34-81257	Jul. 31, 2017	Order Appointing Tax Administrator
34-80354	Mar. 31, 2017	Extension Order
34-80353	Mar. 31, 2017	Extension Order
34-80352	Mar. 31, 2017	Extension Order
34-80351	Mar. 31, 2017	Extension Order
34-79820 AAER-3848	Jan. 18, 2017	Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Cease-and-Desist Orders and Penalties
34-79819 AAER-3847	Jan. 18, 2017	Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Cease-and-Desist Orders and Remedies
33-10282 34-79817 AAER-3846	Jan. 18, 2017	Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 4C and 21C of the Securities Exchange Act of 1934, and Rule 102(e) of the Commission's Rules of Practice, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order
33-10281 34-79815 AAER-3845	Jan. 18, 2017	Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Oxford Investment Partners, LLC and Walter J. Clarke

File No. 3-14899

Release	Date	Notice, Order, or Plan
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-68993	Feb. 27, 2013	Order Appointing Tax Administrator
IA-3554 IC-30385	Feb. 15, 2013	Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Walter J. Clarke
IA-3553 IC-30384	Feb. 15, 2013	Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Oxford Investment Partners, LLC
IA-3412 IC-30086	May 30, 2012	Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing

Paragon Coin, Inc.

File No. 3-18897

Release	Date	Notice, Order, or Plan
34-92276	Jun. 28, 2021	Order Appointing Tax Administrator
34-91522	Apr. 9, 2021	Order Establishing Fair Fund
33-10574	Nov. 16, 2018	Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of The Securities Act of 1933, Making Findings, and Imposing Penalties and a Cease-and-Desist Order

Pennant Management, Inc.

File No. 3-18884

Release	Date	Notice, Order, or Plan
34-88804	May 4, 2020	Order Appointing Tax Administrator
34-85089	Feb. 11, 2019	Extension Order
IA-5061	Feb 11, 2019	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Peter Kuperman and QED Benchmark Management LLC

File No. 3-17075

Release	Date	Notice, Order, or Plan
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-77262	Mar. 1, 2016	Order Appointing Tax Administrator
33-10009 34-76991 IA-4323 IC-31973	Jan. 28, 2016	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Petróleo Brasileiro S.A. - Petrobras

File No. 3-18843

Release	Date	Notice, Order, or Plan
34-92274	Jun. 28, 2021	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Distribution Plan Submit Comments on 3-18843
34-90465	Nov. 20, 2020	Order Appointing Tax Administrator
34-87889	Jan. 6, 2020	Order Appointing Fund Administrator and Setting Bond Amount
34-87889	Sep. 27, 2018	Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934

Quantek Asset Management, LLC, et al.

File No. 3-14893

Release	Date	Notice, Order, or Plan
34-86050	Jun. 6, 2019	Order Approving Plan of Distribution
		Distribution Plan
34-85473	Mar. 29, 2019	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Distribution Plan
33-9326	May 29, 2012	Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 203(e), 203(f), And 203(k) of The Investment Advisers Act of 1940, and Section 9(B) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders

Reliance Financial Advisors, LLC

File No, 3-16311

Release	Date	Notice, Order, or Plan
34-91793	May 7, 2021	Order Appointing Tax Administrator
33-9872	July 31, 2015	Order 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), 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 as to Reliance Financial Advisors, LLC and Walter F. Grenda, Jr.

Robinhood Financial, LLC

File No, 3-20171

Release	Date	Notice, Order, or Plan
34-92115	Jun. 4, 2021	Notice of Proposed Plan of Distribution and Opportunity for Comment Submit Comments on 3-20171 Comments received are available for this plan.
		Proposed Distribution Plan
34-91590	Apr. 16, 2021	Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-91105	Feb. 11, 2021	Extension Order
34-91061	Feb. 4, 2021	Order Appointing Tax Administrator
33-10906	Dec. 17, 2020	Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8a of the Securities Act of 1933 and Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and A Cease-and-Desist Order

Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr.

File No. 3-17315

Release	Date	Notice, Order, or Plan
34-88762	Apr. 28, 2020	Order Directing Disbursement of Fair Fund
34-83436	Jun. 14, 2018	Order Approving Plan of Distribution
		Distribution Plan
34-83162	May 3, 2018	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Distribution Plan
34-82745	Feb. 21, 2018	Second Extension Order
34-81674	Sep. 21, 2017	Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-81141	Jul. 13, 2017	Order Appointing Tax Administrator
34-80739	May 23, 2017	Extension Order
34-78147	Jun. 23, 2016	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant To Sections 15(B) and 21c of the Secutrities Exchange Act of 1934, Sections 203(e) and 203(f) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Sandra Dyche

File No. 3-16398

Release	Date	Notice, Order, or Plan
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-79881	Jan. 26, 2017	Order Directing Disbursement of Fair Fund
34-79866	Jan. 24, 2016	Order Approving Distribution Plan
		Plan of Distribution
34-78889	Sep. 20, 2016	Notice of Proposed Plan of Distribution and Opportunity for Comment *Comments due:* 30 days from date of this Notice Comments received are available for this proposed plan.
		Proposed Plan of Distribution
34-77980	Jun. 2, 2016	Second Extension Order
34-77208	Feb. 23, 2016	Extension Order
34-77131	Feb. 12, 2016	Order Appointing Tax Administrator
33-9729	Feb. 20, 2015	Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Scott Doak

File No. 3-16941

Release	Date	Notice, Order, or Plan
34-92202	Jun. 17, 2021	Notice of Proposed Plan of Distribution and Opportunity for Comment Submit Comments on 3-16941
		Proposed Plan of Distribution
34-92140	Jun. 10, 2021	Order Establishing Fair Fund
34-81154	Jul. 17, 2017	Order Approving Tax Administrator
33-9976 34-76350 IA-4256 IC-31892	Nov. 4, 2015	Order Instituting Administrative and Cease-And-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Serge Matta

File No. 3-19500

Release	Date	Notice, Order, or Plan
34-87815	Dec. 20, 2019	Extension Order
33-10693 34-87070 AAER-4092	Sep. 24, 2019	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order

Securities America Advisors

File No. 3-20150

Release	Date	Notice, Order, or Plan
34-92426	Jul. 16, 2021	Order Appointing Fund Administrator and Setting Administrator's Bond Amount
34-91966	May 21, 2021	Order Appointing Tax Administrator
34-91884	May 13, 2021	Extension Order
IA-5627	Nov. 13, 2020	Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e)and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Sica Wealth Management, LLC and Jeffrey C. Sica

File No. 3-19716

Release	Date	Notice, Order, or Plan
34-88598	Apr. 8, 2020	Order Appointing Tax Administrator
IA-5453	Feb. 27, 2020	Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Signator Investors, Inc. and Gregory J. Mitchell; Cory D. Williams

File No. 3-16753 and 3-16754

Release	Date	Notice, Order, or Plan
34-91589	Apr. 16, 2021	Order Directing Disbursement of Fair Fund
34-91111	Feb. 11, 2021	Order Approving Plan of Distribution
		Plan of Distribution
34-90836	Dec. 31, 2020	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-88005	Jan. 17, 2020	Order Appointing Tax Administrator
34-75691	Aug. 13, 2015	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
34-75690	Aug. 13, 2015	Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(e) and 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions

Six Financial Information Inc.

File No. 3-18234

Release	Date	Notice, Order, or Plan
34-81960	Oct. 26, 2017	Order Appointing Tax Administrator
IA-4780	Sep. 28, 2017	Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(F) and 203(K) of the Investment Advisers Act of 1940, and Section 9(B) of the Investment Company Act of 1940, Making Findings, And Imposing Remedial Sanctions and a Cease-and-Desist Order

Steven Durrelle Williams

File No. 3-16246

Release	Date	Notice, Order, or Plan
33-9676	Nov. 4, 2014	Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
34-74081	Jan. 16, 2015	Order Appointing Tax Administrator
34-68683	Jan. 17, 2013	Omnibus Order Directing the Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution Funds

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

Release	Date	Notice, Order, or Plan
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-79136	Oct. 21, 2016	Order Approving Use of Fair Fund to Pay Outstanding and Remaining Fees and Expenses
34-64327	Apr. 22, 2011	Order Directing Disbursement of Fair Fund
34-63143	Oct. 21, 2010	Order Directing Disbursement of Fair Fund
34-62475	Jul. 8, 2010	Order Directing Disbursement of Fair Fund
34-60667	Sep. 14, 2009	Order Approving Distribution Plan, Appointing an Administrator, and Waiving Bond
34-60406	Jul. 30, 2009	Notice of Proposed Distribution Plan and Opportunity for Comment
		Proposed Plan of Distribution
	May 13, 2005	Order Creating a Fair Fund
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.
34-51341	Mar. 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

Success Trade, Inc., Success Trade Securities, Inc., and Fuad Ahmed

File No. 3-16755

Release	Date	Notice, Order, or Plan
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-75789	Aug. 28, 2015	Order Appointing Tax Administrator
33-9891	Aug. 14, 2015	Order Instituting Administrative and Cease-And-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940, Making Findings, Imposing Remedial Sanctions and a Cease-and-Desist Order, and Ordering Continuation of Proceedings

Super Micro Computer, Inc., Howard Hideshima

File Nos. 3-19927, 3-19928

Release	Date	Notice, Order, or Plan
34-91507	Apr. 8, 2021	Order Approving Plan of Distribution
		Distribution Plan
34-91046	Feb. 3, 2021	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-90784	Dec. 22, 2020	Order Appointing Fund Administrator and Setting Bond Amount
34-90373	Nov. 6, 2020	Order Appointing Tax Administrator
34-90313	Nov. 2, 2020	Extension Order
34-89657	Aug. 25, 2020	Corrected 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
33-10822	Aug. 25, 2020	Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of The Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order

Taberna Capital Management, LLC, Michael Fralin, and Raphael Licht

File No. 3-16776

Release	Date	Notice, Order, or Plan
34-85762	May 2, 2019	Order Approving Modified Plan of Distribution
		Modified Distribution Plan
34-85092	Feb. 11, 2019	Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
34-84725	Dec. 6, 2018	Notice of Proposed Plan of Distribution and Opportunity for Comment *Comments due:* 30 days from date of this Notice Comments received are available for this proposed plan.
		Proposed Distribution Plan
34-84329	Oct. 1, 2018	Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-82124	Nov. 20, 2017	Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-81477	Aug. 24, 2017	Order Establishing a Fair Fund
34-81244	Jul. 27, 2017	Order Appointint Tax Administrator
34-75814 IA-4186 IC-31803	Sep. 2, 2015	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Train and Babcock Advisors LLC

File No. 3-18324

Release	Date	Notice, Order, or Plan
34-89013	Jun. 4, 2020	Order Directing Payment of Certain Funds Received by the Commission and Directing Transfer of Remaining Funds to the U.S. Treasury
34-83914	Aug. 23, 2018	Order Appointing Tax Administrator

Trinity Capital Corporation and William C. Enloe

File Nos. 3-16837, 3-16838

Release	Date	Notice, Order, or Plan
34-91569	Apr. 15, 2021	Order Appointing Tax Administrator
34-89135	Jun. 23, 2020	Order Establishing Fair Fund
33-9931 34-75998 AAER-3707	Sep. 28, 2015	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order and Penalties
33-9930 34-75997 AAER-3706	Sep. 28, 2015	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order and Penalties

UBS Financial Services Inc. of Puerto Rico

File No. 3-14863

Release	Date	Notice, Order, or Plan
34-89195	Jun. 30, 2020	Order Directing Disbursement of Fair Fund
34-87586	Nov. 21, 2019	Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-80070	Feb. 21, 2017	Order Approving Plan of Distribution
		Plan of Distribution; Exhibit A; Exhibit B
34-79754	Jan. 6, 2017	Notice of Proposed Plan of Distribution and Opportunity for Comment *Comments due:* 30 days from date of this Notice Comments received are available for this proposed plan.
		Proposed Plan of Distribution
34-68600	Jan. 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
34-67148	Jun. 6, 2012	Extension Order
34-67042	May 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

UBS Financial Services Inc. of Puerto Rico and Ramiro L. Colon, III

File Nos. 3-16846, 3-16847

Release	Date	Notice, Order, or Plan
34-85891	May 20, 2019	Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-81100	Jul. 7, 2017	Order Approving Plan of Distribution and Consolidating Settlement Funds for Administration
		Plan of Distribution
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-80535	Apr. 27, 2017	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-79513	Dec. 8, 2016	Third Extension Order
34-79227	Nov. 3, 2016	Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount
34-78002	Jun. 7, 2016	Second Extension Order
34-77206	Feb. 23, 2016	Extension Order
34-77130	Feb. 12, 2016	Order Appointing Tax Administrator
34-76014	Sep. 29, 2015	Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Ramiro L. Colon, III)
34-76013	Sep. 29, 2015	Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (UBS Financial Services Incorporated of Puerto Rico)

Unikrn, Inc.

File No. 3-20003

Release	Date	Notice, Order, or Plan
34-90700	Dec. 17, 2020	Order Appointing Tax Administrator

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

File No. 3-13675

Release	Date	Notice, Order, or Plan
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-79553	Dec. 14, 2016	Order Directing Disbursement of Fair Fund and Vacating Prior Order Of Disbursement
34-69469	Apr. 26, 2013	Order Directing Disbursement of Fair Fund
34-63640	Jan. 4, 2011	Order Approving Distribution Plan
		Final Plan of Distribution
34-63269	Nov. 8, 2010	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-62837	Sep. 2, 2010	Order Appointing a Fund Administrator and Waiving Bond
34-61316	Jan. 8, 2010	Extension Order
34-61045	Nov. 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

VEREIT, INC.

File No. 3-19831

Release	Date	Notice, Order, or Plan
34-89770	Sep. 4, 2020	Extension Order
34-89708	Aug. 28, 2020	Order Appointing Tax Administrator
33-10793 34-89133 AAER-4149	Jun. 23, 2020	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Visium Asset Management, LP

File No. 3-18473

Release	Date	Notice, Order, or Plan
34-89112	Jun. 22, 2020	Order Directing Disbursement of Fair Fund
34-88920	May 21, 2020	Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-86330	Jul. 8, 2019	Order Approving Plan of Distribution
		Distribution Plan
34-85827	May 10, 2019	Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
34-85403	Mar. 25, 2019	Notice of Proposed Plan of Distribution and Opportunity to Comment Comments received are available for this notice.
		Proposed Distribution Plan
34-84608	Nov. 16, 2018	Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-84004	Aug. 30, 2018	Order Appointing Tax Administrator
34-83998	Aug. 30, 2018	Order Establishing Fair Fund
33-10494	May 8, 2018	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act Of 1934, and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Weatherford International PLC, et al. and Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA

File Nos. 3-17582 and 3-17628

Release	Date	Notice, Order, or Plan
34-89333	Jul. 16, 2020	Order Appointing Fund Administrator and Setting Bond Amount
34-83766	Aug. 2, 2018	Order Appointing Tax Administrator
34-82185	Nov. 30, 2017	Order Consolidating Fair Funds
34-82121	Nov. 20, 2017	Extension Order
34-80273	Mar. 17, 2017	Extension Order
34-79109	Oct. 18, 2016	Order Instituting Public Administrative and Cease-and Desist Proceedings Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease and-Desist Order ("Order")
33-10221 34-78944 AAER-3806	Sep. 27, 2016	Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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

File No. 3-14982

Release	Date	Notice, Order, or Plan
34-85384	Mar. 21, 2019	Order Disbursement of Fair Fund
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-80302	Mar. 23, 2017	Order Approving Plan of Distribution
		Plan of Distribution
34-79888	Jan. 27, 2017	Notice of Proposed Plan of Distribution and Oppurtunity for Comment
		Proposed Plan of Distribution
34-69917	Jul. 2, 2013	Order Appointing Fund Administrator and Approving Fund Administrator Bond Amount
34-69149	Mar. 15, 2013	Extension Order
34-67972	Oct. 3, 2012	Extension Order
34-67829	Sep. 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 & Company

File No. 3-19704

Release	Date	Notice, Order, or Plan
34-90898	Jan. 11, 2021	Order Approving Plan of Distribution
		Plan of Distribution (Corrected)
34-90095	Oct. 6, 2020	Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
34-89501	Aug. 6, 2020	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution Comments received are available for this plan.
34-88921	May 21, 2020	Order Appointing Fund Administrator and Setting Bond Amount
34-88453	Mar. 23, 2019	Extension Order
34-88353	Mar. 10, 2019	Order Appointing Tax Administrator
34-88257	Feb. 21, 2019	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing A Cease-and-Desist Order

William B. Fretz, Jr., John P. Freeman, Covenant Capital Management Partners, L.P., and Covenant Partners, L.P.

File No. 3-16829

Release	Date	Notice, Order, or Plan
34-85536	Apr. 5, 2019	Corrected Order Directing Second Disbursement
34-81858	Oct. 12, 2017	Order Directing Disbursement
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-80711	May 18, 2017	Order Approving Plan of Distribution
		Plan of Distribution
34-80392	Apr. 6, 2017	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-79511	Dec. 8, 2016	Order Appointing Tax Administrator
33-9925	Sep. 23, 2015	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8a of The Securities Act of 1933, Sections 15(B), and 21c of The Securities Exchange Act of 1934, Sections 203(E), 203(F) and 203(K) of The Investment Advisers Act of 1940, and Section 9(B) of The Investment Company Act of 1940 Making Findings, and Imposing Remedial Sanctions and A Cease-and-Desist Order

Wilmington Trust Corporation

File No. 3-16098

Release	Date	Notice, Order, or Plan
34-91816	May 10, 2021	Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-89758	Sep. 3, 2020	Order Approving Plan of Distribution
		Final Distribution Plan and Exhibits
34-89287	Jul. 10, 2020	Notice of Proposed Plan of Distribution and Opportunity for Comment Comments received are available for this proposed plan.
		Proposed Plan of Distribution
34-88779	Apr. 30, 2020	Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-88395	Mar. 16, 2019	Order Appointing Tax Administrator
33-9646 34-73076 AAER-3582	Sep. 11, 2014	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Wireline, Inc.

File No. 3-20206

Release	Date	Notice, Order, or Plan
34-91934	May 19, 2021	Order Appointing Tax Administrator
34- 90938	Jan. 15, 2021	Order Directing Payment of Certain Funds Received by the Commission and Directing Transfer of Remaining Funds to the U.S. Treasury
33-10920	Jan. 15, 2021	Order Instituting Cease-and-Desist Proceedings, Making Findings and Imposing Penalties and a Cease-and-Desist-Order

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List of Cases

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Alexander Capital, L.P. (3-18561)
Alexander S. Gould (3-19965)
Ameriprise Financial, Inc. (formerly American Express Financial Corporation) (3-12114)
Anastasios P. "Tommy" Belesis (3-18088)
Anthony Coronati and Bidtoask LLC (3-16203)
Augustine Capital Management, LLC, (f/k/a Augustine Capital Management, Inc.) et al. (3-17740)
Bankrate, Inc. and Hyunjin Lerner, CPA (3-16786; 3-16787)
Bethany Liou (3-19597)
BitClave PTE, Ltd. (3-19816)
BKS Advisors, LLC and Roger T. Denha (3-18648; 3-18649)
BlueCrest Capital Management Limited (3-20162)
BNY Mellon Securities LLC and Mark Shaw (3-14191, 3-14192)
Canadian Imperial Holdings Inc. and CIBC World Markets Corp. (3-11987)
Centaur Management Co. LLC (3-14950)
Charles L. Rizzo and Gina M. Hornbogen (3-14641)
Charles W. Crouse and Norman R. Hess (3-11515)
CIHC, Inc., Conseco Services, LLC, and Conseco Equity Sales, Inc. (3-11578)
Citigroup Alternative Investments LLC and Citigroup Global Markets Inc. (3-16757)
Citigroup Global Markets, Inc. (3-17808)
Clayborne Group, LLC and Dean A. Heinemann (3-18423)
Columbia Management Advisors, Inc. and Columbia Funds Distributor, Inc. (3-11814)
Computer Sciences Corporation, Michael Laphen, Michael Mancuso,
Wayne Banks, Claus Zilmer, and Paul Wakefield (3-16575)
Cornerstone Capital and Laura Jean Kent (3-13199)
Covia Holdings Corp. and Fairmount Santrol Holdings Inc. Now Known as Bison Merger Sub I, LLC (3-20163)
Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.), Credit Suisse Asset Management, LLC, and Samir H. Bhatt (3-14594)
Credit Suisse Securities (USA) LLC; Sanford Michael Katz (3-17899 and 3-17900)
Credit Suisse Securities (USA) LLC, DLJ Mortgage Capital, Inc., Credit Suisse First Boston Mortgage Acceptance Corp., Credit Suisse First Boston Mortgage Securities Corp., and Asset Backed Securities Corporation (3-15098)
David F. Bandimere (3-15124)
Derik J. Todd, et al. (3-17672)
DeVere USA, Inc. (3-18527)
EZTD, Inc.
FCA US LLC and Fiat Chrysler Automobiles N.V. (3-19541)
Fiat Chrysler Automobiles N.V. (3-20092)
Fidelity National Capital Investors, Inc. (3-11514)
Fieldstone Financial Management Group, LLC and Kristofor R. Behn (3-19227)
Fifth Street Management, LLC (3-18909)
Fifth Third Bancorp and Daniel Poston (3-15635)
First Southwest Company, LLC (3-17154)
Focus Media Holding Limited and Jason Jiang (3-16852)
Fortress Investment Management, LLC, and William M. Malloy, III (3-19715)
Foundations Asset Management, LLC, Michael W. Shamburger, and Rob E. Wedel (3-19266)
Fred Alger Management, Inc. (3-12540)
Gemini Fund Services, LLC (3-18348)
General Electric Company (3-20165)
George B. Franz III and Ruby Corporation (3-15526)
GMB Capital Management LLC; GMB Capital Partners LLC; Gabriel Bitran and Marco Bitran (3-14854)
Gregg C. Lorenzo, Francis V. Lorenzo, and Charles Vista, LLC (3-15211)
G-Trade Services LLC, ConvergEx Global Markets Limited, and ConvergEx Execution Solutions LLC (3-15654)
Haidar Capital Management, LLC, Haidar Capital Advisors, LLC, and Said N. Haidar (3-12678)
Houston American Energy Corp., John F. Terwilliger, Jr., Undiscovered Equities Inc., and Kevin T. McKnight (3-16000)
Howard Richards; James Goodland, and Securus Wealth Management, LLC (3-16877; 3-16878)
IFS Securities (3-19220)
Institutional Investors Advisory Company (3-18114)
Jeremy A. Licht d/b/a JL Capital Management (3-18171)
JPMorgan Chase & Co. (3-15507)
JP Turner & Company, LLC, and William L. Mello (3-15014)
J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. Cube, Mayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, Michael B. Scott (3-10765)
Keith MacDonald Summers (3-16014)
Kendall J. Groom, CPA (3-19301)
Kenneth C. Meissner, James Doug Scott and Mark S. "Mike" Tomich (3-16175)
Kroll Bond Rating Agency, LLC (3-20097)
Laurence I. Balter d/b/a Oracle Investment Research (3-17614)
Leonardo Cornide and Jorge Falcon (3-19511)
Linkbrokers Derivatives LLC and Aaron Nowak (3-16017; 3-16999)
Logitech International, S.A., Michael Doktorczyk, and Sherralyn Bolles, CPA (3-17212)
Lovelock & Lewes, Price Waterhouse, Bangalore, Price Waterhouse & Co., Bangalore, Price Waterhouse, Calcutta, and Price Waterhouse & Co., Calcutta (3-14321)
MagnaChip Semiconductor Corporation and Margaret Hye-Ryoung Sakai, CPA (3-17956)
Mancera, S.C., Alejandro Valdez Mendoza, C.P., and Angel Radames Corral Nieblas, C.P. (3-20173)
Mark Grahm, Blue Capital., et al. (3-18724)
Maxwell Technologies, Inc., Van M. Andrews, David J. Schramm, and James W. Dewitt, Jr., CPA (3-18408)
Mergenet Medical, Inc., Bruce Matthew Sher, Shara Anne Hernandez, and Peter Anthony DeCicco, Jr. (3-18253)
Michael S. Wilson, CPA and Cotterman-Wilson, CPAs, Inc.; James T. Budden and Alexander W. Budden (3-16652; 3-16892)
MiddleCove Capital, LLC, and Noah L. Myers (3-14993)
MMR Investment Bankers, LLC (d/b/a MMR, INC.), William G. Martin, Jr., Eugene R. Rankin, John A. Hubert, and Aaron D. Fimreite (3-14163)
Morgan Stanley, Co. LLC; Morgan Stanley ABS Capital I Inc.; and Morgan Stanley Mortgage Capital Holdings LLC (3-15982)
Morgan Stanley Smith Barney LLC (3-17809)
Morgan Stanley Smith Barney LLC (3-19793)
MVP Manager LLC (3-19334)
North East Capital, LLC and Anthony T. Vicidomine (3-15429)
Northern Trust Hedge Fund Services LLC and Northern Trust Global Fund Services Cayman Limited (3-20030)
Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc. (3-14909)
Orthofix International N.V.; Jeffrey Hammel, CPA; Brian McCollum; Kenneth Mack and Bryan McMillan (3-17791, 3-17792, 3-17793, 3-17794)
Oxford Investment Partners, LLC and Walter J. Clarke (3-14899)
Paragon Coin, Inc. (3-18897)
Pennant Management, Inc. (3-18884)
Peter Kuperman and QED Benchmark Management LLC (3-17075)
Petróleo Brasileiro S.A. - Petrobras (3-18843)
Quantek Asset Management, LLC, et al. (3-14893)
Reliance Financial Advisors, LLC (3-16311)
Robinhood Financial, LLC (3-20171)
Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr. (3-17315)
Sandra Dyche (3-16398)
Scott A. Doak (3-16941)
Securities America Advisors (3-20150)
Sica Wealth Management, LLC and Jeffrey C. Sica (3-19716)
Signator Investors, Inc. and Gregory J. Mitchell; Cory D. Williams (3-16753 and 3-16754)
Six Financial Inc. (3-18234)
Serge Matta (3-19500)
Steven Durrelle Williams (3-16246)
Strong Capital Management, Inc., Strong Investor Services, Inc., Strong Investments, Inc., Richard S. Strong, Thomas A. Hooker, Jr. and Anthony J. D'Amato (3-11498)
Success Trade, Inc., Success Trade Securities, Inc., and Fuad Ahmed (3-16755)
Super Micro Computer, Inc. and Howard Hideshima (3-19927, 3-19928)
Taberna Capital Management, LLC, Michael Fralin, and Raphael Licht (3-16776)
Train and Babcock Advisors LLC (3-18324)
Trinity Capital Corporation and William C. Enloe (3-16837, 3-16838)
UBS Financial Services Inc. of Puerto Rico (3-14863)
UBS Financial Services Inc. of Puerto Rico and Ramiro L. Colon, III (3-16846, 3-16847)
Unikrn, Inc. (3-20003)
Value Line, Inc., Value Line Securities, Inc., Jean Bernhard Buttner, and David Henigson (3-13675)
VEREIT, Inc. (3-19831)
Visium Asset Management, LP (3-18473)
Weatherford International PLC, et al. and Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA (3-17582, 3-17628)
Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC and Shawn Patrick McMurtry (3-14982)
Wells Fargo & Company (3-19704)
William B. Fretz, Jr., John P. Freeman, Covenant Capital Management Partners, L.P., and Covenant Partners, L.P. (3-16829)
Wilmington Trust Corporation (3-16098)
Wireline, Inc. (3-20206)

Alexander Capital, L.P.

File No. 3-18561

Release	Date	Notice, Order, or Plan
34-86382	Jul. 15, 2019	Order Appointing Tax Administrator
34-83562	Jun. 29, 2018	Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions

Alexander S. Gould

File No. 3-19965

Release	Date	Notice, Order, or Plan
34-89785	Sep. 8, 2019	Order Directing Payment of Certain Funds Received by the Commission
IA-5574	Sep. 8, 2018	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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

File No. 3-12114

Release	Date	Notice, Order, or Plan
34-85641	Apr. 15, 2019	Order Directing Disbursement of Fair Fund
34-82231	Dec. 7, 2017	Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-77816	May. 12, 2016	Order Approving Plan of Distribution
34-77498	Apr. 1, 2016	Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-77497	Apr. 1, 2016	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
IA-2452 IC-27171	Dec. 1, 2005	Order Directing Appointment of Tax Administrtor
IA-2451 IC-27170	Dec. 1, 2005	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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

Anastasios P. "Tommy" Belesis

File No. 3-18088

Release	Date	Notice, Order, or Plan
34-86181	Jun. 24, 2019	Order Appointing Tax Administrator
33-10395 34-81276 IC-32772	Aug. 1, 2017	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Anthony Coronati and Bidtoask LLC

File No. 3-16203

Release	Date	Notice, Order, or Plan
34-83179	May 7, 2018	Order Directing Disbursement of Fair Fund
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-80469	Apr. 17, 2017	Order Approving Plan of Distribution
		Plan of Distribution
34-80087	Feb. 22, 2017	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-73475	Oct. 30, 2014	Order Appointing Tax Administrator
33-9666 34-73381 IA-3954 IC-31293	Oct. 17, 2014	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Augustine Capital Management, LLC, (f/k/a Augustine Capital Management, Inc.), et al.

File No. 3-17740

Release	Date	Notice, Order, or Plan
34-88510	Mar. 30, 2020	Order Directing Disbursement of Fair Fund
34-85340	Mar. 18, 2019	Order Approving Plan of Distribution
		Distribution Plan
34-84675	Nov. 29, 2018	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Distribution Plan
34-82590	Jan. 26, 2018	Extension Order
34-82330	Dec. 14, 2017	Order Appointing Tax Administrator
IA-4800	Oct. 26, 2017	Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 203(E), 203(F) And 203(K) of The Investment Advisers Act Of 1940, and Section 9(B) of The Investment Company Act Of 1940 and Instituting Public Administrative Proceedings, and Imposing Sanctions Pursuant to Rule 102(E) of the Commission’s Rules of Practice as to Thomas F. Duszynski, CPA

Bankrate, Inc. and Hyunjin Lerner, CPA

File Nos. 3-16786 and 3-16787

Release	Date	Notice, Order, or Plan
34-90188	Oct. 15, 2020	Order Approving Plan of Distribution
		Distribution Plan
34-89711	Aug. 28, 2020	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-82535	Jan. 18, 2018	Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-80626	May 8, 2017	Order Establishing a Fair Fund
34-77924	May 26, 2016	Order Appointing Tax Administrator
34-77016	Feb. 2, 2016	Omnibus Order Directing the Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution Funds
33-9902 34-75850 AAER-3684	Sep. 8, 2015	Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
33-9901 34-75849 AAER-3683	Sep. 8, 2015	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Cease-and-Desist Order and Civil Penalty

Bethany Liou

File No. 3-19597

Release	Date	Notice, Order, or Plan
34-91815	May 10, 2020	Order Directing Disbursement of Distribution Fund
34-90625	Dec. 10, 2020	Order Approving Plan of Distribution
		Distribution Plan (Corrected)
34-90285	Oct. 29, 2020	Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
34-89755	Sep. 2, 2020	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Distribution Plan Comments received are available for this plan.
34-88442	Mar. 20, 2020	Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-87644	Dec. 2, 2019	Order Appointing Tax Administrator
33-10725	Nov. 4, 2019	Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing a Cease-and-Desist Order

BitClave PTE, Ltd.

File No. 3-19816

Release	Date	Notice, Order, or Plan
34-91647	Apr. 22, 2021	Order Appointing Fund Administrator and Setting Bond Amount
34-90545	Dec. 1, 2020	Order Appointing Tax Administrator
33-10788	May 28, 2020	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order

BKS Advisors, LLC and Roger T. Denha

File Nos. 3-18648 and 3-18649

Release	Date	Notice, Order, or Plan
34-89113	Jun. 22, 2020	Order Directing Disbursement of Fair Fund
34-86472	Jul. 25, 2019	Order Approving Plan of Distribution
		Distribution Plan
34-85997	May 31, 2019	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Distribution Plan
34-84452	Oct. 18, 2018	Extension Order
IA-4987	Aug. 17, 2018	Order Instituting Administrative and Cease-And-Desist Proceedings, Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order
34-83873	Aug. 17, 2018	Order Instituting Administrative and Cease-And-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order
34-84230	Sep. 20, 2018	Order Appointing Tax Administrator

BlueCrest Capital Management Limited

File No. 3-20162

Release	Date	Notice, Order, or Plan
34-92097	Jun. 3, 2021	Order Appointing Fund Administrator and Setting Administrator's Bond Amount
34-91588	Apr. 16, 2021	Order Appointing Tax Administrator
34-91102	Feb. 11, 2021	Extension Order
33-10896	Dec 8, 2020	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933 and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

BNY Mellon Securities LLC and Mark Shaw

File Nos. 3-14191 and 3-14192

Release	Date	Notice, Order, or Plan
34-84058	Sep. 7, 2018	Order Directing Second Disbursement of Fair Fund
34-81064	Jun. 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-72962	Sep. 3, 2014	Order Directing Disbursement of Fair Fund
34-71638	Feb. 28, 2014	Order Approving Modified Plan of Distribution, Appointing Fund Administrator, and Setting Fund Administrator Bond Amount
		Modified Plan of Distribution
34-68796	Jan. 31, 2013	Notice of Proposed Plan of Distribution and Opportunity For Comment
		Proposed Plan of Distribution
33-9215	Mar. 30, 2012	Extension Order
33-9215	Jun. 2, 2011	Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-63938	Feb. 22, 2011	Order Appointing Tax Administrator
34-63937	Feb. 22, 2011	Order Appointing Tax Administrator
34-63724	Jan. 14, 2011	Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
33-9174 34-63725	Jan. 14, 2011	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Canadian Imperial Holdings Inc. and CIBC World Markets Corp.

File No. 3-11987

Release	Date	Notice, Order, or Plan
34-85017	Jan. 31, 2019	Order Directing Disbursement of Fair Fund
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-65892	Dec. 5, 2011	Order Directing Disbursement of Fair Fund
34-65798	Nov. 21, 2011	Order Directing Disbursement of Fair Fund
34-65697	Nov. 7, 2011	Order Directing Disbursement of Fair Fund
34-61568	Feb. 23, 2010	Order Approving Plan, Appointing a Fund Administrator, and Waiving Bond
		Corrected Plan of Distribution
34-61142	Dec. 10, 2009	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Distribution Plan
34-53768	May 8, 2006	Order Appointing Tax Administrator
33-8593 34-52064	Jul. 20, 2005	Order Granting Waivers
33-8592 34-52063 IA-2407 IC-26994	Jul. 20, 2005	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Centaur Management Co. LLC

File No. 3-14950

Release	Date	Notice, Order, or Plan
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-74802	April 23, 2015	Order Directing Disbursement of Fair Fund
34-70015	July 22, 2013	Order Approving Plan of Distribution
		Distribution Plan
34-69604	May 17, 2013	Notice of Proposed Planof Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-69150	Mar. 15, 2013	Order Appointing Fund Administrator and Approving Fund Administrator Bond
34-67824	Sep. 11, 2012	Order Appointing Tax Administrator
34-67783	Sep. 5, 2012	Extension Order
IA-3432	Jul. 17, 2012	Order Instituting Administrative and Cease-and-Desist Proceedings Making Findings, and Imposing Remedial Sanctions and a Ceaseand-Desist Order

Charles L. Rizzo and Gina M. Hornbogen

File No. 3-14641

Release	Date	Notice, Order, or Plan
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-78230	Jul. 5, 2016	Order Directing Disbursement of Fair Fund
34-74566	Mar. 23, 2015	Order Directing Disbursement of Fair Fund
34-72667	Jul. 24, 2014	Order Approving Amended Plan of Distribution
		Amended Distribution Plan
34-72429	Jun. 18, 2014	Notice of Amended Proposed Plan of Distribution and Opportunity for Comment
		Amended Proposed Distribution Plan
34-71831	Mar. 28, 2014	Extension Order
34-71448	Jan. 30, 2014	Extension Order
34-70965	Dec. 3, 2013	Extension Order
34-70573	Sep. 30, 2013	Notice of Proposed Plan of Distribution and Opportunity for Comment Comments received are available for this proposed plan.
		Proposed Distribution Plan
34-68264	Nov. 19, 2012	Order Appointing Tax Administrator
34-68264 IA-3436	Jul. 20, 2012	Order Making Findings and Imposing Remedial Sanctions
34-65829 IA-3321	Nov. 28, 2011	Order Instituting Administrative Proceedings

Charles W. Crouse and Norman R. Hess

File No. 3-11515

Release	Date	Notice, Order, or Plan
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-65999	Dec. 16, 2011	Order Directing Disbursement of Fair Fund
34-57607	Apr. 2, 2008	Order Approving and Ratifying Prior Disbursement and Approving Future Disbursement of Fair Fund
34-53432	Mar. 7, 2006	Order Appointing Tax Administrator
34-52678	Oct. 26, 2005	Order Approving Plan of Fund Distribution, Appointing Administrator, and Consolidating Settlement Funds for Administration
34-52279	Aug. 17, 2005	Notice of Proposed Plan of Disgorgement and Fair Fund Distribution and Opportunity for Comment
33-8563 34-51480	Apr. 6, 2005	Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order
34-51266	Feb. 25, 2005	Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order
34-49829	Jun. 8, 2004	SEC Institutes Public Administrative Proceedings Against Charles W. Crouse and Norman R. Hess
	Jun. 8, 2004	Order Instituting Administrative and Cease-and-Desist Proceedings

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

File No. 3-11578

Release	Date	Notice, Order, or Plan
34-87523	Nov. 13, 2019	Order Directing Disbursement of Fair Fund
34-82118	Nov. 20, 2017	Order Directing Disbursement of Fair Fund
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-80452	Apr. 13, 2017	Order Directing Disbursement of Fair Fund
34-78370	Jul. 20, 2016	Order Directing Disbursement of Fair Fund
34-74522	Mar. 17, 2015	Order Directing Disbursement of Fair Fund
34-72999	Sep. 4, 2014	Order Directing Disbursement of Fair Fund
34-61601	Feb. 26, 2010	Order Approving Plan, Appointing a Fund Administrator, and Waiving Bond
34-61209A	Jan. 19, 2010	Amended Notice of Proposed Plan of Distribution and Opportunity for Comment
34-61209	Dec. 18, 2009	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-53477	Mar. 14, 2006	Order Appointing Tax Administrator
33-8455 34-50165 IC-26526	Aug. 9, 2004	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Citigroup Alternative Investments LLC and Citigroup Global Markets Inc.

File No. 3-16757

Release	Date	Notice, Order, or Plan
34-87000	Sep. 18, 2019	Order Directing Disbursement of Distribution Fund
34-83123	Apr. 27, 2018	Order Approving Plan of Distribution
		Distribution Plan
34-82680	Feb. 9, 2018	Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
34-82047	Nov. 9, 2017	Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
34-81570	Sep. 11, 2017	Notice of Proposed Plan of Distribution and Opportunity for Comment Comments received are available for this proposed plan.
		Proposed Plan of Distribution
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-77624	Apr. 14, 2016	Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount
34-76312	Oct. 29, 2015	Order Appointing Tax Administrator
33-9894	Aug. 17, 2015	Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From Being an Ineligible Issuer
33-9893 34-75710 IA-4174	Aug. 17, 2015	Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Section 15(b)(4) of the Securities Exchange Act of 1934, and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Citigroup Global Markets, Inc.

File No. 3-17808

Release	Date	Notice, Order, or Plan
34-81634	Sep. 14, 2017	Corrected Order Appointing Tax Administrator
33-10288	Jan. 24, 2017	Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8a of the Securities Act Of 1933, Making Findings, and Imposing a Cease-and-Desist Order

Clayborne Group, LLC and Dean A. Heinemann

File No. 3-18423

Release	Date	Notice, Order, or Plan
34-85968	May 30, 2019	Order Directing Payment of Certain Funds Received by the Commission and Directing the Transfer of Remaining Funds to Treasury
IA-4875	Apr. 5, 2018	Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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

File No. 3-11814

Release	Date	Notice, Order, or Plan
34-81961	Oct. 26, 2017	Order Directing Disbursement
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-65122	Aug. 12, 2011	Order Directing Disbursement of Fair Fund
34-62058	May 6, 2010	Order Directing Disbursement of Fair Fund
34-58939	Nov. 13, 2008	Order Directing Disbursement of Fair Fund
34-57422	Mar. 3, 2008	Order Directing Disbursement of Fair Fund
34-56857	Nov. 28, 2007	Order Directing Disbursement of Fair Fund
34-56216	Aug. 7, 2007	Order Directing Disbursement of Fair Fund
34-55922	Jun. 18, 2007	Order Directing Disbursement of Fair Fund
34-55598	Apr. 6, 2007	Order Approving a Distribution Plan
		Plan of Distribution
34-55332	Feb. 22, 2007	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan
34-55059	Jan. 8, 2007	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan
34-54474	Sep. 20, 2006	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan
34-54175	Jul. 19, 2006	Notice Of Proposed Distribution Plan and Opportunity for Comment Comments received are available for this proposal.
		Proposed Plan of Distribution
34-51341	Mar. 9, 2005	Order Directing Appointment of Tax Administrator
33-8536	Feb. 9, 2005	Order Under Rule 602(e) Under the Securities Act of 1933, Granting a Waiver of the Disqualification Provisions of Rule 602(c)(3)
33-8534 34-51164 IA-2351 IC-26752	Feb. 9, 2005	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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

Computer Sciences Corporation, Michael Laphen, Michael Mancuso, Wayne Banks, Claus Zilmer, and Paul Wakefield

File No. 3-16575

Release	Date	Notice, Order, or Plan
34-90487	Nov. 23, 2020	Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-86046	Jun. 6, 2019	Order Directing Disbursement of Fair Fund
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-80559	Apr. 28, 2017	Order Approving Plan of Distribution
		Plan of Distribution
34-80233	Mar. 13, 2017	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-79058	Oct. 6, 2016	Third Extension Order
34-78133	Jun. 22, 2016	Order Appointing Fund Plan Administrator and Setting Bond Amount
34-77985	Jun. 2, 2016	Second Extension Order
34-77223	Feb. 24, 2016	Extension Order
34-75573	Jul. 30, 2015	Order Appointing Tax Administrator
33-9804	Jun. 5, 2015	Order Instituting Public Administrative And Cease-And desist Proceedings Pursuant to Section 8a Of The Securities Act Of 1933, Sections 4c And 21c of the Securities Exchange Act Of 1934, and Rule 102(E) of the Commission's Rules Of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order ("Order")

Cornerstone Capital and Laura Jean Kent

File No. 3-13199

Release	Date	Notice, Order, or Plan
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-69057	Mar. 7, 2013	Order Directing Disbursement of Distribution Fund
34-62936	Sep. 17, 2010	Corrected Order Directing Disbursement of Disgorgement Fund
34-61653	Mar. 5, 2010	Order Approving Plan and Appointing a Plan Administrator
		Plan of Distribution
34-61208	Dec. 18, 2009	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-60848	Oct. 20, 2009	Order Granting Extension of Time to File Proposed Plan of Distribution
34-60675	Sep. 15, 2009	Order Granting Extension of Time to File Proposed Plan of Distribution
34-60327	Jul. 17, 2009	Order Appointing Tax Administrator
34-59951	May 20, 2009	Order Granting Extension of Time to File Proposed Plan of Distribution
IA-2855	Mar. 20, 2009	Order Making Findings and Imposing Remedial Sanctions and a Cease and Desist Order

Covia Holdings Corp. and Fairmount Santrol Holdings Inc. Now Known as Bison Merger Sub I, LLC

File No. 3-20163

Release	Date	Notice, Order, or Plan
34-91187	Feb. 23, 2021	Order Appointing Tax Administrator
34-91103	Feb. 11, 2021	Extension Order
33-10897	Dec 8, 2020	Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order

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

File No. 3-14594

Release	Date	Notice, Order, or Plan
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-79997	Feb. 9, 2017	Order Approving Plan of Distribution and Directing Disbursement of Fair Fund
		Plan of Distribution
34-78659	Aug. 24, 2016	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-77046	Feb. 3, 2016	Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-75506	Jul. 22, 2015	Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-74768	Apr. 20, 2015	Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-73401	Oct. 21, 2014	Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-71752	Mar. 19, 2014	Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-70390	Sep. 13, 2013	Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-69624	May 22, 2013	Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-67341	Jul. 3, 2012	Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-65908	Dec. 7, 2011	Order Appointing Tax Administrator
33-9268 IA-3302	Oct. 19, 2011	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders

See also the following Press Release:

Citigroup to Pay $285 Million to Settle SEC Charges for Misleading Investors About CDO Tied to Housing Market (Press Release No. 2011-214, October 21, 2011)

Credit Suisse Securities (USA) LLC and Sanford Michael Katz

File Nos. 3-17899 and 3-17900

Release	Date	Notice, Order, or Plan
34-87921	Jan. 9, 2020	Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-85027	Feb. 1, 2019	Corrected Order Directing Disbursement of Fair Fund
34-83999	Aug. 30, 2018	Order Approving Plan of Distribution
		Distribution Plan
34-83621	Jul. 12, 2018	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Distribution Plan
34-82722	Feb. 15, 2018	Order Appointing Tax Administrator
34-82595	Jan. 29, 2018	Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-82200	Dec. 1, 2017	Second Extension Order
34-80887	June 8, 2017	Extension Order
34-80886	June 8, 2017	Extension Order
34-80373	April 4, 2017	Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Order
IA-4679	Apr. 4, 2017	Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Order

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

File No. 3-15098

Release	Date	Notice, Order, or Plan
34-81703	Sep. 25, 2017	Order Directing Disbursement of the Bulk Settlement Practice Fair Fund
34-81702	Sep. 25, 2017	Order Directing Disbursement of the First Payment Default Practice Fair Fund
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-75878	Sep. 10, 2015	Order Establishing Fair Fund and Approving Plan of Distribution Bulk Settlement Practice
		Plan of Distribution Bulk Settlement Practice
34-75877	Sep. 10, 2015	Order Establishing Fair Fund and Approving Plan of Distribution First Payment Default Practice
		Plan of Distribution First Payment Default Practice
34-75118	Jun. 5, 2015	Extension Order
34-74806	Apr. 24, 2015	Extension Order
34-74397	Feb. 27, 2015	Extension Order
34-73890	Dec. 19, 2014	Extension Order
34-72851	Aug. 14, 2014	Notice of Proposed Plan of Distribution (First Payment Default Practice) and Opportunity for Comment Comments received are available for this proposed plan.
		Proposed Plan of Distribution First Payment Default Practice and Exhibit A; Exhibit B
34-72850	Aug. 14, 2014	Notice of Proposed Plan of Distribution (Bulk Settlements Practice) and Opportunity for Comment Comments received are available for this proposed plan.
		Proposed Plan of Distribution Bulk Settlement Practice and Exhibit A; Exhibit B
34-71300	Jan. 14, 2014	Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount
34-70695	Oct. 16, 2013	Extension Order
34-68593	Jan. 7, 2013	Extension Order
34-68349	Dec. 4, 2012	Order Appointing Tax Administrator
33-9368 34-68251	Nov. 16, 2012	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order

David F. Bandimere

File No. 3-15124

Release	Date	Notice, Order, or Plan
34-90349	Nov. 5, 2020	Order Appointing Tax Administrator
34-89896	Sep. 16, 2020	Extension Order
33-10728 34-87605	Nov. 22, 2019	Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order

DeVere USA, Inc.

File No. 3-18527

Release	Date	Notice, Order, or Plan
34-89588	Aug. 17, 2020	Order Approving Modified Plan of Distribution
		Modified Plan of Distribution
34-88919	May 21, 2020	Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
34-88452	Mar. 23, 2020	Notice of Proposed Plan of Distribution and Opportunity for Comment Comments received are available for this proposed plan.
		Distribution Plan
34-84607	Nov. 16, 2018	Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-83769	Aug. 3, 2018	Extension Order
34-83443	Jun. 14, 2018	Order Appointing Tax Administrator
IA-4933	Jun. 4, 2018	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant To Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Derik J. Todd, et al.

File No. 3-17672

Release	Date	Notice, Order, or Plan
34-85175	Feb. 22, 2019	Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-83503	Jun. 25, 2018	Second Extension Order
34-82768	Feb. 23, 2018	Extension Order
34-82329	Dec. 14, 2017	Order Appointing Tax Administrator
33-10250	Nov. 10, 2016	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8a Of The Securities Act of 1933, Section 21C of The Securities Exchange Act Of 1934, Sections 203(e), 203(e) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

EZTD, Inc.

File No. 3-17673

Release	Date	Notice, Order, or Plan
34-88454	Mar. 23, 2020	Order Appointing Fund Administrator and Setting Bond Amount
34-82195	Dec. 1, 2017	Order Appointing Tax Administrator
33-10251	Nov. 10, 2016	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

FCA US LLC and Fiat Chrysler Automobiles N.V.

File No. 3-19541

Release	Date	Notice, Order, or Plan
34-91997	May 25, 2021	Order Appointing Tax Administrator
34-91642	Apr. 22, 2021	Order Appointing Fund Administrator and Setting Bond Amount
34-87851	Dec. 23, 2019	Extension Order
33-10706 34-87134 AAER-4095	Sep. 27, 2019	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order

Fiat Chrysler Automobiles N.V.

File No. 3-20092

Release	Date	Notice, Order, or Plan
34-91572	Apr. 15, 2021	Order Appointing Fund Administrator and Setting Bond Amount
34-91571	Apr. 15, 2021	Order Appointing Tax Administrator

Fidelity National Capital Investors, Inc.

File No. 3-11514

Release	Date	Notice, Order, or Plan
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-57606	Apr. 2, 2008	Order Approving and Ratifying Prior Disbursement of Fair Fund
34-50801	Dec. 7, 2004	Order Approving Plan of Fund Distribution and Appointing Administrator
34-50493	Oct. 5, 2004	Notice of Proposed Plan of Disgorgement and Fair Fund Distribution and Opportunity for Comment
34-49824	Jun. 8, 2004	Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions as to Fidelity National Capital Investors, Inc.

Fieldstone Financial Management Group, LLC and Kristofor R. Behn

File No. 3-19227

Release	Date	Notice, Order, or Plan
34-88964	May 28, 2020	Order Directing Disbursement of Fair Fund
34-88249	Feb. 20, 2020	Order Approving Plan of Distribution
		Distribution Plan
34-87854	Dec. 23, 2019	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Distribution Plan
34-87218	Oct. 3, 2019	Order Appointing Tax Administrator
33-10655	Jul. 1, 2019	Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Fifth Street Management, LLC

File No. 3-18909

Release	Date	Notice, Order, or Plan
34-91509	Apr. 8, 2021	Order Directing Disbursement of Fair Fund
34-89024	Jun. 5, 2020	Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-86551	Aug. 1, 2019	Order Approving Plan of Distribution
		Distribution Plan
34-86190	Jun. 24, 2019	Notice of Proposed Plan of Distribution and Opportunity to Comment
		Proposed Distribution Plan
34-85742	Apr. 29, 2019	Order Appointing Tax Administrator
34-85684	Apr. 18, 2019	Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-85232	Mar. 1, 2019	Extension Order
33-10581	Dec. 3, 2018	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Sections 203(e) and 203(k) of the Investment Advisers Act of 1940 and Section 9(f) of the Investment Company Act of 1940 Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Fifth Third Bancorp and Daniel Poston

File No. 3-15635

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

First Southwest Company, LLC

File No. 3-17154

Release	Date	Notice, Order, or Plan
34-77300	Mar. 7, 2016	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b), 15B(c)(2) and 21C Of The Securities Exchange Act Of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
34-85433	Mar. 28, 2019	Order Establishing Fair Fund and Directing Payment of Funds

Focus Media Holding Limited and Jason Jiang

File No. 3-16852

Release	Date	Notice, Order, or Plan
34-88963	May 28, 2020	Order Directing Disbursement of Fair Fund
34-82411	Dec. 27, 2017	Order Approving Plan of Distribution
		Plan of Distribution
34-82002	Nov. 2, 2017	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-80544	Apr. 27, 2017	Third Extension Order
34-80436	Apr. 11, 2017	Order Appointing Fund Plan Administrator and Setting Bond Amount
34-79166	Oct. 26, 2016	Second Extension Order
34-78028	Jun. 9, 2016	Order Appointing Tax Administrator
34-78006	Jun. 7, 2016	Extension Order
33-9933	Sep. 30, 2015	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order

Fortress Investment Management, LLC, and William M. Malloy, III

File No. 3-19715

Release	Date	Notice, Order, or Plan
34-91508	Apr. 8, 2021	Order Directing Disbursement of Fair Fund
34-90924	Jan. 14, 2021	Order Approving Plan of Distribution
		Plan of Distribution
34-90483	Nov. 23, 2020	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-88597	Apr. 8, 2020	Order Appointing Tax Administrator
34-88588	Apr. 8, 2020	Extension Order
IA-5452 IC-33807	Feb. 27, 2020	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Foundations Asset Management, LLC, Michael W. Shamburger, and Rob E. Wedel

File No. 3-19266

Release	Date	Notice, Order, or Plan
34-89521	Aug. 11, 2020	Order Appointing Tax Administrator
34-86446 IA-5306	Jul. 24, 2019	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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

File No. 3-12540

Release	Date	Notice, Order, or Plan
34-85791	May 6, 2019	Order Directing Third Disbursement of Fair Fund
34-83915	Aug. 23, 2018	Order Directing Second Disbursement of Fair Fund
34-81698	Sep. 25, 2017	Order Directing Disbursement of Fair Fund
34-81064	Jun. 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-75520	Jul. 24, 2015	Order Approving a Plan of Distribution
		Plan of Distribution
34-75515	Jul. 23, 2015	Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount
34-74871	May 5, 2015	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-55888	Jun. 8, 2007	Order Appointing Tax Administrator
34-55118	Jan. 18, 2007	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Gemini Fund Services, LLC

File No. 3-18348

Release	Date	Notice, Order, or Plan
34-83070	Apr. 19, 2018	Order Appointing Tax Administrator
34-83069	Apr. 19, 2018	Order Directing Payment of Certain Funds Received by the Commission and Directing Transfer of Remaining Funds to the U.S. Treasury
IA-4847	Jan. 22, 2018	Order Instituting Cease-and-Desist Proceedings, Pursuant to Section 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order

General Electric Company

File No. 3-20165

Release	Date	Notice, Order, or Plan
34-91606	Apr. 16, 2021	Order Appointing Tax Administrator
34-9124	Mar. 2, 2021	Extension Order
33-10899 34-90620 AAER-4194	Dec. 9, 2020	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

George B. Franz III and Ruby Corporation

File No. 3-15526

Release	Date	Notice, Order, or Plan
34-81064	Jun. 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-72334	Jun. 5, 2014	Order Appointing Tax Administrator
34-72058	Apr. 30, 2014	Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 203(e), (f), and (k) of the Investment Advisers Act of 1940, Section 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940
34-70533	Sep. 26, 2013	Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e), (f), and (k) of the Investment Advisers Act of 1940, Section 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940

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

File No. 3-14854

Release	Date	Notice, Order, or Plan
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-79440	Dec. 1, 2016	Order Approving Plan of Distribution
		Plan of Distribution
34-79139	Oct. 21, 2016	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-70591	Oct. 1, 2013	Extension Order
34-68869	Feb. 8, 2013	Extension Order
34-68774	Jan. 30, 2013	Order Appointing Tax Administrator
33-9315 34-66837 IA-3399 IC-30040	Apr. 20, 2012	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Order

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

File No. 3-15211

Release	Date	Notice, Order, or Plan
34-83502	Jun. 25, 2018	Order Directing Disbursement of Fair Fund
34-82677	Feb. 9, 2018	Order Approving Amended Plan of Distribution
		Distribution Plan
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-76837	Jan. 5, 2016	Notice of Amended Proposed Plan of Distribution and Opportunity for Comment Comments received are available for this notice.
		Proposed Amended Plan of Distribution
34-75059	May 28, 2015	Extension Order
34-74607	Mar. 30, 2015	Notice of Proposed Plan of Distribution and Opportunity for Comment Comments received are available for this notice.
		Proposed Plan of Distribution
34-72856	Aug. 15, 2014	Order Appointing Tax Administrator
33-9480 34-70904	Nov. 20, 2013	Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Respondents Gregg C. Lorenzo and Charles Vista, LLC
33-9385 34-68943	Feb. 15, 2013	Order Instituting Administrative and Cease-and-Desist Proceedings

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

File No. 3-15654

Release	Date	Notice, Order, or Plan
34-87123	Sep. 26, 2019	Order Directing Sixth Disbursement of Fair Fund
34-81695	Sep. 25, 2017	Order Directing Fifth Disbursement of Fair Fund
34-81571	Sep. 11, 2017	Order Directing Fourth Disbursement of Fair Fund
34-80232	Mar. 13, 2017	Order Directing Third Disbursement of Fair Fund
34-80078	Feb. 22, 2017	Order Directing Second Disbursement of Fair Fund
34-79235	Nov. 3, 2016	Order Directing Disbursement of Fair Fund
34-75519	Jul. 24, 2015	Order Approving a Plan of Distribution
		Plan of Distribution
34-74614	Mar. 31, 2015	Extension Order
34-73865	Dec. 17, 2014	Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount
34-73795	Dec. 9, 2014	Extension Order
34-72800	Aug. 8, 2014	Extension Order
34-72487	Jun. 27, 2014	Extension Order
34-72146	May 9, 2014	Notice of Proposed Plan of Distribution and Opportunity for Comment Comments received are available for this proposal.
		Proposed Plan of Distribution
34-71558	Feb. 18, 2014	Extension Order
34-71128	Dec. 18, 2013	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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

File No. 3-12678

Release	Date	Notice, Order, or Plan
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-79803	Jan. 13, 2017	Order Directing Disbursement of Fair Fund
34-62200	Jun. 1, 2010	Order Approving Plan, Appointing a Fund Administrator, and Waiving Bond
		Final Plan of Distribution
34-61897	Apr. 13, 2010	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-56909	Dec. 5, 2007	Order Appointing Tax Administrator
33-8820 IA-2617 IC-27883	Jul. 6, 2007	Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, Imposing a Cease-and-Desist Order, and Imposing Remedial Sanctions

Houston American Energy Corp., John F. Terwilliger, Jr., Undiscovered Equities Inc., and Kevin T. McKnight

File No. 3-16000

Release	Date	Notice, Order, or Plan
34-85185	Feb. 25, 2019	Corrected Order Appointing Tax Administrator
34-83636	Jul. 16, 2018	Order Establishing a Fair Fund, Appointing a Fund Administrator, and Setting Administrator's Bond Amount
33-9621 34-72749	Aug. 4, 2014	Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8a of the Securities Act of 1933 and 21C of the Securities Exchange Act of 1934

Howard Richards; James Goodland, and Securus Wealth Management, LLC

File Nos. 3-16877 and 3-16878

Release	Date	Notice, Order, or Plan
34-82902	Mar. 16, 2018	Order Appointing Fund Administrator and Waiving Bond
34-82835	Mar. 8, 2018	Order Appointing Tax Administrator
34-82184	Nov. 30, 2017	Third Extension Order
34-80842	Jun. 1, 2017	Second Extension Order
34-79449	Dec. 1, 2016	Extension Order
IA-4213	Sep. 30, 2015	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(E), 203(F) and 203(K) of The Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order(James Goodland, and Securus Wealth Management, LLC)
34-76058	Sep. 30, 2015	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant To Sections 15(B) and 21c of the Secutrities Exchange Act of 1934, Sections 203(F) and 203(K) of the Investment Advisers Act of 1940, and Section 9(B) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Howard Richards)

IFS Securities

File No. 3-19220

Release	Date	Notice, Order, or Plan
34-87269	Oct. 10, 2019	Order Appointing Tax Administrator
34-87175	Sep. 30, 2019	Order Directing Payment of Certain Funds Received by the Commission and Directing the Transfer of Remaining Funds to Treasury
34-86210	Jun. 27, 2019	Order Instituting Administrative Proceedings Pursuant to Sections 15(b) and 15B(c) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions

Institutional Investors Advisory Company

File No. 3-18114

Release	Date	Notice, Order, or Plan
34-81627	Sep. 14, 2017	Order Appointing Tax Administrator
IA-4747	Aug. 16, 2017	Order Instituting Cease-and-Desist Proceedings Pursuant to Section 203(K) of the Investment Advisers Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order

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

File No. 3-18171

Release	Date	Notice, Order, or Plan
34-89025	Jun. 5, 2020	Order Directing Disbursement of Fair Fund
34-87283	Oct. 10, 2019	Order Approving Plan of Distribution
		Plan of Distribution
34-86733	Aug. 22, 2019	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Distribution Plan
34-84554	Nov. 8, 2018	Extension Order
34-83068	Apr. 19, 2018	Order Appointing Tax Administrator
34-81584	Sep. 12, 2017	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 21C Of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

JPMorgan Chase & Co.

File No. 3-15507

Release	Date	Notice, Order, or Plan
34-86727	Aug. 22, 2019	Order Directing Disbursement of Fair Fund
34-84532	Nov. 5, 2018	Order Setting Fund Administrator's Bond Amount
	Feb. 7, 2017	Motion to Amend Plan of Distribution
34-81383	Aug. 11, 2017	Order Directing Disbursement of Fair Fund
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-74266	Feb. 12, 2015	Order Approving Plan of Distribution
		Plan of Distribution
34-73824	Dec. 11, 2014	Notice of Proposed Distribution Plan and Opportunity for Comment
		Proposed Distribution Plan
34-72181	May 16, 2014	Extension Order
34-71825	Mar. 27, 2014	Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount
34-71654	Mar. 5, 2014	Order Establishing a Fair Fund
34-70780	Oct. 30, 2013	Extension Order
34-70615	Oct. 4, 2013	Order Appointing Tax Administrator
34-70458 AAER-3490	Sep. 19, 2013	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order

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

File No. 3-15014

Release	Date	Notice, Order, or Plan
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-75294	Jun. 24, 2014	Order Directing Disbursement of Distribution Fund
34-73679	Nov. 25, 2014	Order Approving Plan of Distribution
		Final Plan of Distribution
34-73322	Oct. 8, 2014	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-72486	Jun. 26, 2014	Extension Order
34-68172	Nov. 6, 2012	Extension Order
34-67958	Oct. 2, 2012	Order Appointing Tax Administrator
34-67808 IA-3460	Sep. 10, 2012	Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions

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

File No. 3-10765

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

Keith MacDonald Summers

File No. 3-16014

Release	Date	Notice, Order, or Plan
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-75679	Aug. 12, 2015	Order Directing Disbursement of Disgorgement Fund
34-74812	Apr. 27, 2015	Order Approving Plan of Distribution
		Plan of Distribution
34-74461	March 10, 2015	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-73400	Oct. 21, 2014	Extension Order
34-73073	Sep. 11, 2014	Order Appointing Tax Administrator
33-9630 34-72836 IA-3895 IC-31210	Aug. 13, 2014	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Kendall J. Groom, CPA

File No. 3-19301

Release	Date	Notice, Order, or Plan
34-86764	Aug. 26, 2019	Order Appointing Tax Administrator
34-86541	August 1, 2019	Order Directing Payment of Certain Funds Received by Commission
34-86540	August 1, 2019	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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

File No. 3-16175

Release	Date	Notice, Order, or Plan
34-91115	Feb. 11, 2021	Order Directing Third Disbursement of Fair Fund
34-85173	Feb. 22, 2019	Order Directing Second Disbursement of Fair Fund
34-81696	Sep. 25, 2017	Order Approving Plan of Distribution, Appointing a Distribution Plan Administrator, and Authorizing Transfer of Fair Fund Funds
		Plan of Distribution
34-81449	Aug. 21, 2017	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-81385	Aug. 14, 2017	Order Establishing Fair Fund
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-79522	Dec. 9, 2016	Order Appointing Tax Administrator
34-76001	Sep. 28, 2015	Finality Order - James Doug Scott
34-75005	May 20, 2015	Finality Order - Kenneth C. Meissner
34-73226	Sep. 25, 2014	Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 9(b) of the Investment Company Act of 1940

Kroll Bond Rating Agency, LLC

File No. 3-20097

Release	Date	Notice, Order, or Plan
34-90348	Nov. 5, 2020	Order Appointing Tax Administrator
34-90037	Sep. 29, 2020	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
34-90038	Sep. 29, 2020	Order Directing Payment of Certain Funds Received by the Commission

Laurence I. Balter d/b/a Oracle Investment Research

File No. 3-17614

Release	Date	Notice, Order, or Plan
34-91738	Apr. 30, 2021	Extension Order
34-91570	Apr. 15, 2021	Order Appointing Fund Administrator and Setting Bond Amount
34-81445	Aug. 21, 2017	Order Appointing Tax Administrator
33-10367 34-80801 IC-32664 IA-4710	May 26, 2017	Order Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order

Leonardo Cornide and Jorge Falcon

File No. 3-19511

Release	Date	Notice, Order, or Plan
34-90006	Sep. 25, 2020	Order Directing Fourth Payment of Certain Funds Received by the Commission
34-89390	Jul. 23, 2020	Order Directing Third Payment of Certain Funds Received by the Commission
34-88777	Apr. 30, 2020	Order Directing Second Payment of Certain Funds Received by the Commission
34-88145	Feb. 7, 2020	Order Appointing Tax Administrator
34-88144	Feb. 7, 2020	Order Directing Payment of Certain Funds Received by the Commission
IA-5366A	Jan. 24, 2020	Amended Order Instituting Cease-And- Desist Proceedings Pursuant to Section 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order

Linkbrokers Derivatives LLC and Aaron Nowak

File Nos. 3-16017 and 3-16999

Release	Date	Notice, Order, or Plan
34-84712	Dec. 3, 2018	Order Directing Disbursement of Fair Fund
34-84407	Oct. 11, 2018	Order Directing Payment of Fund Administrator Fees, and Approval of Future Fees and Expenses
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-79248	Nov. 4, 2016	Order Approving Plan of Distribution
		Plan of Distribution
34-78577	Aug. 15, 2016	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-76815	Dec. 31, 2015	Extension Order
33-9988 34-76628 IC-31934	Dec. 11, 2015	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Nowak)
34-75784	Aug. 28, 2015	Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount
34-75341	Jul. 1, 2015	Extension Order
34-73651	Nov. 20, 2014	Extension Order
34-73012	Sep. 5, 2014	Order Appointing Tax Administrator
34-72846	Aug. 14, 2014	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant To Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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

File No. 3-17212

Release	Date	Notice, Order, or Plan
34-90347	Nov. 5, 2020	Order Directing Disbursement of Fair Fund
34-85530	Apr. 5, 2019	Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-84493	Oct. 26, 2018	Order Approving Corrected Plan of Distribution
		Corrected Distribution Plan
34-84044	Sep. 6, 2018	Notice of Proposed Plan of Distribution and Opportunity to Comment
		Proposed Distribution Plan
34-82972	Mar. 30, 2018	Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-82783	Feb. 27, 2018	Order Establishing a Fair Fund
34-82187	Nov. 30, 2017	Order Appointing Tax Administrator
34-77644 AAER-3765	Apr. 19, 2016	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Cease-and-Desist Orders and Penalties

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

File No. 3-14321

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

MagnaChip Semiconductor Corporation and Margaret Hye-Ryoung Sakai, CPA, CPA

File No. 3-17956

Release	Date	Notice, Order, or Plan
34-88430	Mar. 19, 2020	Order Appointing Fund Administrator and Setting Bond Amount
34-83437	Jun. 14, 2018	Order Appointing Tax Administrator
34-83433	June 14, 2018	Extension Order
33-10352	May 1, 2017	Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of The Securities Act Of 1933, Sections 4C and 21C of The Securities Exchange Act Of 1934, And Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders

Mancera, S.C., Alejandro Valdez Mendoza, C.P., and Angel Radames Corral Nieblas, C.P.

File No, 3-20173

Release	Date	Notice, Order, or Plan
34-91792	May 7, 2021	Order Appointing Tax Administrator
34-91104	Feb. 11, 2021	Extension Order
33-90699	Dec. 17, 2020	Order Instituting Public Administrative and Cease- And-Desist Proceedings Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Mark Grahm, Blue Capital., et al.

File No. 3-18724

Release	Date	Notice, Order, or Plan
IA-5000	Sep. 6, 2018	Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
34-84043	Sep. 6, 2018	Order Directing Payment of Certain Funds Received by Commission
34-84443	Oct. 17, 2018	Order Appointing Tax Administrator

Maxwell Technologies, Inc., Van M. Andrews, David J. Schramm, and James W. Dewitt, Jr., CPA

File No. 3-18408

Release	Date	Notice, Order, or Plan
34-86125	Jun. 17, 2019	Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-86102	Jun. 13, 2019	Order Directing Disbursement of Fair Fund
34-84531	Nov. 5, 2018	Order Approving Plan of Distribution
		Plan of Distribution
34-84296	Sep. 27, 2018	Notice of Proposed Plan of Distribution and Opportunity to Comment
		Proposed Plan of Distribution
34-83727	Jul. 27, 2018	Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-83333	May 25, 2018	Order Appointing Tax Administrator
33-10472	Mar. 27, 2018	Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (“Order”)

Mergenet Medical, Inc., Bruce Matthew Sher, Shara Anne Hernandez, and Peter Anthony DeCicco, Jr.

File No. 3-18253

Release	Date	Notice, Order, or Plan
34-88847	May 11, 2020	Order Appointing Tax Administrator
33-10426	Oct. 16, 2017	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing A Cease-and-Desist Order

Michael S. Wilson, CPA and Cotterman-Wilson, CPAs, Inc.; James T. Budden and Alexander W. Budden

File Nos. 3-16652 and 3-16892

Release	Date	Notice, Order, or Plan
34-79427	Nov. 29, 2016	Order Approving Plan of Distribution and Directing Disbursement of Fair Funds
		Plan of Distribution
34-78848	Sep. 15, 2016	Notice of Proposed Plan of Distribution and Opportunity For Comment *Comments due:* 30 days from date of this Notice
		Proposed Plan of Distribution
IA-4225	Oct. 13, 2015	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (James T. Budden and Alexander W. Budden)
34-75298 IA-4130 AAER-3665	Jun. 25, 2015	Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Michael S. Wilson, CPA and Cotterman-Wilson CPAs, Inc.)

MiddleCove Capital, LLC, and Noah L. Myers

File Nos. 3-14993

Release	Date	Notice, Order, or Plan
34-83669	Jul. 19, 2018	Order Approving Plan of Distribution
		Distribution Plan
34-83364	Jun. 4, 2018	Notice of Proposed Plan of Distribution and Opportunity for Comment *Comments due:* 30 days from date of this Notice
		Proposed Distribution Plan
34-81287	Aug. 2, 2017	Order Appointing Tax Administrator
34-68669 IA-3534 IC-30351	Jan. 16, 2013	Order Making Findings and Imposing Remedial Sancations and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940

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

File No. 3-14163

Release	Date	Notice, Order, or Plan
34-85832	May 10, 2019	Order Appointing Tax Administrator
33-9221 34-64626	Jun. 8, 2011	Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Respondent Aaron D. Fimreite
33-9220 34-64625	Jun. 8, 2011	Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Respondent John A. Hubert
33-9219 34-64624	Jun. 8, 2011	Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Respondent Eugene R. Rankin
33-9218 34-64623	Jun. 8, 2011	Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Respondent William G. Martin, Jr.
33-9217 34-64623	Jun. 8, 2011	Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Respondent MMR Investment Bankers, LLC (d/b/a MMR, Inc.)
33-9163 34-64543	Jun. 8, 2011	Order Instituting Administrative and Cease-and-Desist Proceedings

Morgan Stanley, Co. LLC; Morgan Stanley ABS Capital I Inc.; and Morgan Stanley Mortgage Capital Holdings LLC

File No. 3-15982

Release	Date	Notice, Order, or Plan
34-89201	Jun. 30, 2020	Order Approving Plan of Distribution
		Plan of Distribution
34-86474	Jul. 25, 2019	Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
34-85998	May 31, 2019	Notice of Proposed Plan of Distribution and Opportunity for Comment Comments received are available for this proposed plan.
		Proposed Plan of Distribution
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-77063	Feb. 4, 2016	Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount
34-74231	Feb. 6, 2015	Order Appointing Tax Administrator
33-9618	Jul. 24, 2014	Order Granting Waivers of the Disqualification Provisions
33-9617	Jul. 24, 2014	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order

Morgan Stanley Smith Barney LLC

File No. 3-17809

Release	Date	Notice, Order, or Plan
34-81633	Sep. 14, 2017	Corrected Order Appointing Tax Administrator
33-10290	Jan 24, 2017	Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing a Cease-and-Desist Order

Morgan Stanley Smith Barney LLC

File No. 3-19793

Release	Date	Notice, Order, or Plan
34-92096	Jun. 3, 2021	Order Appointing Fund Administrator and Setting Administrator's Bond Amount
34-91737	Apr. 30, 2021	Second Extension Order
34-89383	Jul. 23, 2020	Extension Order
34-88969	May 28, 2020	Order Appointing Tax Administrator
34-88856 IA-5499	May 12, 2020	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

MVP Manager LLC

File No. 3-19334

Release	Date	Notice, Order, or Plan
34-90187	Oct. 15, 2020	Order Appointing Tax Administrator
34-87396	Oct. 24, 2019	Extension Order
IA-5319	Aug. 13, 2019	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

North East Capital, LLC and Anthony T. Vicidomine

File No. 3-15429

Release	Date	Notice, Order, or Plan
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-78173	Jun. 28, 2016	Order Directing Disbursement of Fair Fund
34-78100	Jun. 17, 2016	Order Approving Amended Plan of Distribution
		Amended Plan of Distribution
34-77712	Apr. 26, 2016	Notice of Proposed Amended Plan of Distribution and Opportunity for Comment
		Proposed Amended Plan of Distribution
34-75753	Aug. 25, 2015	Extension Order
34-74808	Apr. 24, 2015	Extension Order
34-74355	Feb. 24, 2015	Extension Order
34-73921	Dec. 23, 2014	Notice of Proposed Plan of Distribution and Opportunity for Comment Comments received are available for this proposed plan.
		Proposed Plan of Distribution
34-72419	Jun. 18, 2014	Order Appointing Tax Administrator
33-9442 34-70223 IA-3651 IC-30651	Aug. 16, 2013	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Northern Trust Hedge Fund Services LLC and Northern Trust Global Fund Services Cayman Limited

File No. 3-20030

Release	Date	Notice, Order, or Plan
34-91818	May 10, 2021	Extension Order
IA-5585	Sept. 18, 2020	Order Instituting Cease-and-Desist Proceedings Pursuant to Section 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order

Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc.

File No. 3-14909

Release	Date	Notice, Order, or Plan
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-79247	Nov. 4, 2016	Order Directing Disbursement For Second Distribution, Payment of Fund Administrator Fees, and Approval of Future Fees And Expenses
34-78224	Jul. 1, 2016	Order Approving Application of Fund Administrator for Payment of Fees and Expenses
34-75551	Jul. 29, 2015	Order Directing Disbursement of Fair Fund
34-74005	Jan. 6, 2015	Order Approving Application of Fund Administrator for Payment of Fees and Expenses
34-71493	Feb. 5, 2014	Order Approving Plan of Distribution
		Plan of Distribution
34-71119	Dec. 18, 2013	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-70244	Aug. 21, 2013	Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-69873	Jun. 27, 2013	Order Granting Extenstion of Time to Submit Proposed Plan of Distribution
34-69418	Apr. 19, 2013	Order Granting Extenstion of Time to Submit Proposed Plan of Distribution
34-69138	Mar. 14, 2013	Order Appointing Fund Administrator and Approving Fund Administrator Bond
34-67363	Jul. 6, 2012	Order Appointing Tax Administrator
33-9329 34-67142 IA-3417 IC-30099	Jun. 6, 2012	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Orthofix International N.V.; Jeffrey Hammel, CPA; Brian McCollum; Kenneth Mack and Bryan McMillan

File Nos. 3-17791, 3-17792, 3-17793, 3-17794

Release	Date	Notice, Order, or Plan
34-89223	Jul. 6, 2020	Order Directing Disbursement of Fair Fund
34-86100	Jun. 13, 2019	Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-83497	Jun. 22, 2018	Order Approving Distribution Plan
		Distribution Plan
34-83133	Apr. 30, 2018	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Distribution Plan
34-82933	Mar. 22, 2017	Third Extension Order
34-82410	Dec. 27, 2017	Order Consolidating Fair Funds, Appointing Fund Administrator, and Setting Administrator Bond Amount
34-81623	Sept. 14, 2017	Second Extension Order
34-81624	Sept. 14, 2017	Second Extension Order
34-81622	Sept. 14, 2017	Second Extension Order
34-81620	Sept. 14, 2017	Second Extension Order
34-81273	Jul. 31, 2017	Order Appointing Tax Administrator
34-81272	Jul. 31, 2017	Order Appointing Tax Administrator
34-81271	Jul. 31, 2017	Order Appointing Tax Administrator
34-81257	Jul. 31, 2017	Order Appointing Tax Administrator
34-80354	Mar. 31, 2017	Extension Order
34-80353	Mar. 31, 2017	Extension Order
34-80352	Mar. 31, 2017	Extension Order
34-80351	Mar. 31, 2017	Extension Order
34-79820 AAER-3848	Jan. 18, 2017	Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Cease-and-Desist Orders and Penalties
34-79819 AAER-3847	Jan. 18, 2017	Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Cease-and-Desist Orders and Remedies
33-10282 34-79817 AAER-3846	Jan. 18, 2017	Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 4C and 21C of the Securities Exchange Act of 1934, and Rule 102(e) of the Commission's Rules of Practice, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order
33-10281 34-79815 AAER-3845	Jan. 18, 2017	Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Oxford Investment Partners, LLC and Walter J. Clarke

File No. 3-14899

Release	Date	Notice, Order, or Plan
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-68993	Feb. 27, 2013	Order Appointing Tax Administrator
IA-3554 IC-30385	Feb. 15, 2013	Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Walter J. Clarke
IA-3553 IC-30384	Feb. 15, 2013	Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Oxford Investment Partners, LLC
IA-3412 IC-30086	May 30, 2012	Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing

Paragon Coin, Inc.

File No. 3-18897

Release	Date	Notice, Order, or Plan
34-91522	Apr. 9, 2021	Order Establishing a Fair Fund

Pennant Management, Inc.

File No. 3-18884

Release	Date	Notice, Order, or Plan
34-88804	May 4, 2020	Order Appointing Tax Administrator
34-85089	Feb. 11, 2019	Extension Order
IA-5061	Feb 11, 2019	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Peter Kuperman and QED Benchmark Management LLC

File No. 3-17075

Release	Date	Notice, Order, or Plan
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-77262	Mar. 1, 2016	Order Appointing Tax Administrator
33-10009 34-76991 IA-4323 IC-31973	Jan. 28, 2016	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Petróleo Brasileiro S.A. - Petrobras

File No. 3-18843

Release	Date	Notice, Order, or Plan
34-90465	Nov. 20, 2020	Order Appointing Tax Administrator
34-87889	Jan. 6, 2020	Order Appointing Fund Administrator and Setting Bond Amount
34-87889	Sep. 27, 2018	Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934

Quantek Asset Management, LLC, et al.

File No. 3-14893

Release	Date	Notice, Order, or Plan
34-86050	Jun. 6, 2019	Order Approving Plan of Distribution
		Distribution Plan
34-85473	Mar. 29, 2019	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Distribution Plan
33-9326	May 29, 2012	Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 203(e), 203(f), And 203(k) of The Investment Advisers Act of 1940, and Section 9(B) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders

Reliance Financial Advisors, LLC

File No, 3-16311

Release	Date	Notice, Order, or Plan
34-91793	May 7, 2021	Order Appointing Tax Administrator
33-9872	July 31, 2015	Order 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), 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 as to Reliance Financial Advisors, LLC and Walter F. Grenda, Jr.

Robinhood Financial, LLC

File No, 3-20171

Release	Date	Notice, Order, or Plan
34-92115	Jun. 4, 2021	Notice of Proposed Plan of Distribution and Opportunity for Comment Submit Comments on 3-20171
34-91590	Apr. 16, 2021	Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-91105	Feb. 11, 2021	Extension Order
34-91061	Feb. 4, 2021	Order Appointing Tax Administrator
33-10906	Dec. 17, 2020	Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8a of the Securities Act of 1933 and Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and A Cease-and-Desist Order

Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr.

File No. 3-17315

Release	Date	Notice, Order, or Plan
34-88762	Apr. 28, 2020	Order Directing Disbursement of Fair Fund
34-83436	Jun. 14, 2018	Order Approving Plan of Distribution
		Distribution Plan
34-83162	May 3, 2018	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Distribution Plan
34-82745	Feb. 21, 2018	Second Extension Order
34-81674	Sep. 21, 2017	Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-81141	Jul. 13, 2017	Order Appointing Tax Administrator
34-80739	May 23, 2017	Extension Order
34-78147	Jun. 23, 2016	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant To Sections 15(B) and 21c of the Secutrities Exchange Act of 1934, Sections 203(e) and 203(f) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

S&P Dow Jones Indices LLC

File No. 3-20310

Release	Date	Notice, Order, or Plan
34-92425	Jul. 16, 2021	Extension Order
34-92424	Jul. 16, 2021	Order Appointing Tax Administrator
33-10943	May 17, 2021	Order Instituting Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing a Cease-and-Desist Order

Sandra Dyche

File No. 3-16398

Release	Date	Notice, Order, or Plan
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-79881	Jan. 26, 2017	Order Directing Disbursement of Fair Fund
34-79866	Jan. 24, 2016	Order Approving Distribution Plan
		Plan of Distribution
34-78889	Sep. 20, 2016	Notice of Proposed Plan of Distribution and Opportunity for Comment *Comments due:* 30 days from date of this Notice Comments received are available for this proposed plan.
		Proposed Plan of Distribution
34-77980	Jun. 2, 2016	Second Extension Order
34-77208	Feb. 23, 2016	Extension Order
34-77131	Feb. 12, 2016	Order Appointing Tax Administrator
33-9729	Feb. 20, 2015	Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Scott Doak

File No. 3-16941

Release	Date	Notice, Order, or Plan
34-81154	Jul. 17, 2017	Order Approving Tax Administrator
33-9976 34-76350 IA-4256 IC-31892	Nov. 4, 2015	Order Instituting Administrative and Cease-And-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Serge Matta

File No. 3-19500

Release	Date	Notice, Order, or Plan
34-87815	Dec. 20, 2019	Extension Order
33-10693 34-87070 AAER-4092	Sep. 24, 2019	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order

Securities America Advisors

File No. 3-20150

Release	Date	Notice, Order, or Plan
34-92426	Jul. 16, 2021	Order Appointing Fund Administrator and Setting Administrator's Bond Amount
34-91966	May 21, 2021	Order Appointing Tax Administrator
34-91884	May 13, 2021	Extension Order
IA-5627	Nov. 13, 2020	Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e)and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Sica Wealth Management, LLC and Jeffrey C. Sica

File No. 3-19716

Release	Date	Notice, Order, or Plan
34-88598	Apr. 8, 2020	Order Appointing Tax Administrator
IA-5453	Feb. 27, 2020	Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Signator Investors, Inc. and Gregory J. Mitchell; Cory D. Williams

File No. 3-16753 and 3-16754

Release	Date	Notice, Order, or Plan
34-91589	Apr. 16, 2021	Order Directing Disbursement of Fair Fund
34-91111	Feb. 11, 2021	Order Approving Plan of Distribution
		Plan of Distribution
34-90836	Dec. 31, 2020	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-88005	Jan. 17, 2020	Order Appointing Tax Administrator
34-75691	Aug. 13, 2015	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
34-75690	Aug. 13, 2015	Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(e) and 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions

Six Financial Information Inc.

File No. 3-18234

Release	Date	Notice, Order, or Plan
34-81960	Oct. 26, 2017	Order Appointing Tax Administrator
IA-4780	Sep. 28, 2017	Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(F) and 203(K) of the Investment Advisers Act of 1940, and Section 9(B) of the Investment Company Act of 1940, Making Findings, And Imposing Remedial Sanctions and a Cease-and-Desist Order

Steven Durrelle Williams

File No. 3-16246

Release	Date	Notice, Order, or Plan
33-9676	Nov. 4, 2014	Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
34-74081	Jan. 16, 2015	Order Appointing Tax Administrator
34-68683	Jan. 17, 2013	Omnibus Order Directing the Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution Funds

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

Release	Date	Notice, Order, or Plan
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-79136	Oct. 21, 2016	Order Approving Use of Fair Fund to Pay Outstanding and Remaining Fees and Expenses
34-64327	Apr. 22, 2011	Order Directing Disbursement of Fair Fund
34-63143	Oct. 21, 2010	Order Directing Disbursement of Fair Fund
34-62475	Jul. 8, 2010	Order Directing Disbursement of Fair Fund
34-60667	Sep. 14, 2009	Order Approving Distribution Plan, Appointing an Administrator, and Waiving Bond
34-60406	Jul. 30, 2009	Notice of Proposed Distribution Plan and Opportunity for Comment
		Proposed Plan of Distribution
	May 13, 2005	Order Creating a Fair Fund
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.
34-51341	Mar. 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

Success Trade, Inc., Success Trade Securities, Inc., and Fuad Ahmed

File No. 3-16755

Release	Date	Notice, Order, or Plan
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-75789	Aug. 28, 2015	Order Appointing Tax Administrator
33-9891	Aug. 14, 2015	Order Instituting Administrative and Cease-And-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940, Making Findings, Imposing Remedial Sanctions and a Cease-and-Desist Order, and Ordering Continuation of Proceedings

Super Micro Computer, Inc., Howard Hideshima

File Nos. 3-19927, 3-19928

Release	Date	Notice, Order, or Plan
34-91507	Apr. 8, 2021	Order Approving Plan of Distribution
		Distribution Plan
34-91046	Feb. 3, 2021	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-90784	Dec. 22, 2020	Order Appointing Fund Administrator and Setting Bond Amount
34-90373	Nov. 6, 2020	Order Appointing Tax Administrator
34-90313	Nov. 2, 2020	Extension Order
34-89657	Aug. 25, 2020	Corrected 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
33-10822	Aug. 25, 2020	Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of The Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order

Taberna Capital Management, LLC, Michael Fralin, and Raphael Licht

File No. 3-16776

Release	Date	Notice, Order, or Plan
34-85762	May 2, 2019	Order Approving Modified Plan of Distribution
		Modified Distribution Plan
34-85092	Feb. 11, 2019	Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
34-84725	Dec. 6, 2018	Notice of Proposed Plan of Distribution and Opportunity for Comment *Comments due:* 30 days from date of this Notice Comments received are available for this proposed plan.
		Proposed Distribution Plan
34-84329	Oct. 1, 2018	Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-82124	Nov. 20, 2017	Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-81477	Aug. 24, 2017	Order Establishing a Fair Fund
34-81244	Jul. 27, 2017	Order Appointint Tax Administrator
34-75814 IA-4186 IC-31803	Sep. 2, 2015	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Train and Babcock Advisors LLC

File No. 3-18324

Release	Date	Notice, Order, or Plan
34-89013	Jun. 4, 2020	Order Directing Payment of Certain Funds Received by the Commission and Directing Transfer of Remaining Funds to the U.S. Treasury
34-83914	Aug. 23, 2018	Order Appointing Tax Administrator

Trinity Capital Corporation and William C. Enloe

File Nos. 3-16837, 3-16838

Release	Date	Notice, Order, or Plan
34-91569	Apr. 15, 2021	Order Appointing Tax Administrator
34-89135	Jun. 23, 2020	Order Establishing Fair Fund
33-9931 34-75998 AAER-3707	Sep. 28, 2015	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order and Penalties
33-9930 34-75997 AAER-3706	Sep. 28, 2015	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order and Penalties

UBS Financial Services Inc. of Puerto Rico

File No. 3-14863

Release	Date	Notice, Order, or Plan
34-89195	Jun. 30, 2020	Order Directing Disbursement of Fair Fund
34-87586	Nov. 21, 2019	Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-80070	Feb. 21, 2017	Order Approving Plan of Distribution
		Plan of Distribution; Exhibit A; Exhibit B
34-79754	Jan. 6, 2017	Notice of Proposed Plan of Distribution and Opportunity for Comment *Comments due:* 30 days from date of this Notice Comments received are available for this proposed plan.
		Proposed Plan of Distribution
34-68600	Jan. 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
34-67148	Jun. 6, 2012	Extension Order
34-67042	May 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

UBS Financial Services Inc. of Puerto Rico and Ramiro L. Colon, III

File Nos. 3-16846, 3-16847

Release	Date	Notice, Order, or Plan
34-85891	May 20, 2019	Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-81100	Jul. 7, 2017	Order Approving Plan of Distribution and Consolidating Settlement Funds for Administration
		Plan of Distribution
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-80535	Apr. 27, 2017	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-79513	Dec. 8, 2016	Third Extension Order
34-79227	Nov. 3, 2016	Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount
34-78002	Jun. 7, 2016	Second Extension Order
34-77206	Feb. 23, 2016	Extension Order
34-77130	Feb. 12, 2016	Order Appointing Tax Administrator
34-76014	Sep. 29, 2015	Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Ramiro L. Colon, III)
34-76013	Sep. 29, 2015	Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (UBS Financial Services Incorporated of Puerto Rico)

Unikrn, Inc.

File No. 3-20003

Release	Date	Notice, Order, or Plan
34-90700	Dec. 17, 2020	Order Appointing Tax Administrator

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

File No. 3-13675

Release	Date	Notice, Order, or Plan
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-79553	Dec. 14, 2016	Order Directing Disbursement of Fair Fund and Vacating Prior Order Of Disbursement
34-69469	Apr. 26, 2013	Order Directing Disbursement of Fair Fund
34-63640	Jan. 4, 2011	Order Approving Distribution Plan
		Final Plan of Distribution
34-63269	Nov. 8, 2010	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-62837	Sep. 2, 2010	Order Appointing a Fund Administrator and Waiving Bond
34-61316	Jan. 8, 2010	Extension Order
34-61045	Nov. 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

VEREIT, INC.

File No. 3-19831

Release	Date	Notice, Order, or Plan
34-89770	Sep. 4, 2020	Extension Order
34-89708	Aug. 28, 2020	Order Appointing Tax Administrator
33-10793 34-89133 AAER-4149	Jun. 23, 2020	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Visium Asset Management, LP

File No. 3-18473

Release	Date	Notice, Order, or Plan
34-89112	Jun. 22, 2020	Order Directing Disbursement of Fair Fund
34-88920	May 21, 2020	Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-86330	Jul. 8, 2019	Order Approving Plan of Distribution
		Distribution Plan
34-85827	May 10, 2019	Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
34-85403	Mar. 25, 2019	Notice of Proposed Plan of Distribution and Opportunity to Comment Comments received are available for this notice.
		Proposed Distribution Plan
34-84608	Nov. 16, 2018	Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-84004	Aug. 30, 2018	Order Appointing Tax Administrator
34-83998	Aug. 30, 2018	Order Establishing Fair Fund
33-10494	May 8, 2018	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act Of 1934, and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Weatherford International PLC, et al. and Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA

File Nos. 3-17582 and 3-17628

Release	Date	Notice, Order, or Plan
34-89333	Jul. 16, 2020	Order Appointing Fund Administrator and Setting Bond Amount
34-83766	Aug. 2, 2018	Order Appointing Tax Administrator
34-82185	Nov. 30, 2017	Order Consolidating Fair Funds
34-82121	Nov. 20, 2017	Extension Order
34-80273	Mar. 17, 2017	Extension Order
34-79109	Oct. 18, 2016	Order Instituting Public Administrative and Cease-and Desist Proceedings Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease and-Desist Order ("Order")
33-10221 34-78944 AAER-3806	Sep. 27, 2016	Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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

File No. 3-14982

Release	Date	Notice, Order, or Plan
34-85384	Mar. 21, 2019	Order Disbursement of Fair Fund
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-80302	Mar. 23, 2017	Order Approving Plan of Distribution
		Plan of Distribution
34-79888	Jan. 27, 2017	Notice of Proposed Plan of Distribution and Oppurtunity for Comment
		Proposed Plan of Distribution
34-69917	Jul. 2, 2013	Order Appointing Fund Administrator and Approving Fund Administrator Bond Amount
34-69149	Mar. 15, 2013	Extension Order
34-67972	Oct. 3, 2012	Extension Order
34-67829	Sep. 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 & Company

File No. 3-19704

Release	Date	Notice, Order, or Plan
34-90898	Jan. 11, 2021	Order Approving Plan of Distribution
		Plan of Distribution (Corrected)
34-90095	Oct. 6, 2020	Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
34-89501	Aug. 6, 2020	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution Comments received are available for this plan.
34-88921	May 21, 2020	Order Appointing Fund Administrator and Setting Bond Amount
34-88453	Mar. 23, 2019	Extension Order
34-88353	Mar. 10, 2019	Order Appointing Tax Administrator
34-88257	Feb. 21, 2019	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing A Cease-and-Desist Order

William B. Fretz, Jr., John P. Freeman, Covenant Capital Management Partners, L.P., and Covenant Partners, L.P.

File No. 3-16829

Release	Date	Notice, Order, or Plan
34-85536	Apr. 5, 2019	Corrected Order Directing Second Disbursement
34-81858	Oct. 12, 2017	Order Directing Disbursement
34-81064	June 30, 2017	Notice of Name Change of Appointed Tax Administrator
34-80711	May 18, 2017	Order Approving Plan of Distribution
		Plan of Distribution
34-80392	Apr. 6, 2017	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-79511	Dec. 8, 2016	Order Appointing Tax Administrator
33-9925	Sep. 23, 2015	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8a of The Securities Act of 1933, Sections 15(B), and 21c of The Securities Exchange Act of 1934, Sections 203(E), 203(F) and 203(K) of The Investment Advisers Act of 1940, and Section 9(B) of The Investment Company Act of 1940 Making Findings, and Imposing Remedial Sanctions and A Cease-and-Desist Order

Wilmington Trust Corporation

File No. 3-16098

Release	Date	Notice, Order, or Plan
34-91816	May 10, 2021	Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-89758	Sep. 3, 2020	Order Approving Plan of Distribution
		Final Distribution Plan and Exhibits
34-89287	Jul. 10, 2020	Notice of Proposed Plan of Distribution and Opportunity for Comment Comments received are available for this proposed plan.
		Proposed Plan of Distribution
34-88779	Apr. 30, 2020	Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-88395	Mar. 16, 2019	Order Appointing Tax Administrator
33-9646 34-73076 AAER-3582	Sep. 11, 2014	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Wireline, Inc.

File No. 3-20206

Release	Date	Notice, Order, or Plan
34-91934	May 19, 2021	Order Appointing Tax Administrator
34- 90938	Jan. 15, 2021	Order Directing Payment of Certain Funds Received by the Commission and Directing Transfer of Remaining Funds to the U.S. Treasury
33-10920	Jan. 15, 2021	Order Instituting Cease-and-Desist Proceedings, Making Findings and Imposing Penalties and a Cease-and-Desist-Order