Archive of Terminated Fair Funds and Disgorgement Plans
July 15, 2022
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 administrators, see Exchange Act Release No. 101986 (Dec. 19, 2024). For information on the previous tax administrator, see Exchange Act Release No. 85174 (Feb. 22, 2019).
List of Cases
- AEGON USA Investment Management, LLC; Transamerica Asset Management, Inc.; Transamerica Capital, Inc.; and Transamerica Financial Advisors, Inc. (3-18681)
- Aladdin Capital Management LLC and Aladdin Capital LLC and Joseph A. Schlim. (3-15134, 3-15135)
- Alliance Capital Management, L.P. (3-11359)
- Alexander Rekeda; Xavier Capdepon and Gwen Snorteland; and Delaware Asset Advisers and Wei (Alex) Wei (3-14952, 3-14953, 3-14954)
- Alphabridge Capital Management, LLC, Thomas T. Kutzen and Michael J. Carino (3-16670)
- Ameriprise Financial Services, Inc. (3-13544)
- Ameriprise Financial Services, Inc. (formerly American Express Financial Advisors Inc.) (3-12115)
- American Skandia Investment Services, Inc. (3-13446)
- AmSouth Bank, N.A. (now known as Regions Bank), and AmSouth Asset Management, Inc. (now known as Morgan Asset Management) (3-13230)
- Anthony Coronati and Bidtoask LLC (3-16203)
- Apex Fund Services (US), Inc. (3-17300)
- Ark Asset Management Co., Inc. (3-13714)
- Armando Ruiz and Maradon Holdings, LLC (3-14388)
- Aventura Capital Management, LLC (3-21026)
- Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC (3-11818)
- Banc of America Securities, LLC (3-12591)
- Banc One Investment Advisors Corporation and Mark A. Beeson (3-11530)
- Barclays Capital Inc. (3-17978)
- Bear, Stearns & Co., and Bear, Stearns Securities Corp. (3-12238)
- Bethany Liou (3-19597)
- BISYS Fund Services (3-12432)
- BNY Mellon Securities LLC and Mark Shaw (3-14191, 3-14192)
- BOKF, NA, and Lawson Financial Corporation and Robert Lawson (3-17533; 3-17901)
- Bridgeway Capital Management, Inc. and John Noland Ryan Montgomery (3-11659)
- Burrill Capital Management, LLC; G. Steven Burrill, CPA; Victor A. Hebert, Esq.; and Helena C. Sen, CPA (3-17186)
- Cadaret and Grant & Co., Inc. (3-18087)
- Cadaret, Grant & Co., Inc., Arthur Grant, Beda Lee Johnson, and Eugene Long (3-18738)
- Canadian Imperial Holdings Inc. and CIBC World Markets Corp. (3-11987)
- Charles L. Rizzo and Gina Hornbogen (3-14641)
- Charles W. Crouse and Norman R. Hess (3-11515)
- Citigroup Alternative Investments LLC and Citigroup Global Markets Inc. (3-16757)
- Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Network; Detwiler, Mitchell, Fenton & Graves, Inc.; James X. McCarty (3-12749, 3-12750, 3-12751)
- Comprehensive Capital Management, Inc. (3-15393)
- Credit Suisse Securities (USA) LLC, DLJ Mortgage Capital, Inc., Credit Suisse First Boston Mortgage Acceptance Corp., Credit Suisse First Boston Mortgage Securities Corp., and Asset Backed Securities Corporation (3-15098)
- Credit Suisse Securities (USA) LLC; Sanford Michael Katz (3-17899 and 3-17900)
- David Henry Disraeli and Lifeplan Associates, Inc. (3-12288)
- Dennis Gibb and Sweetwater Investments, Inc. (3-19123)
- Dominick & Dominick LLC and Robert X. Reilly (3-15987)
- ECP Manager LP (3-19535)
- Edward D. Jones & Co., L.P. (3-16751)
- Edward D. Jones & Co., L.P. (3-11780)
- Equinox Fund Management, LLC (3-17057)
- Evergreen Investment Management Company, LLC and Evergreen Investment (3-13507)
- Evergreen Investment Management Company, LLC, Evergreen Investment Services, Inc., Evergreen Service Company, LLC, and Wachovia Securities, LLC (3-12805)
- Federated Investment Management Company, Federated Securities Corp. and Federated Shareholder Services Company (3-12111)
- Fenway Partners, LLC, et al. (3-16938)
- Fidelity National Capital Investors, Inc. (3-11514)
- First Heartland Consultants, Inc. (3-20448)
- Folger Nolan Fleming Douglas Capital Management, Inc., Neil C. Folger and David M. Brown (3-12737)
- Fortius Financial Advisors, LLC (3-17385)
- Founding Partners Capital Management Company and William Gunlicks (3-12896)
- Franklin Advisers, Inc. (3-11572)
- Franklin Advisers, Inc. and Franklin/Templeton Distributors, Inc. (3-11769)
- Freedom Financial, Inc., Freedom Track, Inc., Freedom Financial Group, Inc., Associated Investment Management, Inc., Jon Patrick Pierce, Gary L. Winn (3-11246)
- Fremont Investment Advisors, Inc. (3-11726)
- Gabelli Funds LLC (3-13019)
- Gary L. Pilgrim (3-11739)
- General American Life Insurance Company and William C. Thater (3-12720)
- Geneos Wealth Management, Inc. (3-18425)
- Gerald T. Malone (3-11914)
- Gerson Asset Management, Inc. and Seth Gerson (3-12121)
- GLG Partners, Inc. and GLG Partners, L.P. (3-15641)
- Goelzer Investment Management, Inc. and Gregory W. Goelzer (3-15400)
- Grant Thornton, LLP; Doeren Mayhew & Co., P.C.; Peter M. Behrens, CPA; Marvin J. Morris, CPA and Benedict P. Rybicki, CPA (3-11377)
- Gray Financial Group, Inc., Laurence O. Gray, and Robert C. Hubbard, IV (3-16554)
- G-Trade Services LLC, ConvergEx Global Markets Limited, and ConvergEx Execution Solutions LLC (3-15654)
- Harbour Investments, Inc. (3-18760)
- Harold J. Baxter (3-11740)
- Heartland Advisors, Inc., William J. Nasgovitz, Paul T. Beste, Thomas J. Conlin, Greg D. Winston, Kevin D. Clark, Kenneth J. Della, and Hugh F. Denison (3-12936)
- Hennessee Group LLC and Charles J. Gradante (3-13454)
- Huntington Bancshares, Inc., Thomas E. Hoaglin, Michael J. McMennamin, and John Van Fleet, CPA (3-11940)
- Huron Consulting Group Inc., Gary L. Burge, CPA, and Wayne F. Lipski, CPA (3-14958)
- International Equity Advisors, LLC and Richard Roger Lund (3-12068)
- Invesco Funds Group, Inc., AIM Advisors, Inc., and AIM Distributors, Inc. (3-11701)
- Inviva, Inc. and Jefferson National Life Insurance Company (3-11579)
- Janus Capital Management LLC (3-11590)
- Jefferies & Co., Inc. and Scott Jones (3-12495)
- Jeremy A. Licht d/b/a JL Capital Management (3-18171)
- J. Michael Scarborough and Royal Alliance Associates, Inc. (3-11538)
- John D. Carifa (3-11915)
- John W. Adams and AIP, LLC (3-11676)
- Joseph Stilwell and Stilwell Value LLC (3-16444)
- JPMorgan Chase & Co. (3-15507)
- J.P. Morgan Securities Inc. (3-13673)
- Kenneth C. Meissner, James Doug Scott and Mark S. "Mike" Tomich (3-16175)
- Knight Securities L.P (3-11771)
- Logitech International, S.A., Michael Doktorczyk, and Sherralyn Bolles, CPA (3-17212)
- Lovelock & Lewes, Price Waterhouse, Bangalore, Price Waterhouse & Co., Bangalore, Price Waterhouse, Calcutta, and Price Waterhouse & Co., Calcutta (3-14321)
- L.T. Lawrence & Co., Inc., Todd E. Roberti, and Lawrence Principato (3-9923)
- Mary Beth Stevens (3-13553)
- Massachusetts Financial Services Co. (3-11450)
- Massachusetts Financial Services Co., John W. Ballen, and Kevin R. Parke (3-11393)
- Maxwell Technologies, Inc., Van M. Andrews, David J. Schramm, and James W. Dewitt, Jr., CPA (3-18408)
- Metis Wealth Advisors, LLC and Juan R. Montermoso (3-16955)
- Michael D. Legoski (3-11620)
- Michael J. Laughlin (3-11916)
- Millennium Partners, L.P., Millennium Management, L.L.C., Millennium International Management, L.L.C., Israel Englander, Terence Feeney, Fred Stone, and Kovan Pillai; and Steven B. Markovitz (3-12116 and 3-11292)
- Monomoy Capital Management, L.P. (3-19764)
- Moore Stephens Wurth Frazer & Torbet LLP and K. Dean Yamagata, CPA (3-14167)
- Morgan Asset Management, Inc.; Morgan Keegan & Company, Inc.; James C. Kelsoe, Jr.; and Joseph Thompson Weller, CPA (3-13847)
- Morgan Stanley & Co. Incorporated (3-12631)
- Morgan Stanley & Co. Incorporated (3-12907)
- Morgan Stanley, Co. LLC; Morgan Stanley ABS Capital I Inc.; and Morgan Stanley Mortgage Capital Holdings LLC (3-15982)
- Morgan Stanley DW, Inc. (3-11335)
- Nancy C. Tengler (3-11727)
- New York Life Investment Management LLC (3-13487)
- Orthofix International N.V.; Jeffrey Hammel, CPA; Brian McCollum; Kenneth Mack and Bryan McMillan (3-17791, 3-17792, 3-17793, 3-17794)
- Oxbow Advisors, LLC (3-19817)
- PA Fund Management LLC f/k/a PIMCO Advisors Fund Management LLC, PEA Capital LLC f/k/a PIMCO Equity Advisors LLC, and PA Distributors LLC f/k/a PIMCO Advisors Distributors LLC (3-11645)
- Packetport.com, Inc., Ronald Durando, Microphase Corp., Robert H. Jaffe, Gustave Dotoli, M. Christopher Agarwal, and Theodore Kunzog (3-12868)
- Paul George Chironis (3-13869)
- Paul W. Oliver, Jr. (3-13554)
- Pilgrim Baxter & Associates, Ltd. (3-11524)
- PPS Advisors, Inc and Lawrence Nicholas Passaretti (3-18947)
- Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Rose M. Rudden, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells (3-13532)
- Prudential Equity Group, LLC f/k/a Prudential Securities Inc. (3-12400)
- Putnam Investment Management LLC (3-11317)
- Putnam Investment Management LLC (3-11868)
- Raymond James Financial Services, Inc. and J. Stephen Putnam (3-11692)
- Ravi Iyer (3-20166)
- RBC Capital Markets, LLC (formerly known as RBC Capital Markets Corp.) (3-14564)
- Resolute Capital Partners Ltd, LLC, et al. (3-20597)
- Ritchie Capital Management L.L.C., Ritchie Multi-Strategy Global Trading, Ltd., A.R. Thane Ritchie, and Warren Louis DeMaio (3-12947)
- Robertson Stephens (3-11003)
- Ronald E. Huxtable II (3-15748)
- Ronald St. Clair, CPA, and Lawrence Swan, CA (3-14615)
- Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr. (3-17315)
- RS Investment Management, Inc., RS Investment Management, L.P., G. Randall Hecht and Steven M. Cohen (3-11696)
- Sandra Dyche (3-16398)
- Sarkauskas and Associates, Inc. and James M. Sarkauskas (3-15471)
- SCF Investment Advisors, Inc. (3-19912)
- Securities America Advisors (3-18424)
- Smith Barney Fund Management LLC and Citigroup Global Markets, Inc. (3-11935)
- Southwest Securities, Inc., Daniel R. Leland, Kerry M. Rigdon and Kevin J. Marsh (3-11793)
- Specialist: Bear Wagner Specialists LLC, Fleet Specialist, Inc., LaBranche & Co. LLC, Spear, Leeds & Kellogg Specialists LLC, Van der Moolen Specialists USA, LLC, Performance Specialist Group LLC, SIG Specialists, Inc. (3-11445, 3-11446, 3-11447, 3-11448, 3-11449, 3-11558, 3-11559)
- Stephen R. Moynahan (3-13263)
- Strong Capital Management, Inc. (3-12448)
- Taberna Capital Management, LLC, Michael Fralin, and Raphael Licht (3-16776)
- Thomas A. Kolbe (3-11618)
- Thoroughbred Financial Services, LLC 3-18952)
- Timothy J. Miller (3-11619)
- Tilden Loucks & Woodnorth, LLC, LaSalle St. Securities, LLC, and Ralph B. Loucks. (3-15081)
- Titan Global Capital Management USA LLC (3-21569)
- UBS Fin Servs (3-20401)
- UBS Financial Services Inc. (3-20912)
- UBS Financial Services Inc. of Puerto Rico (3-14863)
- UBS Financial Services Inc. of Puerto Rico and Ramiro L. Colon, III (3-16846, 3-16847)
- UBS Willow Management L.L.C. and UBS Fund Advisor L.L.C.
- Value Line, Inc., Value Line Securities, Inc., Jean Bernhard Buttner, and David Henigson (3-13675)
- VCAP Securities, LLC, and Brett Thomas Graham (3-16389)
- Veras Capital Master Fund, VEY Partners Master Fund, Veras Investment Partners, LLC, Kevin D. Larson, and James R. McBride (3-12133)
- Voya Investments, LLC and Directed Services, LLC (3-18393)
- Waddell & Reed, Inc., Waddell & Reed Investment Management Company, and Waddell & Reed Services Company (3-12372)
- Weiss Research, Inc., Martin Weiss, and Lawrence Edelson (3-12341)
- Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC and Shawn Patrick McMurtry (3-14982)
- Wells Fargo Securities LLC (f/k/a Wachovia Capital Markets LLC) (3-14320)
- West Coast Asset Management, Inc. and Lance W. Helfert (3-15660)
- William B. Fretz, Jr., John P. Freeman, Covenant Capital Management Partners, L.P., and Covenant Partners, L.P. (3-16829)
- Winslow, Evans & Crocker, Inc. (3-20223)
- Yale I. Asbell (3-16163)
- Zurich Capital Markets Inc. (3-12628)
AEGON USA Investment Management, LLC; Transamerica Asset Management, Inc.; Transamerica Capital, Inc.; and Transamerica Financial Advisors, Inc.
File Nos. 3-18681
Aladdin Capital Management LLC and Aladdin Capital LLC and Joseph A. Schlim
File Nos. 3-15134 and 3-15135
Alexander Rekeda; Xavier Capdepon and Gwen Snorteland; and Delaware Asset Advisers and Wei (Alex) Wei
File Nos. 3-14952, 3-14953, 3-14954
Note: Funds were transferred to the U.S. Treasury.
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-69600 | May 16, 2013 | Extension Order |
| 34-68167 | Nov. 6, 2012 | Extension Order |
| 33-9339 IA-3434 | Jul. 18, 2012 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders (Delaware Asset Advisers And Wei (Alex) Wei, File No. 3-14952) |
| 33-9340 34-67455 IC-30140 | Jul. 18, 2012 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order (Alexander Rekeda, File No. 3-14953) |
| 33-9341 34-67456 IC-30141 | Jul. 18, 2012 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order (Xavier Capdepon and Gwen Snorteland, File No. 3-14954) |
Alliance Capital Management, L.P.
File No. 3-11359
See also, SEC Announces Start of $321 Million Fair Fund Distribution to Investors Harmed by Alliance Capital Market Timing (Press Release No. 2009-21, February 6, 2009)
Alphabridge Capital Management, LLC, Thomas T. Kutzen and Michael J. Carino
File No. 3-16670
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-80582 | May 3, 2017 | Order Authorizing the Transfer of Remaining Funds and Any Future Funds Returned to the Fair Fund to the United States Treasury and Terminating the Fair Fund |
American Skandia Investment Services, Inc.
File No. 3-13446
Ameriprise Financial Services, Inc.
File No. 3-13544
Note: Funds transferred to U.S. Treasury.
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-81064 | June 30, 2017 | Notice of Name Change of Appointed Tax Administrator |
| 33-9051 34-60279 | Jul. 10, 2009 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order |
Ameriprise Financial Services, Inc. (formerly American Express Financial Advisors Inc.)
File No. 3-12115
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-81904 | Oct. 19, 2017 | Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund |
| 34-81064 | June 30, 2017 | Notice of Name Change of Appointed Tax Administrator |
| 34-58388 | Aug. 19, 2008 | Order Directing Disbursement of Fair Fund |
| 34-57639 | Apr. 9, 2008 | Order Approving Distribution Plan, Appointing an Administrator, and Waiving Bond |
| 34-57341 | Feb. 15, 2008 | Notice of Proposed Distribution Plan and Opportunity for Comment Comments due: March 17, 2008 |
| Proposed Plan of Distribution | ||
| 33-8638 34-52862 | Dec. 1, 2005 | Order Directing Appointment of Tax Administrator |
| 33-8637 34-52861 | Dec. 1, 2005 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
See also:
- SEC Announces $32 Million Fair Fund Distribution in Ameriprise Revenue Sharing Settlement (Press Release No. 2008-229, September 25, 2008)
- American Express Financial Advisors (Now Known as Ameriprise Financial Services, Inc.) to Pay $30 Million to Settle Revenue Sharing Charges (Press Release No. 2005-168, December 1, 2005)
AmSouth Bank, N.A. (now known as Regions Bank), and AmSouth Asset Management, Inc. (now known as Morgan Asset Management)
File No. 3-13230
See also, AmSouth to Pay $11 Million for Improper, Undisclosed Use of Funds to Pay Marketing, Other Expenses (Press Release No. 2008-222, September 23, 2008)
Anthony Coronati and Bidtoask LLC
File No. 3-16203
| Release | Date | Notice, Order, or Plan |
| 34-103847 | Sept. 3, 2025 | Order Authorizing the Transfer to the U.S. Department of the Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator and Terminating the Fair Fund |
| 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 |
Apex Fund Services (US), Inc.
File No. 3-17300
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-89200 | Jun. 30, 2020 | Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund |
| 34-85528 | Apr. 5, 2019 | Order Directing Disbursement of Fair Fund |
| 34-84609 | Nov. 16, 2018 | Order Approving Amended Plan of Distribution |
| Amended Distribution Plan | ||
| 34-84415 | Oct. 12, 2018 | Notice of Amended Plan of Distribution and Opportunity to Comment |
| Amended Proposed Plan of Distribution | ||
| 34-83496 | Jun. 22, 2018 | Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution |
| 34-83131 | Apr. 30, 2018 | Notice of Proposed Plan of Distribution and Opportunity to Comment Comments received are available for this proposed plan. |
| Proposed Plan of Distribution | ||
| 34-82186 | Nov. 30, 2017 | Order Appointing Tax Administrator |
| IA-4429 | Jun. 16, 2016 | Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order |
Ark Asset Management Co., Inc.
File No. 3-13714
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-75265 | Jun. 23, 2015 | Order Authorizing The Transfer Of Remaining Funds And Any Future Funds Returned To The Disgorgement Fund To The U.S.Treasury, Discharging The Plan Administrator, And Terminating The Disgorgement Fund |
| 34-70171 | Aug. 13, 2013 | Amended Order Directing Disbursement of Disgorgement Fund |
| 34-67524 | Jul. 27, 2012 | Order Directing Disbursement of Disgorgement Fund |
| 34-63993 | Mar. 1, 2011 | Order Approving Distribution Plan and Appointing a Plan Administrator |
| Final Plan of Distribution | ||
| 34-63666 | Jan. 6, 2011 | Notice of Proposed Distribution Plan and Opportunity for Comment |
| Proposed Plan of Distribution | ||
| 34-63118 | Oct. 15, 2010 | Order Appointing Tax Administrator |
| IA-3091 | Sep. 29, 2010 | Order Making Findings and Imposing Sanctions |
| IA-2962 | Dec. 14, 2009 | Order Instituting Cease and Desist Proceedings and Notice of Hearing |
Armando Ruiz and Maradon Holdings, LLC
File No. 3-14388
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-71462 | Jan. 31, 2014 | Order Appointing Tax Administrator |
| 33-9301 34-66573 IC-29978 | Mar. 12, 2012 | Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order |
| 33-9209 34-64501 IC-29672 | May 16, 2011 | Order Instituting Administrative and Cease-and-Desist Proceedings |
Aventura Capital Management, LLC
File No. 3-21026
Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC
File No. 3-11818
See also, SEC Announces $103 Million Fair Fund Distribution to Investors Injured by Market Timing Involving Banc of America Capital Management and Affiliates (Press Release No. 2008-114, June 18, 2008)
Banc of America Securities, LLC
File No. 3-12591
See also, SEC Announces $26 Million Fair Fund Distribution in Banc of America Securities LLC Settlement (Press Release No. 2008-118, June 23, 2008)
See also, SEC Enforcement Action Against Banc of America Securities for Failing to Safeguard Nonpublic Research Information and Publishing Fraudulent Research; Firm To Pay $26 Million (Press Release No. 2007-42, March 14, 2007)
Banc One Investment Advisors Corporation and Mark A. Beeson
File No. 3-11530
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-61252 | Dec. 29, 2009 | Order Discharging Plan Administrator and Terminating Fair Fund |
| 34-56038 | Jul. 10, 2007 | Order Directing Disbursement of Fair Fund |
| 34-55730 | May 9, 2007 | Order Approving a Modified Distribution Plan |
| Modified Plan of Distribution | ||
| 34-55010 | Dec. 26, 2006 | Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan |
| 34-54582 | Oct. 6, 2006 | Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan |
| 34-54280 | Aug. 7, 2006 | Notice of Proposed Distribution Plan and Opportunity For Comment Comments received are available for this notice. |
| Proposed Plan of Distribution Plan | ||
| 34-53468 | Mar. 10, 2006 | Order Appointing Tax Administrator |
| IA-2254 IC-26490 | Jun. 29, 2006 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
See also, SEC Announces $55 Million Fair Fund Distribution to Investors Injured in Banc One Investment Advisors Market Timing Fraud (Press Release No. 2005-165, August 13, 2007)
Barclays Capital Inc.
File No. 3-17978
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-90453 | Nov. 18, 2020 | Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future and Terminating the Fair Fund |
| 33-10355 34-80639 IA-4705 | May 10, 2017 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
Bear, Stearns & Co., and Bear, Stearns Securities Corp.
File No. 3-12238
See also the following Press Releases:
- SEC Announces First Distribution From $267 Million Bear Stearns Fair Fund (Press Release No. 2009-112, May 15, 2009)
- SEC Settles Fraud Charges with Bear Stearns for Late Trading and Market Timing Violations (Press Release No. 2006-38, March 16, 2006)
Bethany Liou
File No. 3-19597
BISYS Fund Services
File No. 3-12432
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-71301 | Jan. 14, 2014 | Order Authorizing the Transfer of Residual Funds and Any Future Funds Received by the Fair Fund to the U.S. Treasury, Discharging the Fund Administrator, and Terminating the Fair Fund |
| 34-62498 | Jul. 14, 2010 | Order Directing Disbursement of Fair Fund |
| 34-60719 | Sep. 25, 2009 | Order Approving Distribution Plan, Appointing a Fund Administrator, and Waiving Bond |
| 34-60435 | Aug. 5, 2009 | Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan |
| Proposed Distribution Plan | ||
| 34-60011 | May 29, 2009 | Notice of Proposed Distribution Plan and Opportunity for Comment |
| 34-54635 | Oct. 20, 2006 | Order Appointing Tax Administrator |
| IA-2554 IC-27500 | Sep. 26, 2006 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
| 33-8742 34-54513 | Sep. 26, 2006 | Order Granting Waivers |
BNY Mellon Securities LLC and Mark Shaw
File Nos. 3-14191 and 3-14192
BOKF, NA, and Lawson Financial Corporation and Robert Lawson
File Nos. 3-17533, 3-17901
Note: Funds were transferred to the Court Monitor.
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-81905 | Oct. 17, 2017 | Order Establishing Fair Funds and Transferring Fair Funds to a Court-Appointed Monitor |
| 33-10334 34-80376 IC-32591 | Apr. 5, 2017 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Lawson Financial Corporation and Robert Lawson) |
| 33-10204 34-78794 | Sep. 9, 2016 | Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order (BOKF, NA) |
Bridgeway Capital Management, Inc. and John Noland Ryan Montgomery
File No. 3-11659
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-62065 | May 10, 2010 | Order Discharging Plan Administrator and Terminating Disgorgement Fund |
| IA-2473 | Jan. 11, 2006 | Order Amending Plan of Disgorgement Distribution |
| IA-2367 | Mar. 16, 2005 | Order Approving Plan of Disgorgement Distribution and Appointing Administrator |
| IA-2358 | Feb. 10, 2005 | Notice of Proposed Distribution Plan and Opportunity for Comment |
| IA-2294 | Sep. 15, 2004 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
Burrill Capital Management, LLC; G. Steven Burrill, CPA; Victor A. Hebert, Esq.; and Helena C. Sen, CPA
File No. 3-17186
Note: Funds were disbursed via Order Instituting Proceeding.
Cadaret and Grant & Co., Inc.
File No. 3-18087
Cadaret, Grant & Co., Inc., Arthur Grant, Beda Lee Johnson, and Eugene Long
File No. 3-18738
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-87816 | Dec. 20, 2019 | Order Authorizing the Transfer of Remaining Funds and Any Future Funds Returned to the Fair Fund to the U.S. Treasury and Terminating the Fair Fund |
| 33-10542 34-84074 IA-5003 | Sep. 11, 2018 | 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 |
| 34-99586 | Feb. 22, 2024 | Termination Order |
| 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)
Charles L. Rizzo and Gina Hornbogen
File No. 3-14641
Charles W. Crouse and Norman R. Hess
File No. 3-11515
Citigroup Alternative Investments LLC and Citigroup Global Markets Inc.
File No. 3-16757
Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Network; Detwiler, Mitchell, Fenton & Graves, Inc.; James X. McCarty
File Nos. 3-12749, 3-12750, 3-12751
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-73656 | Nov. 20, 2014 | Order Authorizing the Transfer of Remaining Funds and Any Future Funds Returned to the Fair Fund to the U.S. Treasury, Discharging the Fund Administrator and Terminating the Fair Fund |
| 34-62705 | Aug. 12, 2010 | Order Directing Disbursement of Fair Fund |
| 34-57843 | May 21, 2008 | Order Directing Disbursement of Fair Fund |
| 34-57310 | Feb. 12, 2008 | Order Approving Distribution Plan |
| Plan of Distribution | ||
| 34-56981 | Dec. 18, 2007 | Notice of Proposed Distribution Plan and Opportunity for Comment |
| Proposed Plan of Distribution | ||
| 34-56364 | Sep. 6, 2007 | Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions |
| 34-56363 | Sep. 6, 2007 | Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions |
| 34-56362 | Sep. 6, 2007 | Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions |
| 34-56549 | Sep. 27, 2007 | Order Appointing Tax Administrator |
Comprehensive Capital Management, Inc.
File No. 3-15393
Note: Funds were transferred to the Court Receiver.
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-76720 | Dec. 21, 2015 | Order Directing Disbursement of Fair Fund |
| 34-75264 | Jun. 23, 2015 | Order Approving Plan of Distribution |
| Plan of Distribution | ||
| 34-74899 | May 7, 2015 | Notice of Proposed Plan of Distribution Transferring Fair Fund Funds to a Court-Appointed Receiver and Opportunity for Comment |
| Proposed Plan of Distribution | ||
| 34-74606 | Mar. 30, 2015 | Extension Order |
| 34-73792 | Dec. 9, 2014 | Extension Order |
| 34-73127 | Sep. 17, 2014 | Extension Order |
| IA-3636 | Jul. 29, 2013 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a 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
Credit Suisse Securities (USA) LLC and Sanford Michael Katz
File Nos. 3-17899 and 3-17900
David Henry Disraeli and Lifeplan Associates, Inc.
File No. 3-12288
Note: No settlement obtained and no funds ordered.
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| Jun. 19, 2009 | Court of Appeals Opinion | |
| 33-8880 34-57027 IA-2686 | Dec. 21, 2007 | Opinion of the Commission |
| 33-8824 34-56045 IA-2618 | Jul. 11, 2007 | Order Denying Motion for Leave to Take Additional Evidence |
| 34-56012 | Jul. 5, 2007 | Order Granting Partial Protective Order |
| 633 | Mar. 21, 2007 | Order Denying Motion to Correct Manifest Errors of Fact |
| ID-328 | Mar. 5, 2007 | Initial Decision |
| 33-8682 34-53765 IA-2513 | May 5, 2006 | In the Matter of David Henry Disraeli And Lifeplan Associates, Inc. |
| May 5, 2006 | Order Instituting Administrative and Cease-And-Desist Proceedings |
Dennis Gibb and Sweetwater Investments, Inc.
File No. 3-19123
Dominick & Dominick LLC and Robert X. Reilly
File No. 3-15987
ECP Manager LP
File No. 3-19535
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-102469 | Feb. 20, 2025 | Order Terminating the Distribution Fund |
| IA-5373 | Sept. 27, 2019 | Order Instituting Cease-and-Desist Proceedings, Pursuant to Section 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
Edward D. Jones & Co., L.P.
File No. 3-16751
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-82157 | Nov. 27, 2017 | Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds in the Disgorgement Fund |
| 33-9889 34-75688 | Aug. 13, 2015 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
Edward D. Jones & Co., L.P.
File No. 3-11780
See also the following Press Releases:
- SEC Announces $79 Million Fair Fund Distribution in the Edward Jones Revenue Sharing Settlement (Press Release No. 2007-75, April 26, 2007)
- Edward Jones to Pay $75 Million to Settle Revenue Sharing Charges (Press Release No. 2004-177, December 22, 2004)
Equinox Fund Management, LLC
File No. 3-17057
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-88849 | May 11, 2020 | Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Disgorgement Fund in the Future and Terminating the Disgorgement Fund |
| 33-10004 34-76927 IA-4315 | Jan. 19, 2016 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
Evergreen Investment Management Company, LLC and Evergreen Investment
File No. 3-13507
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-65179 | Aug. 22, 2011 | Order Approving Final Accounting, Directing Payment of Remainder of Fair Fund to United States Treasury, and Terminating the Fair Fund |
| 33-9039 34-60060 | Jun. 8, 2009 | Order Granting Waivers |
| 33-9038 | Jun. 8, 2009 | Order Granting Waiver |
| 34-60059 IA-2888 IC-28759 | Jun. 8, 2007 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
Evergreen Investment Management Company, LLC Evergreen Investment Services, Inc., Evergreen Service Company, LLC, and Wachovia Securities, LLC
File No. 3-12805
See also, Evergreen Investment Management Company and Affiliates to Pay $32.5 Million to Settle Market Timing Violations (Press Release No. 2007-186, September 19, 2006) and In the Matter of William M. Ennis (Release No. 34-56464, September 19, 2007)
Federated Investment Management Company, Federated Securities Corp. and Federated Shareholder Services Company
File No. 3-12111
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-75741 | Aug. 19, 2015 | Order Authorizing Transfer of Remaining Funds and Any Future Funds Received by the Fair Fund to the U.S. Treasury, Discharging the Fund Administrator, and Terminating the Fair Fund |
| 34-70367 | Sep. 10, 2013 | Order Directing Disbursement of Fair Fund |
| 34-67187 | Jun. 12, 2012 | Order Modifying Distribution Plan and Directing Disbursement |
| 34-62836 | Sep. 2, 2010 | Order Directing Disbursement of Fair Fund |
| 34-62542 | Jul. 21, 2010 | Order Directing Disbursement of Fair Fund |
| 34-61437 | Jan. 28, 2010 | Order Approving Plan, Appointing an Administrator, and Waiving Bond |
| Distribution Plan | ||
| 34-61118 | Dec. 4, 2009 | Notice of Proposed Plan of Distribution and Opportunity for Comment |
| Proposed Plan of Distribution | ||
| 34-52879 IA-2456 IC-27175 | Dec. 2, 2005 | Order Directing Appointment of Tax Administrator |
| 34-52839 IA-2448 IC-27167 | Nov. 28, 2005 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
Fenway Partners, LLC, et al.
File No. 3-16938
---------
Fidelity National Capital Investors, Inc.
File No. 3-11514
First Heartland Consultants, Inc..
File No. 3-20448
-----------------
Folger Nolan Fleming Douglas Capital Management, Inc., Neil C. Folger and David M. Brown
File No. 3-12737
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-81086 | Jul. 6, 2017 | Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Distribution Fund |
| 34-81064 | June 30, 2017 | Notice of Name Change of Appointed Tax Administrator |
| 34-65152 | Aug. 17, 2011 | Order Directing Disbursement of Distribution Fund |
| 34-64295 | Apr. 13, 2011 | Order Approving Plan of Distribution |
| Final Plan of Distribution | ||
| 34-63994 | Mar. 1, 2011 | Notice of Proposed Plan of Distribution and Opportunity for Comment |
| Proposed Plan of Distribution | ||
| 34-59976 | May 27, 2009 | Order Appointing Tax Administrator |
| IA-2639 | Aug. 23, 2007 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, And Imposing Remedial Sanctions and a Cease-and-Desist Order |
Fortius Financial Advisors, LLC
File No. 3-17385
Founding Partners Capital Management Company and William Gunlicks
File No. 3-12896
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-67188 | Jun. 12, 2012 | Order Discharging Fund Administrator and Terminating Disgorgement Fund |
| 34-61109 | Dec. 3, 2009 | Order Directing Disbursement of Disgorgement Fund |
| 34-57976 | Jun. 17, 2008 | Order Appointing Tax Administrator |
| 34-57807 | May 9, 2008 | Order Approving Distribution Plan and Appointing Fund Administrator |
| 34-57423 | Mar. 3, 2008 | Notice of Proposed Distribution Plan and Opportunity for Comment |
| Proposed Plan of Distribution | ||
| 34-57024 | Dec. 21, 2007 | Order Extending Time to Publish a Proposed Plan of Distribution |
| 33-8866 IA-2680 | Dec. 3, 2007 | Corrected Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions |
Franklin Advisers, Inc.
File No. 3-11572
See also, SEC Announces Fair Fund Distribution to Investors Harmed by Market Timing in Franklin-Templeton Funds (Press Release No. 2008-223, September 23, 2008)
Franklin Advisers, Inc. and Franklin/Templeton Distributors, Inc.
File No. 3-11769
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-58106 | Jul. 7, 2008 | Order Approving Final Accounting, Directing Payment of Remainder of Fair Fund to United States Treasury, and Discharging Administrator |
| 34-54342 | Aug. 21, 2006 | Order Directing Distribution of Fair Fund |
| 34-54037 | Jun. 23, 2006 | Order Approving Distribution Plan and Appointing an Administrator |
| 34-53844 | May 19, 2006 | Notice of Proposed Plan for Distribution of a Fair Fund and Opportunity for Comment |
| Proposed Plan of Distribution | ||
| May 19, 2006 | Distribution of SEC Settlement to FT Funds | |
| 34-51341 | Mar. 9, 2005 | Order Directing Appointment of Tax Administrator |
| 34-50841A IA-2337A IC-26692A | Dec. 13, 2004 | Corrected Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
| 34-50841 IA-2337 IC-26692 | Dec. 13, 2004 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
Freedom Financial, Inc., Freedom Track, Inc., Freedom Financial Group, Inc., Associated Investment Management, Inc., Jon Patrick Pierce, Gary L. Winn
File No. 3-11246
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-70208 | Aug. 15, 2013 | Freedom Financial, Inc., et al. |
| 34-54845 | Nov. 30, 2006 | Order Appointing a Tax Administrator |
| 34-54547 | Sep. 29, 2006 | Order Approving Distribution of Disgorgement Fund |
| 34-53814 | May 16, 2006 | Order Approving Plan of Disgorgement Distribution and Appointing Administrator |
| 33-8643 34-52945 IA-2460 | Dec. 13, 2005 | Notice of Proposed Plan of Disgorgement Distribution and Opportunity for Comment by Non-Parties Comments due: January 12, 2006 |
| Proposed Plan of Disgorgement Distribution as to Respondent Associated Investment Management, Inc. | ||
| 33-8426 34-49744 IA-2240 | May 20, 2004 | Order Making Findings and Imposing Remedial Sanctions and Cease-and-Desist Orders |
| 33-8280 34-48446 IA-2168 | Sep. 4, 2003 | Proceedings Instituted Against Freedom Financial, Inc., Freedom Track, Inc., Freedom Financial Group, Inc., Associated Investment Management, Inc., Jon Patrick Pierce, and Gary L. Winn |
Fremont Investment Advisors, Inc.
File No. 3-11726
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-71426 | Jan. 28, 2014 | Order Discharging Fund Administrator, Transfer of Residual and Terminating Fair Fund |
| 34-67483 | Jul. 20, 2012 | Order Directing Disbursement |
| 34-63203 | Oct. 28, 2010 | Order Directing Disbursement of Fair Fund |
| 34-62381 | Jun. 25, 2010 | Order Approving Plan, Appointing a Fund Administrator, and Waiving Bond |
| Final Plan of Distribution | ||
| 34-62090 | May 12, 2010 | Notice of Proposed Plan of Distribution and Opportunity for Comment |
| Proposed Plan of Distribution | ||
| 34-51341 | Mar. 9, 2005 | Order Directing Appointment of Tax Administrator |
| IA-2317 IC-26650 | Nov. 4, 2004 | Order Instituting Adminstrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and Issuing a Cease-and-Desist Order |
Gabelli Funds LLC
File No. 3-13019
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-68733 | Jan. 25, 2013 | Order Authorizing the Transfer of Remaining Funds and Any Future Funds Returned to the Fair Fund to the U.S. Treasury, Terminating the Fair Fund, and Discharging the Fund Administrator |
| 34-62806 | Aug. 31, 2010 | Order Directing Disbursement of Fair Fund |
| 34-62728 | Aug. 16, 2010 | Order Directing Disbursement of Fair Fund |
| 34-61256 | Dec. 30, 2009 | Order Approving Distribution Plan |
| Final Plan of Distribution | ||
| 34-61255 | Dec. 30, 2009 | Order Appointing A Fund Administrator and Waiving Bond |
| 34-60656 | Sep. 11, 2009 | Notice of Proposed Plan of Distribution and Opportunity for Comment |
| Proposed Plan of Distribution | ||
| 34-57796 | May 7, 2008 | Order Appointing Tax Administrator |
| 33-8911 34-57708 | Apr. 24, 2008 | Order Granting Waivers |
| IA-2727 IC-28253 | Apr. 24, 2008 | Order Instituting Adminstrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
Gary L. Pilgrim
File No. 3-11739
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-65017 | Aug. 3, 2011 | Order Disbursing Funds, Terminating Fair Fund, Discharging Plan Administrator, and Transferring Remaining Funds to the U.S. Treasury |
| 34-51341 | Mar. 9, 2005 | Order Directing Appointment of Tax Administrator |
| 33-8505 34-50680 IA-2328 IC-26655 | Nov. 17, 2004 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
General American Life Insurance Company and William C. Thater
File No. 3-12720
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-63144 | Oct. 21, 2010 | Order Discharging Plan Administrator and Terminating Fair Fund |
| 34-60447 | Aug. 5, 2009 | Order Directing Disbursement of Fair Fund |
| Distribution Plan | ||
| 34-58225 | Jul. 25, 2008 | Order Approving Distribution Plan, Appointing a Plan Administrator, and Waiving Bond |
| 34-57863 | May 23, 2008 | Notice of Proposed Distribution Plan and Opportunity for Comment |
| Proposed Plan of Distribution | ||
| 34-56702 | Oct. 25, 2007 | Order Appointing Tax Administrator |
| 33-8832 34-56229 IC-27925 | Aug. 9, 2007 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
Geneos Wealth Management, Inc.
File No. 3-18425
Gerald T. Malone
File No. 3-11914
Note: this case has been consolidated with File No. 3-11359. Future materials will appear at the Alliance Capital Management, L.P. listing.
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-53445 IC-26858 | Mar. 8, 2006 | Order Directing Appointment of Tax Administrator |
| IA-2378 IC-26858 | Apr. 28, 2005 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
Gerson Asset Management, Inc. and Seth Gerson
File No. 3-12121
GLG Partners, Inc. and GLG Partners, L.P.
File No. 3-15641
Goelzer Investment Management, Inc. and Gregory W. Goelzer
File No. 3-15400
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-82001 | Nov. 2, 2017 | Order Authorizing The Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Disgorgement Fund in the Future and Terminating the Disgorgement Fund |
Grant Thornton, LLP; Doeren Mayhew & Co., P.C.; Peter M. Behrens, CPA; Marvin J. Morris, CPA and Benedict P. Rybicki, CPA
File No. 3-11377
Gray Financial Group, Inc., Laurence O. Gray, and Robert C. Hubbard, IV
File No. 3-16554
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-91255 | Mar. 4, 2021 | Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund |
| 34-87895 | Jan. 6, 2020 | Order Directing Disbursement of Fair Fund |
| 34-87284 | Oct. 10, 2019 | Order Approving Plan of Distribution |
| Plan of Distribution | ||
| 34-86738 | Aug. 22, 2019 | Notice of Proposed Plan of Distribution and Opportunity for Comment |
| Proposed Distribution Plan | ||
| 34-85091 | Feb. 11, 2019 | Extension Order |
| 34-83172 | May 4, 2018 | Order Appointing Tax Administrator |
| IA-4812 IC-32905 | Nov. 22, 2017 | Order Making Findings and Imposing Remedial Sanctions and Cease and Desist Order |
| 33-9789 34-75021 IA-4094 IC-31643 | May 21, 2015 | Order Instituting Administrative and Cease-and-Desist Proceedings |
See also other case files for 3-16554.
G-Trade Services LLC, ConvergEx Global Markets Limited, and ConvergEx Execution Solutions LLC
File No. 3-15654
Harbour Investments, Inc.
File No. 3-18760
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-89096 | Jun. 18, 2020 | Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future and Terminating the Fair Fund |
| 34-84115 IA-5006 | Sep. 13, 2018 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
Harold J. Baxter
File No. 3-11740
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-65017 | Aug. 3, 2011 | Order Disbursing Funds, Terminating Fair Fund, Discharging Plan Administrator, and Transferring Remaining Funds to the U.S. Treasury |
| 34-51341 | Mar. 9, 2005 | Order Directing Appointment of Tax Administrator |
| 33-8506 34-50681 IA-2329 IC-26656 | Nov. 17, 2004 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
Heartland Advisors, Inc., William J. Nasgovitz, Paul T. Beste, Thomas J. Conlin, Greg D. Winston, Kevin D. Clark, Kenneth J. Della, and Hugh F. Denison
File No. 3-12936
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-67243 | Jun. 22, 2012 | Order Approving the Final Accounting, Authorizing the Transfer of Residual Funds and Any Future Funds Received by the Fair Fund to the U.S. Treasury, Discharging the Fund Administrator, and Terminating the Fair Fund |
| 34-63173 | Oct. 25, 2010 | Order Directing Disbursement of Fair Fund |
| 34-61823 | Apr. 1, 2010 | Order Approving Plan, Appointing a Fund Administrator, and Approving Administrator Bond |
| Final Plan of Distribution | ||
| 34-61481 | Feb. 3, 2010 | Notice of Proposed Distribution Plan and Opportunity for Comment |
| Proposed Plan of Distribution | ||
| 34-57651 | Apr. 11, 2008 | Order Appointing a Tax Administrator |
| 33-8884 34-57206 IA-2698 IC-28136 | Jan. 25, 2008 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders |
Hennessee Group LLC and Charles J. Gradante
File No. 3-13454
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-73885 | Dec. 19, 2014 | Order Authorizing the Transfer of Residual Funds and Any Future Funds Received By the Fair Fund to the U.S. Treasury, Discharging the Fund Administrator, and Terminating the Fair Fund |
| 34-67514 | Jul. 26, 2012 | Order Directing Disbursement of Fair Fund |
| 34-64156 | Mar. 31, 2011 | Order Approving Plan and Appointing a Fund Administrator |
| Final Plan of Distribution | ||
| 34-63890 | Feb. 11, 2011 | Notice of Proposed Plan of Distribution and Opportunity for Comment |
| Proposed Plan of Distribution | ||
| 34-61477 | Jan. 29, 2010 | Order Appointing Tax Administrator |
| IA-2871 | Apr. 22, 2009 | Order Instituting Administrative and Cease-Anddesist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
Huntington Bancshares, Inc., Thomas E. Hoaglin, Michael J. McMennamin, and John Van Fleet, CPA
File No. 3-11940
Huron Consulting Group Inc., Gary L. Burge, CPA, and Wayne F. Lipski, CPA
File No. 3-14958
International Equity Advisors, LLC and Richard Roger Lund
File No. 3-12068
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-76704 | Dec. 21, 2015 | Order Authorizing the Transfer to the U.S. Treasury of Residual Funds and Any Funds Received By the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund |
| 34-58490 | Sept. 8, 2008 | Order Directing Disbursement of Fair Fund |
| 34-56220 | Aug. 8, 2007 | Order Approving Distribution Plan |
| Plan of Distribution | ||
| 34-55665 | Apr. 25, 2007 | Notice of Proposed Distribution Plan and Opportunity for Comment |
| Proposed Distribution Plan | ||
| 34-53352 | Feb. 23, 2006 | Order Appointing Tax Administrator |
| 33-8648 34-53019 IA-2467 IC-27198 | Dec. 23, 2005 | Order Establishing Fair Fund |
| 33-8621 34-52545 IA-2437 IC-27108 | Sep. 30, 2005 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
Invesco Funds Group, Inc., AIM Advisors, Inc., and AIM Distributors, Inc.
File No. 3-11701
See also:
- Invesco Funds Group, Inc., AIM Advisors, Inc., and AIM Distributors, Inc. (Press Release No. 2009-124, Jun. 1, 2009)
Inviva, Inc. and Jefferson National Life Insurance Company
File No. 3-11579
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-71882 | Apr. 4, 2014 | Order Authorizing the Transfer of Remaining Funds and Any Future Funds Returned to the Fair Fund to the U.S. Treasury, Discharging the Fund Administrator and Terminating the Fair Fund |
| 34-62228 | Jun. 4, 2010 | Order Directing Disbursement of Fair Fund |
| 34-61600 | Feb. 26, 2010 | Order Approving Plan, Appointing a Fund Administrator, and Waiving Bond |
| 34-61210 | Dec. 18, 2009 | Notice of Proposed Plan of Distribution and Opportunity for Comment |
| Proposed Plan of Distribution | ||
| 34-51341 | Mar. 9, 2005 | Order Directing Appointment of Tax Administrator |
| 33-8456 34-50166 IC-26527 | Aug. 9, 2004 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
Janus Capital Management LLC
File No. 3-11590
See also, SEC Announces $18 Million Fair Fund Distribution to Investors Affected by Undisclosed Market Timing in Janus Mutual Funds (Press Release No. 2008-177, August 15, 2008)
Jefferies & Co., Inc. and Scott Jones
File No. 3-12495
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-63510 | Dec. 9, 2010 | Order Supplementing Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
| 34-55592 | Apr. 6, 2007 | Order Appointing Tax Administrator |
| 34-54861 | Dec. 1, 2006 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
See also, Jefferies Settles SEC Charges Involving Illegal Gifts and Entertainment (Press Release No. 2006-198, December 4, 2006)
Jeremy A. Licht d/b/a JL Capital Management
File No. 3-18171
J. Michael Scarborough and Royal Alliance Associates, Inc.
File No. 3-11538
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-81513 | Aug. 31, 2017 | Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund |
| 34-81064 | June 30, 2017 | Notice of Name Change of Appointed Tax Administrator |
| 34-67002 | May 16, 2012 | Order Directing Disbursement of Fair Fund |
| 34-62210 | Jun. 2, 2010 | Order Directing Disbursement of Fair Fund |
| 34-59930 | May 15, 2009 | Order Approving Plan of Distribution |
| Proposed Distribution Plan | ||
| 34-59368 | Feb. 6, 2009 | Notice of Proposed Plan of Distribution and Opportunity for Comment |
| 34-54838 | Nov. 29, 2006 | Order Approving Tax Administrator |
| 33-8438 34-49982 | Jul. 8, 2004 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
John D. Carifa
File No. 3-11915
Note: this case has been consolidated with File No. 3-11359. Future materials will appear at the Alliance Capital Management, L.P..
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-53446 | Mar. 8, 2006 | Order Directing Appointment of Tax Administrator |
| IA-2379 IC-26859 | Apr. 28, 2005 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and- Desist Order |
John W. Adams and AIP, LLC
File No. 3-11676
Joseph Stilwell and Stilwell Value LLC
File No. 3-16444
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-77075 | Feb. 5, 2016 | Order Directing Transfer of Remaining Funds to the United States Treasury |
| IA-4049 | Mar. 16, 2015 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
JPMorgan Chase & Co.
File No. 3-15507
J.P. Morgan Securities Inc.
File No. 3-13673
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-72303 | Jun. 3, 2014 | Order Authorizing the Transfer of Remaining Funds and Any Future Funds Returned to the Fair Fund to the U.S. Treasury, Discharging Plan Administrator and Terminating the Fair Fund |
| 34-63812 | Feb. 1, 2011 | Order Directing Disbursement of Fair Fund |
| 34-63060 | Oct. 7, 2010 | Order Approving Distribution Plan and Appointing a Plan Administrator |
| Final Plan of Distribution | ||
| 34-62738 | Aug. 18, 2010 | Notice of Proposed Plan of Distribution and Opportunity for Comment |
| Proposed Plan of Distribution | ||
| 34-61673 | Jan. 19, 2010 | Extension Order |
| 33-9078 | Nov. 4, 2009 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
| 33-9079 | Nov. 4, 2009 | Order Granting a Waiver |
| 33-9080 | Nov. 4, 2009 | Order Granting Waivers |
See also, J.P. Morgan Settles SEC Charges in Jefferson County, Ala. Illegal Payments Scheme (Press Release No. 2009-232, November 4, 2009)
Kenneth C. Meissner, James Doug Scott and Mark S. "Mike" Tomich
File No. 3-16175
Knight Securities L.P
File No. 3-11771
Logitech International, S.A., Michael Doktorczyk, and Sherralyn Bolles, CPA
File No. 3-17212
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 |
L.T. Lawrence & Co., Inc., Todd E. Roberti, and Lawrence Principato
File No. 3-9923
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-70172 | Aug. 13, 2013 | Order Creating a Fair Fund and Transferring the Fair Fund to a Court Registry for Deposit Into a Criminal Restitution Fund |
| 33-7876 34-43067 | July 24, 2000 | Order Making Findings and Imposing Remedial Sanctions |
Mary Beth Stevens
File No. 3-13553
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-76152 | Oct. 14, 2015 | Order Authorizing the Transfer to the U.S. Treasury of Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund |
| 34-68732 | Jan. 25, 2013 | Order Directing Disbursement of Fair Fund |
| 34-66468 | Feb. 24, 2012 | Order Approving Plan of Distribution and Appointing a Fund Administrator |
| Final Plan of Distribution | ||
| 34-66039 | Dec. 22, 2011 | Notice of Proposed Plan of Distribution and Opportunity for Comment |
| Proposed Plan of Distribution | ||
| IA-2973 | Jan. 5, 2010 | Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order |
| IA-2902 | Jul. 17, 2009 | Securities and Exchange Commission Institutes Administrative Proceedings Against Mary Beth Stevens |
| Jul. 17, 2009 | Order Instituting Administrative and Cease-and-Desist Proceedings |
Massachusetts Financial Services Co.
File No. 3-11450
Note: Funds were distributed according to the Plan of Distribution (Link to IA-2343)
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-81064 | June 30, 2017 | Notice of Name Change of Appointed Tax Administrator |
| 34-51341 | Mar. 9, 2005 | Order Directing Appointment of Tax Administrator |
| IA-2343 IC-26724 | Jan. 21, 2005 | Order Approving a Plan of Distribution |
| IA-2303 IC-26617 | Sep. 22, 2004 | Notice of Proposed Plan for the Distribution of a Fair Fund and Opportunity for Comment |
| IA-2224 IC-26409 | Mar. 31, 2004 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
See also, Mutual Fund Manager MFS Pays $50 Million Fine To Settle SEC Enforcement Action (Press Release No. 2004-44, Mar. 31, 2004)
Massachusetts Financial Services Co., John W. Ballen and Kevin R. Parke
File No. 3-11393
See also, SEC Announces $31.5 Million Fair Fund Distribution to Investors Injured by Undisclosed Market Timing in MFS Funds (Press Release No. 2007-241, Nov. 20, 2007)
Maxwell Technologies, Inc., Van M. Andrews, David J. Schramm, and James W. Dewitt, Jr., CPA
File No. 3-18408
Moore Stephens Wurth Frazer & Torbet LLP and K. Dean Yamagata, CPA
File No. 3-14167
Note: Funds were transferred to the Distribution Agent.
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-81307 | Aug. 3, 2017 | Order Combining Funds with the China Energy Fair Fund |
| 33-9166 34-63579 AAER-3221 | Dec. 20, 2010 | Order Instituting Public Administrative and Cease-and Desist Proceedings Pursuant To Section 8A of the Securities Act of 1933 and Section 4C 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 |
Metis Wealth Advisors, LLC and Juan R. Montermoso
File No. 3-16955
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-81064 | June 30, 2017 | Notice of Name Change of Appointed Tax Administrator |
| 34-76595 | Dec. 9, 2015 | Order Appointing Tax Administrator |
| 34-76432 IA-4262 IC-31900 | Nov. 12, 2015 | Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 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 |
Michael D. Legoski
File No. 3-11620
Note: Funds were transferred to the U.S. Treasury.
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-51341 | Mar. 9, 2005 | Order Directing Appointment of Tax Administrator |
| 34-50289 IA-2290 IC-26590 | Aug. 30, 2004 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
Michael J. Laughlin
File No. 3-11916
Note: this case has been consolidated with File No. 3-11359. Future materials will appear at the Alliance Capital Management, L.P. listing.
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-53447 | Mar. 8, 2006 | Order Directing Appointment of Tax Administrator |
| 34-51642 IA-2380 IC-26860 | Apr. 28, 2005 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
Millennium Partners, L.P., Millennium Management, L.L.C., Millennium International Management, L.L.C., Israel Englander, Terence Feeney, Fred Stone, and Kovan Pillai; and Steven B. Markovitz
File Nos. 3-12116 and 3-11292
See also, the following Press Releases:
- SEC Announces $178 Million Distribution from Millennium Fair Fund (Press Release No. 2010-83, May 21, 2010)
- SEC Charges Millennium Partners, L.P., Israel Englander, and Others for Engaging in Fraudulent Market Timing Scheme (Press Release No. 2005-170, December 1, 2005)
Monomoy Capital Management, L.P.
File No. 3-19764
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-102184 | Jan. 14, 2025 | Order Terminating the Fair Fund |
| IA-5485 | April 22, 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 |
Morgan Asset Management, Inc.; Morgan Keegan & Company, Inc.; James C. Kelsoe, Jr.; and Joseph Thompson Weller, CPA
File No. 3-13847
See also the following Press Release,
- Morgan Keegan to Pay $200 Million to Settle Fraud Charges Related to Subprime Mortgage-Backed Securities (Press Release No. 2011-132, June 22, 2011)
Morgan Stanley & Co. Incorporated
File No. 3-12631
Morgan Stanley & Co. Incorporated
File No. 3-12907
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-77559 | Apr. 7, 2016 | Order Authorizing the Transfer to the U.S. Treasury of Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund |
| 34-70648 | Oct. 9, 2013 | Order Directing Disbursement of Fair Fund |
| 34-61882 | Apr. 9, 2010 | Order Approving Plan and Appointing a Plan Administrator |
| Final Plan of Distribution | ||
| 34-61598 | Feb. 26, 2010 | Notice of Proposed Plan of Distribution and Opportunity for Comment |
| Proposed Plan of Distribution | ||
| 34-57723 IC-28078 | Apr. 28, 2008 | Order Appointing Tax Administrator |
| 34-56980 IC-28078 | Dec. 18, 2007 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
Morgan Stanley, Co. LLC; Morgan Stanley ABS Capital I Inc.; and Morgan Stanley Mortgage Capital Holdings LLC
File No. 3-15982
Morgan Stanley DW, Inc.
File No. 3-11335
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-53997 | Jun. 15, 2006 | Order Approving Final Accounting, Directing Payment of Remainder of Fair Fund to United States Treasury, and Discharging Plan Administrator |
| 34-53996 | Jun. 15, 2006 | Order Directing Payment of Plan Administrator’s Fees and Expenses |
| 33-8634 34-52735 | Nov. 4, 2005 | Notice Concerning Distribution Plan |
| 33-8620 34-52540 | Sep. 30, 2005 | Order Directing Distribution of Fair Fund |
| 33-8615 34-52482 | Sep. 21, 2005 | Order Approving Plan of Distribution and Appointing An Administrator |
| 33-8602 34-52245 | Aug. 12, 2005 | Notice of Proposed Plan for the Distribution of a Fair Fund and Opportunity for Comment |
| 34-51341 | Mar. 9, 2005 | Order Directing Appointment of Tax Administrator |
| 33-8339 34-48789 | Nov. 17, 2003 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
See also, SEC Charges Morgan Stanley With Inadequate Disclosure in Mutual Fund Sales (Press Release No. 2003-159, November 17, 2003)
Nancy C. Tengler
File No. 3-11727
Note: this case has been consolidated with File No. 3-11726. Future materials will appear at the Fremont Investment Advisors, Inc. listing.
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-51341 | Mar. 9, 2005 | Order Directing Appointment of Tax Administrator |
| IA-2318 | Nov. 4, 2004 | Order Instituting Adminstrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and Issuing a Cease-and-Desist Order |
New York Life Investment Management LLC
File No. 3-13487
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-64750 | Jun. 27, 2011 | Order Terminating the Fair Fund |
| IA-2883 IC-28747 | May 27, 2009 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
Orthofix International N.V.; Jeffrey Hammel, CPA; Brian McCollum; Kenneth Mack and Bryan McMillan
File Nos. 3-17791, 3-17792, 3-17793, 3-17794
Oxbow Advisors, LLC
File No. 3-19817
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-95873 | Sep. 22, 2022 | Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future and Terminating the Fair Fund |
Packetport.com, Inc., Ronald Durando, Microphase Corp., Robert H. Jaffe, Gustave Dotoli, M. Christopher Agarwal, and Theodore Kunzog
File No. 3-12868
Paul George Chironis
File No. 3-13869
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 33-9170 34-63661 IC-29548 | Jan. 6, 2011 | Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order |
| 33-9119 34-61968 | Apr. 23, 2010 | Order Instituting Administrative and Cease-and-Desist Proceedings |
See also the following Press Release:
- Broker Accused of Defrauding Elderly Nuns Settles Case With SEC (Press Release No. 2011-2, January 6, 2011)
Paul W. Oliver, Jr.
File No. 3-13554
Note: this case has been consolidated with File No. 3-13553. Future materials will appear at the Mary Beth Stevens listing.
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-66039 | Dec. 22, 2011 | Notice of Proposed Plan of Distribution and Opportunity for Comment |
| Proposed Plan of Distribution | ||
| IA-2903 IC-28747 | Jul. 17, 2009 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
Pilgrim Baxter & Associates, Ltd.
File No. 3-11524
See also the following Press Releases,
- SEC Announces Final Disbursement to Investors From $267 Million Pilgrim Baxter Fair Fund (Press Release No. 2007-181, September 12, 2007)
- SEC Announces Second of Three Disbursements From $267 Million Pilgrim Baxter Fair Fund (Press Release No. 2007-113, June 13, 2007)
- SEC Announces $125 Million Fair Fund Distribution to Investors Injured by Pilgrim Baxter Market Timing Fraud (Press Release No. 2007-68, April 23, 2007)
PA Fund Management LLC f/k/a PIMCO Advisors Fund Management LLC, PEA Capital LLC f/k/a PIMCO Equity Advisors LLC, and PA Distributors LLC f/k/a PIMCO Advisors Distributors LLC
File No. 3-11645
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-81514 | Aug. 31, 2017 | Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund |
| 34-81064 | June 30, 2017 | Notice of Name Change of Appointed Tax Administrator |
| 34-74071 | Jan. 15, 2015 | Order Directing Disbursement |
| 34-65935 | Dec. 9, 2011 | Order Directing Disbursement of Fair Fund |
| 34-64477 | May 12, 2011 | Order Directing Disbursement of Fair Fund |
| 34-63518 | Dec. 10, 2010 | Order Approving Plan of Distribution, Appointing a Fund Administrator, and Waiving Bond |
| Final Plan of Distribution | ||
| 34-63059 | Oct. 7, 2010 | Notice of Proposed Plan of Distribution and Opportunity for Comment |
| Proposed Plan of Distribution | ||
| 34-51341 | Mar. 9, 2005 | Order Directing Appointment of Tax Administrator |
| 34-50354 IA-2292 IC-26594 | Sep. 13, 2004 | Order Instituting Administrative and Cease-and-Desist Proceedings Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
PPS Advisors, Inc. and Lawrence Nicholas Passaretti
File No. 3-18947
Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Rose M. Rudden, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells
File No. 3-13532
Prudential Equity Group, LLC f/k/a Prudential Securities Inc.
File No. 3-12400
Putnam Investment Management LLC
File No. 3-11317
See also, SEC Announces Fair Fund Distribution to Harmed Investors in Putnam Mutual Funds (Press Release No. 2008-178, August 18, 2008)
See also, Commission Announces Completion of Independent Assessment Consultant's Report on Losses Attributable to Market Timing and Excessive Short-Term Trading by Putnam Employees (Press Release No. 2005-26, March 3, 2005)
Putnam Investment Management LLC
File No. 3-11868
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-53042 | Dec. 29, 2005 | Order Appointing Plan Administrator |
| 34-53041 | Dec. 29, 2005 | Order Directing Appointment of Tax Administrator |
| IA-2425 IC-27062 | Sep. 12, 2005 | Order Approving a Plan of Distribution of a Fair Fund and Appointing a Plan Administrator |
| IA-2387 IC-26873 | May 19, 2005 | Notice of Proposed Plan for the Distribution of a Fair Fund and Opportunity for Comment |
| IA-2370 IC-26788 | Mar. 23, 2005 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
See also, Mutual Fund Manager Putnam Pays $40 Million Fine to Settle SEC Enforcement Action (Press Release No. 2005-40, March 23, 2005)
Raymond James Financial Services, Inc. and J. Stephen Putnam
File No. 3-11692
Ravi Iyer
File No. 3-20166
Ronald St. Clair, CPA, and Lawrence Swan, CA
File No. 3-14615
Note: Funds were transferred to the U.S. Treasury.
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 33-9274 34-65698 IC-29856 | Nov. 7, 2011 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr.
File No. 3-17315
RBC Capital Markets, LLC (formerly known as RBC Capital Markets Corp.)
File No. 3-14564
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 33-9262 34-65404 IA-3289 | Sep. 27, 2011 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
See also, SEC Charges RBC Capital Markets in Sale of Unsuitable CDO Investments to Wisconsin School Districts (Press Release No. 2011-191, September 27, 2011)
Resolute Capital Partners Ltd, LLC, et al.
File No. 3-20597
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-94779 | Apr. 22, 2022 | Extension Order |
Ritchie Capital Management L.L.C., Ritchie Multi-Strategy Global Trading, Ltd., A.R. Thane Ritchie, and Warren Louis DeMaio
File No. 3-12947
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-65309 | Sep. 9, 2011 | Order Discharging Plan Administrator and Terminating Fair Fund |
| 34-60986 | Nov. 10, 2009 | Order Directing Disbursement of Fair Fund |
| 34-59085 | Dec. 11, 2008 | Order Approving Distribution Plan, Appointing A Plan Administrator, and Waiving Bond |
| Notice of Proposed Distribution Plan and Opportunity for Comment | ||
| 34-57549 | Mar. 24, 2008 | Order Appointing a Tax Administrator |
| 33-8890 34-57271 IA-2701 IC-28142 | Feb. 5, 2008 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
Robertson Stephens, Inc.
File No. 3-11003
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-54527 | Sep. 27, 2006 | Order Authorizing Disbursement of Funds From Fair Fund to Pay Fees and Taxes and Disbursement of Remaining Fund Balance to U.S. Treasury |
| 34-51406 | Mar. 22, 2005 | Order Directing Distribution of Disgorgement Fund |
| 34-51341 | Mar. 9, 2005 | Order Directing Appointment of Tax Administrator |
| 34-49299 | Feb. 23, 2004 | Order Approving Plan for the Distribution of Disgorgement Fund |
| Notice of Proposed Plan of Distribution and Proposed Plan of Distribution | ||
| 34-47144 | Jan. 9, 2003 | Order Instituting Administrative Proceedings, Making Findings and Imposing Sanctions |
Ronald E. Huxtable II
File No. 3-15748
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-72505 | Jul. 1, 2014 | Order Appointing Tax Administrator |
| 33-9547 34-71537 IA-3777 IC-30918 | Feb. 12, 2014 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, And Imposing Remedial Sanctions and a Cease-and-Desist Order |
RS Investment Management, Inc., RS Investment Management, L.P., G. Randall Hecht and Steven M. Cohen
File No. 3-11696
See also, SEC Announces $30 Million Fair Fund Distribution to Investors Affected by Undisclosed Market Timing in RS Investments Mutual Funds (Press Release No. 2008-65, April 25, 2008)
Sandra Dyche
File No. 3-16398
Sarkauskas and Associates, Inc. and James M. Sarkauskas
File No. 3-15471
SCF Investment Advisors, Inc.
File No. 3-19912
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-96255 | Nov. 8, 2022 | Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future and Terminating the Fair Fund |
Securities America Advisors, Inc.
File No. 3-18424
Smith Barney Fund Management LLC and Citigroup Global Markets, Inc.
File No. 3-11935
Southwest Securities, Inc., Daniel R. Leland, Kerry M. Rigdon and Kevin J. Marsh
File No. 3-11793
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-82000 | Nov. 2, 2017 | Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund |
| 34-81064 | June 30, 2017 | Notice of Name Change of Appointed Tax Administrator |
| 34-65016 | Aug. 2, 2011 | Order Directing Disbursement of Fair Fund |
| 34-63172 | Oct. 25, 2010 | Order Approving Plan of Distribution |
| Final Plan of Distribution | ||
| 34-62810 | Sep 1, 2010 | Order Appointing Fund Administrator and Waiving the Bond Requirement |
| 34-62809 | Sep. 1, 2010 | Notice of Proposed Plan of Distribution and Opportunity for Comment |
| Proposed Plan of Distribution | ||
| 34-53460 | Mar. 9, 2006 | Order Appointing Tax Administrator |
| 33-8521 | Jan. 10, 2005 | Order Granting a Waiver |
| 34-51002 IA-2341 IC-26721 | Jan. 10, 2005 | Order Instituting Public Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions, and Instituting Cease-and-Desist Proceedings and Imposing a Cease-and-Desist Order |
Specialist
Bear Wagner Specialists LLC, File No. 3-11445
Fleet Specialist, Inc., File No. 3-11446
LaBranche & Co. LLC, File No. 3-11447
Spear, Leeds & Kellogg Specialists LLC, File No. 3-11448
Van der Moolen Specialists USA, LLC, File No. 3-11449
Performance Specialist Group LLC, File No. 3-11558
SIG Specialists, Inc., File No. 3-11559
See also the following Press Releases:
- Distributions Begin to Victims of Improper Trading at NYSE Specialist Firms (Press Release 2006-120, July 19, 2006)
- SEC Institues Enforcement Action Against 20 Former New York Stock Exchange Specialists Alleging Pervasive Course of Fraudulent Trading, (Press Release 2005-54, April 12, 2005)
Stephen R. Moynahan
File No. 3-13263
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-65937 | Dec. 12, 2011 | Order Discharging Plan Administrator and Terminating Fair Fund |
| 34-61069 | Nov. 30, 2009 | Order Directing Disbursement of Fair Fund |
| 34-59693 | Apr. 2, 2009 | Order Approving Distribution Plan |
| Proposed Distribution Plan | ||
| 34-59339 | Feb. 2, 2009 | Notice of Proposed Distribution Plan and Opportunity for Comment |
| 34-58689 | Sep. 30, 2008 | Order Instituting Administrative and Cease-and-Desist Proceedings |
Strong Capital Management, Inc.
File No. 3-12448
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-70003 | Jul. 18, 2013 | Order Authorizing the Transfer of Remaining Funds and Any Future Funds Received by the Fair Fund to the U.S. Treasury, Discharging the Fund Administrator, and Terminating the Fair Fund |
| 34-66496 | Mar. 1, 2012 | Order Directing Disbursement of Fair Fund |
| 34-65465 | Oct. 3, 2011 | Order Approving Plan of Distribution |
| 34-65023 | Aug. 3, 2011 | Notice of Proposed Plan of Distribution and Opportunity for Comment |
| Proposed Plan of Distribution | ||
| 34-65022 | Aug. 3, 2011 | Order Appointing Fund Administrator and Waiving Bond Requirement |
| 34-54639 | Oct. 23, 2006 | Order Appointing Tax Administrator |
| IA-2560 IC-27508 | Sep. 29, 2006 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions |
Taberna Capital Management, LLC, Michael Fralin, and Raphael Licht
File No. 3-16776
Thomas A. Kolbe
File No. 3-11618
Note: Funds were transferred to the U.S. Treasury.
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-51341 | Mar. 9, 2005 | Order Directing Appointment of Tax Administrator |
| IA-2288 IC-26588 | Aug. 30, 2004 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
Thoroughbred Financial Services, LLC
File No. 3-18952
Timothy J. Miller
File No. 3-11619
Note: Funds were transferred to the U.S. Treasury.
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-51341 | Mar. 9, 2005 | Order Directing Appointment of Tax Administrator |
| IA-2289 IC-26589 | Aug. 30, 2004 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
Tilden Loucks & Woodnorth, LLC, LaSalle St. Securities, LLC, and Ralph B. Loucks
File No. 3-15081
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-81221 | Jul. 26, 2017 | Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Disgorgement Fund in the Future, and Terminating the Disgorgement Fund |
| 34-68118 IA-3494 | Oct. 29, 2012 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
Titan Global Capital Management USA LLC
File No. 3-21569
UBS Fin Servs
File No. 3-20401
UBS Financial Services Inc.
File No. 3-20912
UBS Financial Services Inc. of Puerto Rico
File No. 3-14863
UBS Financial Services Inc. of Puerto Rico and Ramiro L. Colon, III
File Nos. 3-16846, 3-16847
UBS Willow Management L.L.C. and UBS Fund Advisor L.L.C.
File No. 3-16909
Value Line, Inc., Value Line Securities, Inc., Jean Bernhard Buttner, and David Henigson
File No. 3-13675
VCAP Securities, LLC, and Brett Thomas Graham
File No. 3-16389
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-90451 | Nov. 18, 2020 | Order Authorizing the Transfer to the U.S. Treasury of the Remaning Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund |
| 34-81064 | June 30, 2017 | Notice of Name Change of Appointed Tax Administrator |
| 34-79850 | Jan. 19, 2017 | Order Directing Disbursement of Fair Fund |
| 34-76877 | Jan. 12, 2016 | Order Approving Plan of Distribution |
| Plan of Distribution | ||
| 34-76511 | Nov. 24, 2015 | Notice of Proposed Plan of Distribution and Opportunity for Comment |
| Proposed Plan of Distribution | ||
| 34-75924 | Sep. 15, 2015 | Extension Order |
| 34-74993 | May 19, 2015 | Extension Order |
| 34-74508 | Mar. 13, 2015 | Order Appointing Tax Administrator |
| 34-74305 | Feb. 19, 2015 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
Veras Capital Master Fund, VEY Partners Master Fund, Veras Investment Partners, LLC, Kevin D. Larson, and James R. McBride
File No. 3-12133
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-60705 | Sep. 22, 2009 | Order Discharging Plan Administrator and Terminating Fair Fund |
| 34-55847 | Jun. 1, 2007 | Second Order Directing Disbursement of Fair Fund |
| 34-55363 | Feb. 27, 2007 | Order Directing Disbursement of Fair Fund |
| 34-54568A | Oct. 4, 2006 | Corrected Order Approving Distribution Plan of a Fair Fund |
| 34-54299 | Aug. 10, 2006 | Notice of Proposed Distribution Plan and Opportunity for Comment |
| Distribution Plan | ||
| 34-53466 | Mar. 10, 2006 | Order Appointing Tax Administrator |
| 33-8646 34-53011 IA-2466 IC-27197 | Dec. 22, 2005 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
See also the following Press Release:
- SEC Announces $38 Million Fair Fund Distribution in the Veras Hedge Funds Settlement (Press Release No. 2007-50, March 21, 2007)
- SEC Charges Veras Capital Master Fund, VEY Partners Master Fund, Veras Investment Partners, LLC, Kevin D. Larson, and James R. McBride in Fraudulent Market Timing and Late Trading Scheme (Press Release No. 2005-82, December 22, 2005)
Voya Investments, LLC and Directed Services, LLC
File No. 3-18393
Waddell & Reed, Inc., Waddell & Reed Investment Management Company, and Waddell & Reed Services Company
File No. 3-12372
See also:
- Division of Corporation Finance No-Action Letter (October 31, 2006)
Weiss Research, Inc., Martin Weiss, and Lawrence Edelson
File No. 3-12341
Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC and Shawn Patrick McMurtry
File No. 3-14982
See also:
- SEC Announces Securities Laws Violations by Wachovia Involving Mortgage-Backed Securities (Press Release No. 2011-83, April 5, 2011)
Wells Fargo Securities LLC (f/k/a Wachovia Capital Markets LLC)
File No. 3-14320
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 33-9201 | Apr. 5, 2011 | Order Granting Waivers as to Wells Fargo Securities and Its Affiliates |
| 33-9200 | Apr. 5, 2011 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
See also:
- SEC Announces Securities Laws Violations by Wachovia Involving Mortgage-Backed Securities (Press Release No. 2011-83, April 5, 2011)
West Coast Asset Management, Inc. and Lance W. Helfert
File No. 3-15660
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-71474 | Feb. 4, 2014 | Order Appointing Tax Administrator |
| 33-9501 34-3746 | Dec. 23, 2013 | Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8a of the Securities Act of 1933, and Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
William B. Fretz, Jr., John P. Freeman, Covenant Capital Management Partners, L.P., and Covenant Partners, L.P.
File No. 3-16829
Winslow, Evans & Crocker, Inc.
File No. 3-20223
Yale I. Asbell
File No. 3-16163
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-81064 | June 30, 2017 | Notice of Name Change of Appointed Tax Administrator |
| 34-73478 | Oct. 30, 2014 | Order Appointing Tax Administrator |
| 34-73206 IA-3933 IC-31260 | Sep. 24, 2014 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
Note: distribution made by the Order Instituting Proceedings, Release No. 34-73206.
Zurich Capital Markets Inc.
File No. 3-12628
| RELEASE | DATE | NOTICE, ORDER, OR PLAN |
| 34-74154 | Jan. 27, 2015 | Order Authorizing the Transfer of Residual Funds and Any Future Funds Returned to the Fair Fund to the U.S. Treasury, Discharging the Fund Administrator and Terminating the Fair Fund |
| 34-63420 | Dec. 2, 2010 | Order Directing Disbursement of Fair Fund |
| 34-62217 | Jun. 3, 2010 | Order Approving Plan, Appointing a Fund Administrator, and Waiving Bond |
| Final Plan of Distribution | ||
| 34-61918 | Apr. 15, 2010 | Notice of Proposed Distribution Plan and Opportunity for Comment |
| Proposed Plan of Distribution | ||
| 34-56397 | Sep. 12, 2007 | Order Appointing Tax Administrator |
| 34-55711 IC-27819 | May 7, 2007 | Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
Last Reviewed or Updated: May 15, 2026