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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).

See also Archive of Terminated Fair Funds and Disgorgement Plans.

List of Cases

Note: this quick search only returns links to the case details below.
Click on the case to see the case details.


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
34-92782 Aug. 27, 2021 Second Extension Order
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
34-92846 Sept. 1, 2021 Second Extension Order
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:


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
34-93425 Oct. 26, 2021 Order Approving Plan of Distribution
Distribution Plan
34-92825 Aug. 31, 2021 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Plan of Distribution
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
34-93020 Sep. 16, 2021 Order Directing Disbursement of Fair Fund
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
34-93106 Sep. 23, 2021 Notice Of Proposed Plan Of Distribution And Opportunity For Comment
Submit Comments on 3-20092
Proposed Distribution 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
34-93110 Sep. 23, 2021 Order Appointing Tax Administrator
34-92511 Jul. 28, 2021 Order Establishing a Fair Fund
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
34-93109 Sep. 23, 2021 Order Directing Fourth Disbursement of Fair Fund
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
34-93029 Sep. 16, 2021 Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-92784 Aug. 27, 2021 Second Extension Order
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

GTV Media Group, Inc., Saraca Media Group, Inc. and Voice of Guo Media, Inc.

File No. 3-20537

Release Date Notice, Order, or Plan
34-93313 Oct. 14, 2021 Order Appointing Tax Administrator


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
34-93317 Oct. 14, 2021 Second Extension Order
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
34-93062 Sep. 20, 2021 Order Approving Second Plan of Distribution
Second Plan of Distribution
34-92498 Jul. 26, 2021 Notice of Proposed Second Plan of Distribution and Opportunity to Comment
Proposed Second Plan of Distribution
34-90347 Nov. 5, 2020 Order Directing Disbursement of Fair Fund
34-85530 Apr. 5, 2019 Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-84493 Oct. 26, 2018 Order Approving Corrected Plan of Distribution
Corrected Distribution Plan
34-84044 Sep. 6, 2018 Notice of Proposed Plan of Distribution and Opportunity to Comment
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
34-92841 Sept. 1, 2021 Second Extension Order
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
34-93025 Sep. 16, 2021 Order Directing Second Disbursement of Fair Fund
34-86125 Jun. 17, 2019 Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-86102 Jun. 13, 2019 Order Directing Disbursement of Fair Fund
34-84531 Nov. 5, 2018 Order Approving Plan of Distribution
Plan of Distribution
34-84296 Sep. 27, 2018 Notice of Proposed Plan of Distribution and Opportunity to Comment
Proposed Plan of Distribution
34-83727 Jul. 27, 2018 Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-83333 May 25, 2018 Order Appointing Tax Administrator
33-10472 Mar. 27, 2018 Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (“Order”)

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
34-93022 Sep. 16, 2021 Order Directing Disbursement of Fair Fund
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
34-92787 Aug. 27, 2021 Order Approving Plan of Distribution
Distribution Plan
34-92274 Jun. 28, 2021 Notice of Proposed Plan of Distribution and Opportunity for Comment
Proposed Distribution 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


Poloniex, LLC

File No. 3-20455

Release Date Notice, Order, or Plan
34-93083 Sep. 21, 2021 Order Appointing Tax Administrator
34-93050 Sep. 17, 2021 Extension Order
34-92607 Aug. 9, 2021 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


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
34-92705 Aug. 18, 2021 Order Directing Disbursement of Fair Fund
34-92591 Aug. 6, 2021 Order Approving Plan Of Distribution
Distribution Plan
34-92115 Jun. 4, 2021 Notice of Proposed Plan of Distribution and Opportunity for Comment 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
34-92497 Jul. 26, 2021 Order Approving Plan of Distribution and Authorizing Transfer of Fair Fund
Distribution Plan
34-92202 Jun. 17, 2021 Notice of Proposed Plan of Distribution and Opportunity for Comment
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


Scott Eugene Bachman

File No. 3-20089

Release Date Notice, Order, or Plan
34-93315 Oct. 14, 2021 Order Appointing Tax Administrator
34-92143 Jun. 10, 2021 Extension Order
33-10857 Sep. 28, 2020 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


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


Securities America Advisors

File No. 3-20381

Release Date Notice, Order, or Plan
34-93375 Oct. 18, 2021 Order Appointing Tax Administrator


Sica Wealth Management, LLC and Jeffrey C. Sica

File No. 3-19716

Release Date Notice, Order, or Plan
34-92603 Aug. 6, 2021 Extension Order
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
34-93026 Sep. 16, 2021 Order Directing Disbursement of Fair Fund
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
34-92512 Jul. 28, 2021 Order Directing Disbursement of Fair Fund
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
34-92205 Jun. 17, 2021 Extension Order
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


Wendan Bao, Shuo Gu, LendingCar Corp., And H7 Credit, LLC

File No. 3-20452

Release Date Notice, Order, or Plan
34-92704 Aug. 18, 2021 Order Appointing Tax Administrator and Directing Payment of Certain Funds Received by the Commission
33-10960 Aug. 4, 2021 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

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
34-92781 Aug. 27, 2021 Order Directing Third Disbursement of Distribution Fund
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


William D. King, CPA

File No. 3-19991

Release Date Notice, Order, or Plan
34-93321 Oct. 14, 2021 Order Appointing Tax Administrator
34-93320 Oct. 14, 2021 Extension Order

Wilmington Trust Corporation

File No. 3-16098

Release Date Notice, Order, or Plan
34-92779 Aug. 27, 2021 Order Directing Disbursement of Distribution Fund
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

.margin-0 {margin: 0; }

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).

See also Archive of Terminated Fair Funds and Disgorgement Plans.

List of Cases

Note: this quick search only returns links to the case details below.
Click on the case to see the case details.


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
34-92782 Aug. 27, 2021 Order Appointing Fund Administrator and Setting Administrator's Bond Amount
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
34-92846 Sept. 1, 2021 Second Extension Order
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:


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
34-93020 Sep. 16, 2021 Order Directing Disbursement of Fair Fund
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
34-92841 Sept. 1, 2021 Second Extension Order
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
34-93025 Sep. 16, 2021 Order Directing Second Disbursement of Fair Fund
34-86125 Jun. 17, 2019 Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
34-86102 Jun. 13, 2019 Order Directing Disbursement of Fair Fund
34-84531 Nov. 5, 2018 Order Approving Plan of Distribution
Plan of Distribution
34-84296 Sep. 27, 2018 Notice of Proposed Plan of Distribution and Opportunity to Comment
Proposed Plan of Distribution
34-83727 Jul. 27, 2018 Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-83333 May 25, 2018 Order Appointing Tax Administrator
33-10472 Mar. 27, 2018 Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (“Order”)

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
34-93022 Sep. 16, 2021 Order Directing Disbursement of Fair Fund
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
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
34-93026 Sep. 16, 2021 Order Directing Disbursement of Fair Fund
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
34-92512 Jul. 28, 2021 Order Directing Disbursement of Fair Fund
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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