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Distributions in Commission Administrative Proceedings:
Notices and Orders Pertaining to Fair Funds
For information on how the SEC administers Fair Funds, see Rules of Practice and Rules on Fair Funds and Disgorgement Plans. For information on the current tax administrator, see Release No. 34-59508 (March 4, 2009).
List of Cases
- John W. Adams and AIP, LLC
- Alliance Capital Management, L.P.
- Ameriprise Financial Services, Inc. (formerly American Express Financial Advisors Inc.)
- Ameriprise Financial, Inc. (formerly American Express Financial Corporation)
- AmSouth Bank, N.A. (now known as Regions Bank), and AmSouth Asset Management, Inc. (now known as Morgan Asset Management)
- Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC
- Banc of America Securities, LLC
- Banc One Investment Advisors Corporation and Mark A. Beeson
- Harold J. Baxter
- Bear, Stearns & Co., and Bear, Stearns Securities Corp.
- Bio-Heal Laboratories, Inc.
- BISYS Fund Services
- Bridgeway Capital Management, Inc. and John Noland Ryan Montgomery
- Canadian Imperial Holdings Inc. and CIBC World Markets Corp.
- John D. Carifa
- CIHC, Inc., Conseco Services, LLC, and Conseco Equity Sales, Inc.
- Columbia Management Advisors, Inc. and Columbia Funds Distributor, Inc.
- Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Network; Detwiler, Mitchell, Fenton & Graves, Inc.; James X. McCarty
- Charles W. Crouse and Norman R. Hess
- Edward D. Jones & Co., L.P.
- Evergreen Investment Management Company, LLC Evergreen Investment Services, Inc., Evergreen Service Company, LLC, and Wachovia Securities, LLC
- Federated Investment Management Company, Federated Securities Corp. and Federated Shareholder Services Company
- Fidelity National Capital Investors, Inc.
- Founding Partners Capital Management Company and William Gunlicks
- Franklin Advisers, Inc.
- Franklin Advisers, Inc. and Franklin/Templeton Distributors, Inc.
- Fred Alger Management, Inc.
- Freedom Financial, Inc., Freedom Track, Inc., Freedom Financial Group, Inc., Associated Investment Management, Inc., Jon Patrick Pierce, Gary L. Winn
- Fremont Investment Advisors, Inc.
- General Amerian Life Insurance Company and William C. Thater
- Gerson Asset Management, Inc. and Seth Gerson
- Grant Thornton, LLP; Doeren Mayhew & Co., P.C.; Peter M. Behrens, CPA; Marvin J. Morris, CPA and Benedict P. Rybicki, CPA
- Haidar Capital Management, LLC, Haidar Capital Advisors, LLC, and Said N. Haidar
- Huntington Bancshares, Inc., Thomas E. Hoaglin, Michael J. McMennamin, and John Van Fleet, CPA
- International Equity Advisors, LLC and Richard Roger Lund
- Invesco Funds Group, Inc., AIM Advisors, Inc., and AIM Distributors, Inc.
- Inviva, Inc. and Jefferson National Life Insurance Company
- Janus Capital Management LLC
- Jefferies & Co., Inc. and Scott Jones
- 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
- Knight Securities L.P
- Thomas A. Kolbe
- Michael J. Laughlin
- Michael D. Legoski
- Gerald T. Malone
- Massachusetts Financial Services Co.
- Massachusetts Financial Services Co., John W. Ballen, and Kevin R. Parke
- Millennium Partners, L.P., Millennium Management, L.L.C., Millennium International Management, L.L.C., Israel Englander, Terence Feeney, Fred Stone, and Kovan Pillai
- Timothy J. Miller
- Moon Capital Management
- Stephen R. Moynahan
- Morgan Stanley & Co. Incorporated
- Morgan Stanley DW, Inc.
- 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
- Pilgrim Baxter & Associates, Ltd.
- Gary L. Pilgrim
- Prudential Equity Group, LLC f/k/a Prudential Securities Inc.
- Putnam Investment Management LLC
- Raymond James Financial Services, Inc. and J. Stephen Putnam
- Richmark Capital Corporation and Doyle Mark White
- Ritchie Capital Management L.L.C., Ritchie Multi-Strategy Global Trading, Ltd., A.R. Thane Ritchie, and Warren Louis DeMaio
- Robertson Stephens
- RS Investment Management, Inc., RS Investment Management, L.P., G. Randall Hecht and Steven M. Cohen
- J. Michael Scarborough and Royal Alliance Associates, Inc.
- Smith Barney Fund Management LLC and Citigroup Global Markets, Inc.
- Southwest Securities, Inc., Daniel R. Leland, Kerry M. Rigdon and Kevin J. Marsh
- 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.
- Strong Capital Management, Inc.
- Strong Capital Management, Inc., Strong Investor Services, Inc., Strong Investments, Inc., Richard S. Strong, Thomas A. Hooker, Jr. and Anthony J. D'Amato
- Nancy C. Tengler
- Veras Capital Master Fund, VEY Partners Master Fund, Veras Investment Partners, LLC, Kevin D. Larson, and James R. McBride
- Waddell & Reed, Inc., Waddell & Reed Investment Management Company, and Waddell & Reed Services Company
- Weiss Research, Inc., Martin Weiss, and Lawrence Edelson
- Zurich Capital Markets Inc.
John W. Adams and AIP, LLC
File No. 3-11676
File No. 3-11359
| Release | Date | Notice, Order, or Plan |
|---|
| 34-59832 | Apr. 28, 2009 |
Order Directing Disbursement of Fair Fund |
| 34-59657 | Mar. 31, 2009 |
Order Directing Disbursement of Fair Fund |
| 34-59389 | Feb. 11, 2009 |
Order Directing Disbursement of Fair Fund |
| 34-59280 | Jan. 22, 2009 |
Order Directing Disbursement of Fair Fund |
| 34-57825 | May 15, 2008 |
Order Approving Distribution Plan, Appointing a Fund Administrator, and Waiving Bond |
| | May 14, 2008 |
Final Plan of Distribution
|
| 34-57489 | Mar. 13, 2008 |
Notice of Proposed Distribution Plan and Opportunity for Comment |
| | Feb. 22, 2008 |
Proposed Plan of Distribution
|
| 34-51341 | Mar. 9, 2005 |
Order Directing Appointment of Tax Administrator |
IA-2205A
IC-26312A | Jan. 15, 2004 |
Amended Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
Ameriprise Financial Services, Inc. (formerly American Express Financial Advisors Inc.)
File No. 3-12115
| Release | Date | Notice, Order, or Plan |
|---|
| 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
Submit comments on Proposed Distribution Plan
Comments due: March 17, 2008
|
| | Feb. 1, 2008 |
Proposed Plan of Distribution |
33-8638
34-52862 | Dec. 1, 2005 |
Order Directing Appointment of Tax Administrtor |
33-8637
34-52861 | Dec. 1, 2005 |
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
See also:
Ameriprise Financial, Inc. (formerly American Express Financial Corporation)
File No. 3-12114
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)
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)
Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC
File No. 3-11818
| Release | Date | Notice, Order, or Plan |
|---|
| 34-57926 | Jun. 5, 2008 |
Order Directing Disbursement of Fair Fund |
| 34-57048 | Dec. 27, 2007 |
Order Approving the Distribution Plan |
| 34-56783 | Nov. 13, 2007 |
Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 12/4/07) |
| 34-56385 | Sep. 11, 2007 |
Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan |
| 34-56077 | Jul. 16, 2007 |
Notice of Proposed Distribution Plan and Opportunity for Comment
Comments received are available for this notice.
|
| | Jul. 11, 2007 |
Proposed Plan of Distribution |
| 34-51341 | Mar. 9, 2005 |
Order Directing Appointment of Tax Administrator |
| 33-8539 | Feb. 9, 2005 |
Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions Of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934 |
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
| Release | Date | Notice, Order, or Plan |
|---|
| 34-57893
| May 30, 2008 |
Order Directing
Disbursement of a Fair Fund |
| 34-56472
| Sep. 20, 2007 |
Order Approving Distribution Plan of a Fair Fund |
| 34-56451
| Sep. 18, 2007 |
Order Approving the Administrator’s Bond |
| 34-56234
| Aug. 9, 2007 |
Notice of Proposed Distribution Plan and Opportunity for Comment |
|
| Aug. 8, 2007 |
Proposed Plan of Distribution |
| 34-55506
| Mar. 22, 2007 |
Order Appointing Tax Administrator |
| 34-55467
| Mar. 14, 2007 |
Order Appointing Distribution Fund Administrator and Directing Submission of Proposed Distribution Plan |
| 34-55466
| Mar. 14, 2007 |
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
33-8788
34-55468
| Mar. 14, 2007 |
Order Granting Waivers |
| 33-8787
| Mar. 14, 2007 |
Order Granting Waiver |
See also, SEC Announces $26 Million Fair Fund Distribution in Banc of America Securities LLC Settlement (Press Release No. 2008-118, June 23, 2008)
See also, SEC Enforcement Action Against Banc of America Securities for Failing to Safeguard Nonpublic Research Information and Publishing Fraudulent Research; Firm To Pay $26 Million (Press Release No. 2007-42, March 14, 2007)
Banc One Investment Advisors Corporation and Mark A. Beeson
File No. 3-11530
| Release | Date | Notice, Order, or Plan |
|---|
| 34-56038 | Jul. 10, 2007 |
Order Directing Disbursement of Fair Fund |
| 34-55730 | May 9, 2007 |
Order Approving a Modified Distribution Plan |
| | Feb. 20, 2007 |
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.
|
| | Jun. 20, 2006 |
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)
Harold J. Baxter
File No. 3-11740
File No. 3-12238
| Release | Date | Notice, Order, or Plan |
|---|
| 34-59828 | Apr. 28, 2009 |
Order Directing Disbursement of Fair Fund |
| 34-59356 | Feb. 4, 2009 |
Order Approving Distribution Plan, Appointing a Fund Administrator, and Waiving Bond |
| 34-59065 | Dec. 8, 2008 |
Notice of Proposed Distribution Plan and Opportunity for Comment |
| 34-53625 | Apr. 10, 2006 |
Order Appointing Tax Administrator |
| 33-8671 | Mar. 16, 2006 |
Order Granting Waivers |
| 33-8670 | Mar. 16, 2006 |
Order Granting a Waiver |
33-8668
34-53490
IC-27262 | Mar. 16, 2006 |
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
See also, SEC Settles Fraud Charges with Bear Stearns for Late Trading and Market Timing Violations (Press Release No. 2006-38, March 16, 2006)
File No. 3-12247
File No. 3-12432
Bridgeway Capital Management, Inc. and John Noland Ryan Montgomery
File No. 3-11659
Canadian Imperial Holdings Inc. and CIBC World Markets Corp.
File No. 3-11987
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)
File No. 3-11915
CIHC, Inc., Conseco Services, LLC, and Conseco Equity Sales, Inc.
File No. 3-11578
Columbia Management Advisors, Inc. and Columbia Funds Distributor, Inc.
File No. 3-11814
| Release | Date | Notice, Order, or Plan |
|---|
| 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 |
| | Jan. 27, 2007 |
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 |
33-8538
34-51167
IA-2355
IC-26756 | Feb. 9, 2005 |
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order |
| 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)
Charles W. Crouse and Norman R. Hess
File No. 3-11515
| Release | Date | Notice, Order, or Plan |
|---|
| 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 |
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 |
|---|
| 34-57843 | 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 |
| | Nov. 16, 2007 |
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 |
Edward D. Jones & Co., L.P.
File No. 3-11780
| Release | Date | Notice, Order, or Plan |
|---|
33-8520A
34-50910A | Jul. 13, 2007 |
Amended Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
| 34-54637 | Oct. 20, 2006 |
Order Directing Distribution of Fair Fund and Extending the Date for Distribution |
| 34-53918A | Jun. 1, 2006 |
Order Approving Distribution Plan and Appointing an Administrator |
| 34-53660 | Apr. 17, 2006 |
Notice of Proposed Distribution Plan and Opportunity for Comment |
| Apr. 7, 2006 | |
Proposed Distribution Plan |
33-8632
34-52677 | Oct. 26, 2005 |
Order Granting a Waiver as to the Jones Financial Companies, L.L.L.P. |
| 33-8631 | Oct. 26, 2005 |
Order Granting a Waiver |
| 34-51341 | Mar. 9, 2005 |
Order Directing Appointment of Tax Administrator |
33-8520
34-50910 | Dec. 22, 2004 |
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
See also the following Press Releases:
Evergreen Investment Management Company, LLC 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
Fidelity National Capital Investors, Inc.
File No. 3-11514
Founding Partners Capital Management Company and William Gunlicks
File No. 3-12896
| Release | Date | Notice, Order, or Plan |
|---|
| 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 |
| | Mar. 3, 2008 |
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
| Release | Date | Notice, Order, or Plan |
|---|
| 34-59000 | Nov. 21, 2008 |
Order Directing Disbursement of Fair Fund |
| 34-58463 | Sep. 4, 2008 |
Order Directing Disbursement of Fair Fund |
| 34-57808 | May 9, 2008 |
Order Approving Modified Distribution Plan |
| | May 6, 2008 |
Modified Distribution Plan
Comments received are available for this notice |
| 34-56829 | Nov. 20, 2007 |
Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan |
| 34-56603 | Oct. 3, 2007 |
Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (to 11/30/07) |
| 34-56187 | Aug. 2, 2007 |
Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (to 10/4/07) |
| 34-55868 | Jun. 6, 2007 |
Notice of Proposed Distribution Plan and Opportunity for Comment |
| | May 31, 2007 |
Proposed Plan of Distribution
Comments received are available for this notice |
| 34-51341 | Mar. 9, 2005 |
Order Directing Appointment of Tax Administrator |
IA-2271
IC-26523 | Aug. 2, 2004 |
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
See also, SEC Announces Fair Fund Distribution to Investors Harmed by Market Timing in Franklin-Templeton Funds (Press Release No. 2008-223, September 23, 2008)
Franklin Advisers, Inc. and Franklin/Templeton Distributors, Inc.
File No. 3-11769
| 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 |
Fred Alger Management, Inc. and Fred Alger & Company, Incorporated
File No. 3-12540
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 |
|---|
| 34-54845 | 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 |
File No. 3-11726
File No. 3-12720
| Release | Date | Notice, Order, or 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 |
| | May 22, 2008 |
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 |
Gerson Asset Management, Inc. and Seth Gerson
File No. 3-12121
| Release | Date | Notice, Order, or Plan |
|---|
| 34-56911 | Dec. 5, 2007 |
Order Approving a Plan for the Administration and Distribution of the Disgorgement Fund |
| 34-56659 | Oct. 15, 2007 |
Notice of Proposed Modified Distribution Plan and Opportunity for Comment |
| | |
Modified Plan for the Administration and Distribution of the Disgorgement Fund |
| 34-56623 | Oct. 5, 2007 |
Order Extending Time for Approval or Disapproval of the Distribution Plan |
| 34-54006 | Jun. 16, 2006 |
Order Extending Period for Comments on the Proposed Plan for the Administration And Distribution of the
Disgorgement Fund |
| 34-53760 | May 5, 2006 |
Notice of Proposed Plan for the Administration and Distribution of the Disgorgement Fund and Opportunity to Comment
Comments due: June 19, 2006 |
| | |
Proposed Plan for the Administration and Distribution of the Disgorgement Fund |
| 34-53416 | Mar. 6, 2006 |
Order Appointing Tax Administrator |
34-52880
IA-2457
IC-27176 | Dec. 2, 2005 |
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order |
Grant Thornton, LLP; Doeren Mayhew & Co., P.C.; Peter M. Behrens, CPA; Marvin J. Morris, CPA and Benedict P. Rybicki, CPA
File No. 3-11377
| Release | Date | Notice, Order, or Plan |
|---|
| 34-56365 | Sep. 6, 2007 |
Order Authorizing Disbursement of Distribution Fund, Approving Procedures and Amending Distribution Plan |
| 34-54903 | Dec. 11, 2006 |
Order Appointing Tax Administrator |
| 34-53170 | Jan. 24, 2006 |
Order Granting Administrator's Motion for Additional Time to Complete the Tasks Identified in Paragraphs 8(g) and 8(h) of the Distribution Plan |
| 34-51711 | May 19, 2005 |
Order Approving Plan of Disgorgement Distribution and Appointing Administrator |
34-50861
AAER-2151 | Dec. 15, 2004 |
Notice of Proposed Distribution Plan and Opportunity for Comment |
34-50148
AAER-2076 | Aug. 5, 2004 |
Order Making Findings and Imposing Remedial Sanctions |
| | Jan. 20, 2004 |
Order Instituting Cease-and-
Desist Proceedings and Instituting Public Administrative Proceedings |
33-8355
34-49101
AAER-1945 | Jan. 20, 2004 |
SEC Institutes Enforcement Action Against Grant Thornton, Doeren Mayhew and Others in Connection with Financial and Offering Fraud by Michigan Mortgage Banking Company |
Haidar Capital Management, LLC, Haidar Capital Advisors, LLC, and Said N. Haidar
File No. 3-12678
Huntington Bancshares, Inc., Thomas E. Hoaglin, Michael J. McMennamin, and John Van Fleet, CPA
File No. 3-11940
| Release | Date | Notice, Order, or Plan |
|---|
| 34-56292 | Aug. 21, 2007 |
Order Approving Application of Fund Administrator for Compensation and Reimbursement of Expenses |
| 34-54663 | Oct. 27, 2007 |
Order Approving Application of Fund Administrator for Compensation and Reimbursement of Expenses |
| 34-54554 | Oct. 2, 2006 |
Order Approving Modified Plan of Distribution of a Fair Fund |
| 34-54322 | Aug. 15, 2006 |
Notice of Modified Plan of Distribution of Disgorgement Fund |
| | |
Modified Distribution Plan |
| 34-54218 | Jul. 26, 2006 |
Order Approving Application of Fund Administrator for Compensation and Reimbursement of Expenses |
| 34-53495 | Mar. 16, 2006 |
Order Approving a Plan of Distribution of a Fair Fund and Appointing a Plan Administrator |
| | |
Distribution Plan |
| 34-53035 | Dec. 29, 2005 |
Notice of Proposed Plan of Distribution of Disgorgement Fund and Opportunity for Comment by Non-Parties |
| | |
Proposed Distribution Plan |
| 34-52884 | Dec. 5, 2005 |
Order Directing Appointment of Tax Administrator |
33-8579
34-51781
AAER-2252 | Jun. 2, 2005 |
Order Instituting Public Administrative and Cease-and-
Desist Proceedings, Making Findings, Imposing a Cease-and-Desist Order, Imposing Remedial Sanctions, and Other Relief |
International Equity Advisors, LLC and Richard Roger Lund
File No. 3-12068
| Release | Date | Notice, Order, or Plan |
|---|
| 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 |
| | Apr. 25, 2007 |
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
| Release | Date | Notice, Order, or Plan |
|---|
| 34-57860 | May 23, 2008 |
Order Approving Modified Distribution Plan |
| | May 5, 2008 |
Modified Distribution Plan (Invesco Funds Group, Inc.) |
| 34-57859 | May 23, 2008 |
Order Approving Modified Distribution Plan |
| | Apr. 14, 2008 |
Modified Distribution Plan (AIM Advisors, Inc. and AIM Distributors, Inc.) |
| 34-56877 | Nov. 30, 2007 |
Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 12/28/07) |
| 34-56746 | Nov. 5, 2007 |
Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 11/30/07) |
| 34-56745 | Nov. 5, 2007 |
Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 11/30/07) |
| 34-56335 | Aug. 29, 2007 |
Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 11/5/07) |
| 34-56333 | Aug. 29, 2007 |
Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 11/5/07) |
| 34-56027 | Jul. 6, 2007 |
Notice of Proposed Distribution Plan and Opportunity for Comment |
| | Jun. 25, 2007 |
Proposed Distribution Plan |
| 34-56025A | Jul. 6, 2007 |
Notice of Proposed Distribution Plan and Opportunity for Comment
Comments received are available for this notice. |
| | Jun. 25, 2007 |
Proposed Distribution Plan |
| 34-53437 | Mar. 7, 2006 |
Order Directing Appointment of Tax Administrator |
34-50506
IA-2311
IC-26629 | Oct. 8, 2004 |
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
Inviva, Inc. and Jefferson National Life Insurance Company
File No. 3-11579
Janus Capital Management LLC
File No. 3-11590
| Release | Date | Notice, Order, or Plan |
|---|
| 34-59059 | Dec. 5, 2008 |
Order Directing
Disbursement of Fair Fund |
| 34-58810 | Oct. 17, 2008 |
Order Directing
Disbursement of Fair Fund |
| 34-58475 | Sep. 8, 2008 |
Order Directing
Disbursement of Fair Fund |
| 34-57721 | Apr. 25, 2008 |
Order Approving Modified Distribution Plan |
| | Apr. 24, 2008 |
Modified Distribution Plan |
| 34-57201 | Jan. 25, 2008 |
Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 04/25/08) |
| 34-56995 | Dec. 19, 2007 |
Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 01/25/08) |
| 34-56815 | Nov. 19, 2007 |
Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 12/19/07) |
| 34-56569 | Sep. 27, 2007 |
Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 11/20/07) |
| 34-56171 | Jul. 31, 2007 |
Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 10/1/07) |
| 34-55835 | May 31, 2007 |
Notice of Proposed Distribution Plan and Opportunity for Comment
Comments received are available for this notice. |
| | |
Proposed Plan of Distribution |
| 34-52642 | Oct. 20, 2005 |
Order Directing Appointment of Tax Administrator |
IA-2277
IC-26532 | Aug. 18, 2004 |
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
See also, SEC Announces $18 Million Fair Fund Distribution to Investors Affected by Undisclosed Market Timing in Janus Mutual Funds (Press Release No. 2008-177, August 15, 2008)
Jefferies & Co., Inc. and Scott Jones
File No. 3-12495
See also, Jefferies Settles SEC Charges Involving Illegal Gifts and Entertainment (Press Release No. 2006-198, December 4, 2006)
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. |
Knight Securities L.P
File No. 3-11771
| Release | Date | Notice, Order, or Plan |
|---|
| 34-59512 | Mar. 5, 2009 |
Order Directing Disbursement of Fair Fund |
| 34-57222 | Jan. 29, 2008 |
Order Directing Disbursement of Fair Fund and Approving an Amended Fair Fund Distribution Plan |
| | |
Amended Fair Fund Distribution Plan |
| 34-55530 | Mar. 26, 2007 |
Order Approving Distribution Plan and Appointment of an Administrator of the Distribution Fund |
| | |
Independent Distribution Consultant’s Fair Fund Distribution Plan |
| 34-54939 | Dec. 14, 2006 |
Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan |
| 34-54627 | Oct. 19, 2006 |
Notice of Proposed Distribution Plan and Opportunity for Comment
Comments received are available for this notice |
| | |
Independent Distribution Consultant’s Proposed Fair Fund Distribution Plan |
| 34-52136 | Jul. 27, 2005 |
Order Modifying Prior Order, Extending Period of
Time Granted to the Independent Distribution Consultant to Submit Distribution Plan |
| 34-51850 | Jun. 14, 2005 |
Order Directing Appointment of Tax Administrator |
| 34-50867 | Dec. 16, 2004 |
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions |
Thomas A. Kolbe
File No. 3-11618
Michael J. Laughlin
File No. 3-11916
Michael D. Legoski
File No. 3-11620
Gerald T. Malone
File No. 3-11914
Massachusetts Financial Services Co.
File No. 3-11450
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
| Release | Date | Notice, Order, or Plan |
|---|
| 34-59048 | Dec. 3, 2008 |
Order Directing Disbursement of Fair Fund |
| 34-58412 | Aug. 22, 2008 |
Order Directing Disbursement of Fair Fund |
| 34-58320 | Aug. 6, 2008 |
Order Directing Disbursement of Fair Fund |
| 34-58090 | Ju1. 2, 2008 |
Order Directing Disbursement of Fair Fund |
| 34-57980 | Jun. 17, 2008 |
Order Directing Disbursement of Fair Fund |
| 34-57915 | Jun. 4, 2008 |
Order Directing Disbursement of Fair Fund |
| 34-57783 | May 6, 2008 |
Order Directing Disbursement of Fair Fund |
| 34-57687 | Apr. 18, 2008 |
Order Directing Disbursement of Fair Fund |
| 34-57396 | Feb. 28, 2008 |
Order Directing Disbursement of Fair Fund |
| 34-57276 | Feb. 6, 2008 |
Order Directing Disbursement of Fair Fund |
| 34-57117 | Jan. 9, 2008 |
Order Directing Disbursement of Fair Fund |
| 34-56922 | Dec. 6, 2007 |
Order Directing Disbursement of Fair Fund |
| 34-56743 | Nov. 5, 2007 |
Order Directing Disbursement of Fair Fund |
| 34-56527 | Sep. 25, 2007 |
Revised Order Approving Modified Distribution Plan |
| 34-56122 | Jul. 24, 2007 |
Order Approving Modified Distribution Plan |
| | |
Plan of Distribution |
| 34-55394 | Mar. 2, 2007 |
Order Extending Time to
Enter an Order Approving or Disapproving Distribution Plan |
| 34-54744 | Nov. 13, 2006 |
Order Extending Time to
Enter an Order Approving or Disapproving Distribution Plan |
| 34-54440A | Sep. 14, 2006 |
Notice of Proposed Distribution Plan and Opportunity for Comment
Comments received are available for this notice |
| | |
Proposed Plan of Distribution |
| 34-51829 | Jun. 13, 2005 |
Order Directing Appointment of Tax Administrator and Establishing a Fair Fund |
IA-2213
IC-26347 | Feb. 5, 2004 |
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order; See also Dissent of Commissioner Glassman |
See also, SEC Announces $31.5 Million Fair Fund Distribution to Investors Injured by Undisclosed Market Timing in MFS Funds (Press Release No. 2007-241, Nov. 20, 2007)
File Nos. 3-12116 and 3-11292
| Release | Date | Notice, Order, or Plan |
|---|
| 34-56196 | Aug. 3, 2007 |
Order Approving Distribution Plan, Appointing an Administrator, and Waiving Bond |
| 34-55841 | May 31, 2007 |
Notice of Proposed Distribution Plan and Opportunity for Comment
Comments received are available for this notice. |
| | May 23, 2007 |
Proposed Plan of Distribution |
| 34-54835 |
Nov. 29, 2006 |
Order Permitting Attorney to Resume Appearing and Practicing |
33-8748
34-54586
IA-2561
IC-27513 |
Oct. 11, 2006 |
Order Making Findings and Imposing Disgorgement and Civil Penalties |
| 34-53452 |
Mar. 8, 2006 |
Order Appointing Tax Administrator |
33-8639
34-52863
IA-2453
IC-27172 | Dec. 1, 2005 |
Order Instituting Administrative And Cease-and-
Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
33-8298
34-48588
IA-2180
IC-26201 | Oct. 2, 2003 |
Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions |
See also, 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)
Timothy J. Miller
File No. 3-11619
Moon Capital Management
File No. 3-13197
Stephen R. Moynahan
File No. 3-13263
Morgan Stanley & Co. Incorporated
File No. 3-12631
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)
File No. 3-11645
Pilgrim Baxter & Associates, Ltd.
File No. 3-11524
| Release | Date | Notice, Order, or Plan |
|---|
| 34-59445 | Feb. 25, 2009 |
Order Directing Disbursement of Fair Fund |
| 34-56320 | Aug. 24, 2007 |
Order Directing Disbursement of Fair Fund |
| 34-55831 | May 30, 2007 |
Order Directing Disbursement of Fair Fund |
| 34-55627 | Apr. 12, 2007 |
Order Directing Disbursement of Fair Fund |
| 34-54812 | Nov. 22, 2006 |
Order Approving a Distribution Plan |
| | |
Plan of Distribution |
| 34-54073 | Jun. 30, 2006 |
Notice Of Proposed Distribution Plan and Opportunity for Comment
Comments received are available for this notice |
| | Jun. 30, 2006 |
Proposed Plan of Distribution |
IA-2458
IC-27181 | Dec. 7, 2004 |
Order Directing Appointment of Tax Administrator |
IA-2275
IC-26531 | Aug. 11, 2004 |
Order Amending June 21, 2004 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and an Order to Cease and Desist |
IA-2251
IC-26470 | Jun. 21, 2004 |
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and an Order to Cease-and-Desist |
See also the following Press Releases,
Gary L. Pilgrim
File No. 3-11739
File No. 3-12400
Putnam Investment Management LLC
File No. 3-11317
| Release | Date | Notice, Order, or Plan |
|---|
| 34-59447 | Feb. 25, 2009 |
Order Directing Disbursement of Fair Fund |
| 34-59041 | Dec. 2, 2008 |
Order Directing Disbursement of Fair Fund |
| 34-58369a | Aug. 15, 2008 |
Corrected Order Directing Disbursement of Fair Fund |
| 34-56115 | Jul. 20, 2007 |
Order Approving Modified Distribution Plans |
| | Jun. 8, 2007 |
Plan of Distribution |
| 34-55849 | Jun. 1, 2007 |
Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (to 7/16/07 |
| 34-55561 | Mar. 30, 2007 |
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 |
| 34-50039 | Jul. 20, 2004 |
Order Denying Motion to Vacate Administrative Orders |
IA-2226
IC-26412 | Apr. 8, 2004 |
Order Making Findings and Imposing Supplemental Remedial Sanctions |
| 614 | Apr. 7, 2004 |
Order |
| 613 | Mar. 26, 2004 |
Order |
IA-2192
IC-26255 | Nov. 13, 2003 |
Order Making Findings and Imposing Partial Relief, Including a Final Censure, Remedial Undertakings and a Cease and Desist Order |
| IA-2185 | Oct. 28, 2003 |
In the Matter of Putnam Investment Management LLC |
See also, SEC Announces Fair Fund Distribution to Harmed Investors in Putnam Mutual Funds (Press Release No. 2008-178, August 18, 2008)
See also, Commission Announces Completion of Independent Assessment Consultant's Report on Losses Attributable to Market Timing and Excessive Short-Term Trading by Putnam Employees (Press Release No. 2005-26, March 3, 2005)
Putnam Investment Management LLC
File No. 3-11868
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
| Release | Date | Notice, Order, or Plan |
|---|
| 34-54436 | Sep. 13, 2006 |
Order Approving Plan of Fair Fund Distribution, Approving Distribution of Funds, and Appointing Administrator |
| 34-53572 | Mar. 30, 2006 |
Notice of Proposed Plan of Distribution and Opportunity for Comment |
| | |
Proposed Distribution Plan |
| 34-53353 | Feb. 23, 2006 |
Order Appointing Tax Administrator |
33-8636
34-52810 | Nov. 21, 2005 |
Notice That Initial Decision Has Become Final |
| 622 | Oct. 14, 2005 |
Order Denying Motion to Correct Manifest Errors of Fact |
| ID-296 | Sep. 15, 2005 |
Initial Decision |
33-8597
34-52164
IA-2411 | Jul. 29, 2005 |
Order Granting Extension |
| 619 | Feb. 10, 2005 |
Order on Motion to Quash |
34-51090
IA-2345 | Jan. 28, 2005 |
Order Making Findings and Imposing Remedial Sanctions as to David Lee Ullom |
33-8499
34-50476
IA-2309 | Sep. 30, 2004 |
In the Matter of Raymond James Financial Services, Inc., J. Stephen Putnam and David Lee Ullom |
| | Sep. 30, 2004 |
Order Instituting Public Administrative and Cease-and-Desist Proceedings and Notice of Hearing |
Richmark Capital Corporation and Doyle Mark White
File No. 3-9954
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 |
|---|
| 34-59085 | Dec. 11, 2008 |
Order Approving Distribution Plan, Appointing A Plan Administrator, and Waiving Bond |
| 34-58260 | Jul. 30, 2008 |
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
RS Investment Management, Inc., RS Investment Management, L.P., G. Randall Hecht and Steven M. Cohen
File No. 3-11696
| Release | Date | Notice, Order, or Plan |
|---|
| 34-57661 | Apr. 14, 2008 |
Order Directing Disbursement of Fair Fund
|
| 34-56222 | Aug. 8, 2007 |
Order Approving Modified Distribution Plan
|
| | Jul. 2, 2007 |
Plan of Distribution |
| 34-56043 | Jul. 11, 2007 |
Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan
|
| 34-55753 | May 14, 2007 |
Notice of Proposed Distribution Plan and Opportunity for Comment
Comments received are available for this proposal.
|
| | May 4, 2007 |
Proposed Distribution Plan |
| 34-51341 | Mar. 9, 2005 |
Order Directing Appointment of Tax Administrator |
IA-2310
IC-26627 | Oct. 6, 2004 |
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
See also, SEC Announces $30 Million Fair Fund Distribution to Investors Affected by Undisclosed Market Timing in RS Investments Mutual Funds (Press Release No. 2008-65, April 25, 2008)
J. Michael Scarborough and Royal Alliance Associates, Inc.
File No. 3-11538
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
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:
| Release | Date | Notice, Order, or Plan |
|---|
| 34-58035 | Jun. 26, 2008 |
Order Approving a Distribution, Authorizing Disbursement of Funds, Modifying Prior Order, and Modifying Distribution Plan |
| 34-56944 | Dec. 12, 2007 |
Order Approving a Distribution and Authorizing Disbursement of Funds |
| 34-55915 | Jun. 15, 2007 |
Order Approving a Distribution, Authorizing Disbursement of Funds, Modifying Prior Order, and Modifying Distribution Plan |
| 34-54815 | Nov. 24, 2006 |
Order Approving a Distribution and Authorizing Disbursement of Funds |
| 34-54102 | Jul. 5, 2006 |
Order Modifying Prior Order, Modifying Distribution Plan, Approving a Distribution, and Authorizing Disbursement of Funds |
| | |
Fund Administrator's Modified Fair Fund Distribution Plan |
| 34-53823 | May 17, 2006 |
Order Approving a Distribution Plan |
| 34-53025 | Dec. 27, 2005 |
Notice of Proposed Distribution Plan and Opportunity for Comment
Comments received are available for this proposal. |
| | |
Fund Administrator's Proposed Fair Fund Distribution Plan |
| Order Authorizing Disbursement of Funds from Fair Fund to Pay Estimated Taxes |
| 34-52443 | Sep. 15, 2005 |
Bear Wagner Specialists LLC |
| 34-52442 | Sep. 15, 2005 |
Fleet Specialist, Inc. |
| 34-52441 | Sep. 15, 2005 |
LaBranche & Co. LLC |
| 34-52440 | Sep. 15, 2005 |
Performance Specialist Group LLC |
| 34-52439 | Sep. 15, 2005 |
Spear, Leeds & Kellogg Specialists LLC |
| 34-52438 | Sep. 15, 2005 |
SIG Specialists, Inc. |
| 34-52437 | Sep. 15, 2005 |
Van der Moolen Specialists, USA, LLC |
| Order Modifying Prior Orders, Extending Period of Time Granted to Heffler, Radetich & Saitta L.L.P. to Submit Plan Identifying Injured Customers |
| 34-52233 | Aug. 10, 2005 |
LaBranche & Co. LLC |
| 34-52232 | Aug. 10, 2005 |
SIG Specialists, Inc. |
| 34-52231 | Aug. 10, 2005 |
Performance Specialist Group LLC |
| 34-52230 | Aug. 10, 2005 |
Van der Moolen Specialists, USA, LLC |
| 34-52229 | Aug. 10, 2005 |
Spear, Leeds & Kellogg Specialists LLC |
| 34-52228 | Aug. 10, 2005 |
Bear Wagner Specialists LLC |
| 34-52227 | Aug. 10, 2005 |
Fleet Specialist, Inc. |
| Order Authorizing Disbursement of Funds from Fair Fund to Pay Estimated Taxes |
| 34-51849 | Jun. 14, 2005 |
SIG Specialists, Inc. |
| 34-51848 | Jun. 14, 2005 |
Performance Specialist Group LLC |
| 34-51847 | Jun. 14, 2005 |
Van der Moolen Specialists, USA, LLC |
| 34-51846 | Jun. 14, 2005 |
Spear, Leeds & Kellogg Specialists LLC |
| 34-51845 | Jun. 14, 2005 |
LaBranche & Co. LLC |
| 34-51844 | Jun. 14, 2005 |
Fleet Specialist, Inc. |
| 34-51843 | Jun. 14, 2005 |
Bear Wagner Specialists LLC |
| Order Authorizing Disbursement of Funds from Fair Fund to Pay Estimated Taxes |
| 34-51557 | Apr. 15, 2005 |
Van der Moolen Specialists, USA, LLC |
| 34-51556 | Apr. 15, 2005 |
Spear, Leeds & Kellogg Specialists LLC |
| 34-51555 | Apr. 15, 2005 |
SIG Specialists, Inc. |
| 34-51554 | Apr. 15, 2005 |
Performance Specialist Group LLC |
| 34-51553 | Apr. 15, 2005 |
LaBranche & Co. LLC |
| 34-51552 | Apr. 15, 2005 |
Fleet Specialist, Inc. |
| 34-51551 | Apr. 15, 2005 |
Bear Wagner Specialists LLC |
| Order Modifying Prior Order, Extending Period of Time Granted to Heffler,
Radetich & Saitta L.L.P. to Submit Plan Identifying Injured Customers |
| 34-51495 | Apr. 6, 2005 |
Bear Wagner Specialists LLC |
| 34-51494 | Apr. 6, 2005 |
Fleet Specialist, Inc. |
| 34-51493 | Apr. 6, 2005 |
LaBranche & Co. LLC |
| 34-51492 | Apr. 6, 2005 |
Spear, Leeds & Kellogg Specialists LLC |
| 34-51491 | Apr. 6, 2005 |
Van der Moolen Specialists, USA, LLC |
| 34-51490 | Apr. 6, 2005 |
Performance Specialist Group LLC |
| 34-51489 | Apr. 6, 2005 |
SIG Specialists, Inc. |
| Order Supplementing Prior Order, Creating a Fair Fund, Appointing Heffler, Radetich & Saitta L.L.P. as Fund Administrator, and Directing the Transfer of Funds |
| 34-50535 | Oct. 13, 2004 |
Van der Moolen Specialists, USA, LLC |
| 34-50534 | Oct. 13, 2004 |
SIG Specialists, Inc. |
| 34-50533 | Oct. 13, 2004 |
Spear, Leeds & Kellogg Specialists LLC |
| 34-50532 | Oct. 13, 2004 |
Performance Specialist Group LLC |
| 34-50531 | Oct. 13, 2004 |
LaBranche & Co. LLC |
| 34-50530 | Oct. 13, 2004 |
Fleet Specialist, Inc. |
| 34-50529 | Oct. 13, 2004 |
Bear Wagner Specialists LLC |
| Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
| 34-50076 | Jul. 26, 2004 |
SIG Specialists, Inc. |
| 34-50075 | Jul. 26, 2004 |
Performance Specialist Group LLC |
| 34-49502 | Mar. 30, 2004 |
Van der Moolen Specialists, USA, LLC (Corrected Order) |
| 34-49501 | Mar. 30, 2004 |
Spear, Leeds & Kellogg Specialists LLC |
| 34-49500 | Mar. 30, 2004 |
LaBranche & Co. LLC |
| 34-49499 | Mar. 30, 2004 |
Fleet Specialist, Inc. |
| 34-49498 | Mar. 30, 2004 |
Bear Wagner Specialists LLC |
Strong Capital Management, Inc.
File No. 3-12448
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 |
|---|
34-51694
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 |
Nancy C. Tengler
File No. 3-11727
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 |
|---|
| 34-55847 |
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 |
| |
Jun. 21, 2006 |
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:
Waddell & Reed, Inc., Waddell & Reed Investment Management Company, and Waddell & Reed Services Company
File No. 3-12372
See also:
Weiss Research, Inc., Martin Weiss, and Lawrence Edelson
File No. 3-12341
| Release | Date | Notice, Order, or Plan |
|---|
| 34-59269 | Jan. 21, 2009 |
Order Approving Application of Fund Administrator for Fees and Expenses |
| 34-58417 | Aug. 25, 2008 |
Order Approving Application of Fund Administrator for Fees and Expenses |
| 34-57732 | Apr. 29, 2008 |
Order Approving Application of Fund Administrator for Fees and Expenses |
| 34-56310 | Aug. 23, 2007 |
Order Approving Distribution Plan |
| 34-56011 |
Jul. 5, 2007 |
Notice of Proposed Distribution Plan and Opportunity for Comment |
| |
|
Proposed Plan of Distribution |
| 34-55952 | Jun. 25, 2007 |
Order Granting Extension of Time to File Proposed Plan of Distribution, Approving Plan Administrator, and Approving Administrator Bond |
| 34-54662 | Oct. 27, 2006 |
Order Granting Motion for Extension of Time to File Distribution Plan |
| 34-54406 | Sep. 6, 2006 |
Order Granting Motion for Extension of Time to File Distribution Plan |
| 34-54405 | Sep. 6, 2006 |
Order Appointing a Tax Administrator |
| IA-2525 | Jun. 22, 2006 |
Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
Zurich Capital Markets Inc.
File No. 3-12628
http://www.sec.gov/litigation/fairfundlist.htm
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