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Distributions in Commission Administrative Proceedings:
Notices and Orders Pertaining to Disgorgement and Fair Funds
For information on how the SEC administers Fair Funds, see Rules of Practice and Rules on Fair Funds and Disgorgement Plans. For information on the current tax administrator, see Release No. 34-63749 (January 21, 2011).
See also Archive of Terminated Fair Funds and Disgorgement Plans.
List of Cases
- John W. Adams and AIP, LLC (3-11676)
- Alliance Capital Management, L.P. (3-11359)
- American Skandia Investment Services, Inc. (3-13446)
- Ameriprise Financial Services, Inc. (3-13544)
- Ameriprise Financial Services, Inc. (formerly American Express Financial Advisors Inc.) (3-12115)
- Ameriprise Financial, Inc. (formerly American Express Financial Corporation) (3-12114)
- AmSouth Bank, N.A. (now known as Regions Bank), and AmSouth Asset Management, Inc. (now known as Morgan Asset Management) (3-13230)
- Ark Asset Management Co., Inc. (3-13714)
- Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC (3-11818)
- Bear, Stearns & Co., and Bear, Stearns Securities Corp. (3-12238)
- BISYS Fund Services (3-12432)
- BNY Mellon Securities LLC (3-14191)
- Canadian Imperial Holdings Inc. and CIBC World Markets Corp. (3-11987)
- John D. Carifa (3-11915)
- Paul George Chironis (3-13869)
- CIHC, Inc., Conseco Services, LLC, and Conseco Equity Sales, Inc. (3-11578)
- Columbia Management Advisors, Inc. and Columbia Funds Distributor, Inc. (3-11814)
- Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Network; Detwiler, Mitchell, Fenton & Graves, Inc.; James X. McCarty (3-12749, 3-12750, 3-12751)
- Cornerstone Capital and Laura Jean Kent (3-13199)
- Charles W. Crouse and Norman R. Hess (3-11515)
- Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.), Credit Suisse Asset Management, LLC, and Samir H. Bhatt (3-14594)
- David Henry Disraeli and Lifeplan Associates, Inc. (3-12288)
- Edward D. Jones & Co., L.P. (3-11780)
- 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)
- Fidelity National Capital Investors, Inc. (3-11514)
- Folger Nolan Fleming Douglas Capital Management, Inc., Neil C. Folger and David M. Brown (3-12737)
- Fred Alger Management, Inc. (3-12540)
- 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)
- Grant Thornton, LLP; Doeren Mayhew & Co., P.C.; Peter M. Behrens, CPA; Marvin J. Morris, CPA and Benedict P. Rybicki, CPA (3-11377)
- Haidar Capital Management, LLC, Haidar Capital Advisors, LLC, and Said N. Haidar (3-12678)
- 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)
- 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)
- Jefferies & Co., Inc. and Scott Jones (3-12495)
- J.P. Morgan Securities Inc. (3-13673)
- J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills,
Edgar B. Alacan, Emmanuel P. Cube, Mayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, Michael B. Scott (3-10765)
- Knight Securities L.P (3-11771)
- Thomas A. Kolbe (3-11618)
- Michael J. Laughlin (3-11916)
- Michael D. Legoski (3-11620)
- Lovelock & Lewes, Price Waterhouse, Bangalore, Price Waterhouse & Co., Bangalore, Price Waterhouse, Calcutta, and Price Waterhouse & Co., Calcutta (3-14321)
- Gerald T. Malone (3-11914)
- Massachusetts Financial Services Co. (3-11450)
- Massachusetts Financial Services Co., John W. Ballen, and Kevin R. Parke (3-11393)
- 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)
- Timothy J. Miller (3-11619)
- MMR Investment Bankers, LLC (d/b/a MMR, INC.), William G. Martin, Jr., Eugene R. Rankin, John A. Hubert, and Aaron D. Fimreite (3-14163)
- Moon Capital Management (3-13197)
- Morgan Asset Management, Inc.; Morgan Keegan & Company, Inc.; James C. Kelsoe, Jr.; and Joseph Thompson Weller, CPA (3-13847)
- Morgan Stanley & Co. Incorporated (3-12907)
- Morgan Stanley & Co. Incorporated (3-12631)
- Paul W. Oliver, Jr. (3-13554)
- Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc. (3-14909)
- Packetport.com, Inc., Ronald Durando, Microphase Corp., Robert H. Jaffe, Gustave Dotoli, M. Christopher Agarwal, and Theodore Kunzog (3-12868)
- 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)
- 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)
- RBC Capital Markets, LLC (formerly known as RBC Capital Markets Corp.) (3-14564)
- J. Michael Scarborough and Royal Alliance Associates, Inc. (3-11538)
- Mark Shaw (3-14192)
- 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)
- Ronald St. Clair, CPA, and Lawrence Swan, CA (3-14615)
- Mary Beth Stevens (3-13553)
- Strong Capital Management, Inc. (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 (3-11498)
- Nancy C. Tengler (3-11727)
- UBS Financial Services Inc. of Puerto Rico (3-14863)
- Value Line, Inc., Value Line Securities, Inc., Jean Bernhard Buttner, and David Henigson (3-13675)
- 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 Securities LLC (f/k/a Wachovia Capital Markets LLC) (3-14320)
- Zurich Capital Markets Inc. (3-12628)
John W. Adams and AIP, LLC
File No. 3-11676
Alliance Capital Management, L.P.
File No. 3-11359
Release | Date | Notice, Order, or Plan |
---|
34-64568 | May 31, 2011 |
Order Directing Disbursement of Fair Fund |
34-60446 | Aug. 5, 2009 |
Order Directing Disbursement of Fair Fund |
34-59926 | May 14, 2009 |
Order Directing Disbursement of Fair Fund |
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 |
| |
Final Plan of Distribution
|
34-57489 | Mar. 13, 2008 |
Notice of Proposed Distribution Plan and Opportunity for Comment |
| |
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 |
See also, SEC Announces Start of $321 Million Fair Fund Distribution to Investors Harmed by Alliance Capital Market Timing (Press Release No. 2009-21, February 6, 2009)
American Skandia Investment Services, Inc.
File No. 3-13446
Release | Date | Notice, Order, or Plan |
---|
34-67149 | Jun. 6, 2012 |
Order Directing Disbursement of Fair Fund |
34-66425 | Feb. 17, 2012 |
Order Directing Disbursement of Fair Fund |
34-64651 | Jun. 13, 2011 |
Order Directing Disbursement of Fair Fund |
34-63765 | Jan. 25, 2011 |
Order Directing Disbursement of Fair Fund |
34-62733 | Aug. 16, 2010 |
Order Approving Plan of Distribution, Appointing Fund Administrator, and Waiving Bond |
| |
Final Distribution Plan
|
34-62106 | May 13, 2010 |
Notice of Proposed Distribution Plan and Opportunity for Comment |
| |
Proposed Plan of Distribution
|
34-59984 | May 27, 2009 |
Order Appointing Tax Administrator |
33-9029 | Apr. 17, 2009 |
Order Granting a Waiver |
33-9028
34-59780 | Apr. 17, 2009 |
Order Granting Waivers |
IA-2867 | Apr. 17, 2009 |
Order Instituting Administrative and Cease-and-Desist, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
Ameriprise Financial Services, Inc.
File No. 3-13544
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
Comments due: March 17, 2008
|
| |
Proposed Plan of Distribution |
33-8638
34-52862 | Dec. 1, 2005 |
Order Directing Appointment of Tax Administrtor |
33-8637
34-52861 | Dec. 1, 2005 |
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
See also:
Ameriprise Financial, Inc. (formerly American Express Financial Corporation)
File No. 3-12114
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)
Ark Asset Management Co., Inc.
File No. 3-13714
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 |
---|
34-67415 | Jul. 11, 2012 |
Order Directing Disbursement of Fair Fund |
34-65746 | Nov. 14, 2011 |
Order Directing Disbursement of Fair Fund |
33-9254
34-65223
IA-3268
IC-29775 | Aug. 30, 2011 |
Order Modifying Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(e) and 203(k) of the Investment Advisers Act of 1940 and Sections 9(b) and 9(f) of the Investment Company Act of 1940 |
34-64606 | Jun. 6, 2011 |
Order Directing Disbursement of Fair Fund |
34-63360 | Nov. 23, 2010 |
Order Directing Disbursement of Fair Fund |
34-62212 | Jun. 3, 2010 |
Order Directing Disbursement of Fair Fund |
34-61088 | Dec. 1, 2009 |
Order Directing Disbursement of Fair Fund |
34-60080 | Jun. 9, 2009 |
Order Directing Disbursement of Fair Fund |
34-59520 | Mar. 5, 2009 |
Order Directing Disbursement of Fair Fund |
34-58896 | Nov. 3, 2008 |
Order Directing Disbursement of Fair Fund |
34-58322 | Aug. 6, 2008 |
Order Directing Disbursement of Fair Fund |
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.
|
| |
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)
Bear, Stearns & Co., and Bear, Stearns Securities Corp.
File No. 3-12238
Release | Date | Notice, Order, or Plan |
---|
34-60310 | Jul. 15, 2009 |
Order Directing Disbursement of Fair Fund |
34-60049 | Jun. 5, 2009 |
Order Directing Disbursement of Fair Fund |
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 |
| |
Modified Plan of Distribution
|
| |
Distribution Plan
|
34-59065 | Dec. 8, 2008 |
Notice of Proposed Distribution Plan and Opportunity for Comment |
| |
Proposed Plan of Distribution
|
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 the following Press Releases:
BISYS Fund Services
File No. 3-12432
Release | Date | Notice, Order, or Plan |
---|
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
File No. 3-14191
Canadian Imperial Holdings Inc. and CIBC World Markets Corp.
File No. 3-11987
Release | Date | Notice, Order, or Plan |
---|
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)
John D. Carifa
File No. 3-11915
Paul George Chironis
File No. 3-13869
See also the following Press Release:
CIHC, Inc., Conseco Services, LLC, and Conseco Equity Sales, Inc.
File No. 3-11578
Release | Date | Notice, Order, or Plan |
---|
34-61601 | Feb. 26, 2010 |
Order Approving Plan, Appointing a Fund Administrator, and Waiving Bond |
34-61209A | Jan. 19, 2010 |
Amended Notice of Proposed Plan of Distribution and Opportunity for Comment |
34-61209 | Dec. 18, 2009 |
Notice of Proposed Plan of Distribution and Opportunity for Comment |
| |
Proposed Plan of Distribution |
34-53477 |
Mar. 14, 2006 |
Order Appointing Tax Administrator |
33-8455
34-50165
IC-26526 | Aug. 9, 2004 |
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
Columbia Management Advisors, Inc. and Columbia Funds Distributor, Inc.
File No. 3-11814
Release | Date | Notice, Order, or Plan |
---|
34-65122 | Aug. 12, 2011 |
Order Directing Disbursement of Fair Fund |
34-62058 | May 6, 2010 |
Order Directing Disbursement of Fair Fund |
34-58939 | Nov. 13, 2008 |
Order Directing Disbursement of Fair Fund |
34-57422 | Mar. 3, 2008 |
Order Directing Disbursement of Fair Fund |
34-56857 | Nov. 28, 2007 |
Order Directing Disbursement of Fair Fund |
34-56216 | Aug. 7, 2007 |
Order Directing Disbursement of Fair Fund |
34-55922 | Jun. 18, 2007 |
Order Directing Disbursement of Fair Fund |
34-55598 | Apr. 6, 2007 |
Order Approving a Distribution Plan |
| |
Plan of Distribution
|
34-55332 | Feb. 22, 2007 |
Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan |
34-55059 | Jan. 8, 2007 |
Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan |
34-54474 | Sep. 20, 2006 |
Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan |
34-54175 | Jul. 19, 2006 |
Notice Of Proposed Distribution Plan and Opportunity for Comment
Comments received are available for this proposal.
|
| |
Proposed Plan of Distribution
|
34-51341 | Mar. 9, 2005 |
Order Directing Appointment of Tax Administrator |
33-8538
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)
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 |
---|
34-62705 | 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 |
Cornerstone Capital and Laura Jean Kent
File No. 3-13199
Release | Date | Notice, Order, or Plan |
---|
34-62936 | Sep. 17, 2010 |
Corrected Order Directing Disbursement Of Disgorgement Fund |
34-61653 | Mar. 5, 2010 |
Order Approving Plan and Appointing a Plan Administrator |
| |
Plan of Distribution |
34-61208 | Dec. 18, 2009 |
Notice of Proposed Plan of Distribution and Opportunity for Comment |
| |
Proposed Plan of Distribution |
34-60848 | Oct. 20, 2009 |
Order Granting Extension of Time to File Proposed Plan of Distribution |
34-60675 | Sep. 15, 2009 |
Order Granting Extension of Time to File Proposed Plan of Distribution |
34-60327 | Jul. 17, 2009 |
Order Appointing Tax Administrator |
34-59951 | May 20, 2009 |
Order Granting Extension of Time to File Proposed Plan of Distribution |
IA-2855 | Mar. 20, 2009 |
Order Making Findings and Imposing Remedial Sanctions and a Cease and Desist Order |
Charles W. Crouse and Norman R. Hess
File No. 3-11515
Release | Date | Notice, Order, or Plan |
---|
34-65999 | Dec. 16, 2011 |
Order Directing Disbursement of Fair Fund |
34-57607 | Apr. 2, 2008 |
Order Approving and Ratifying Prior Disbursement and Approving Future Disbursement of Fair Fund |
34-53432 | Mar. 7, 2006 |
Order Appointing Tax Administrator |
34-52678 | Oct. 26, 2005 |
Order Approving Plan of Fund Distribution, Appointing Administrator, and Consolidating Settlement Funds for Administration |
34-52279 | Aug. 17, 2005 |
Notice of Proposed Plan of Disgorgement and Fair Fund Distribution and Opportunity for Comment |
33-8563
34-51480 | Apr. 6, 2005 |
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order |
34-51266 | Feb. 25, 2005 |
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order |
34-49829 | Jun. 8, 2004 |
SEC Institutes Public Administrative Proceedings Against Charles W. Crouse and Norman R. Hess |
| Jun. 8, 2004 |
Order Instituting Administrative and Cease-and-Desist Proceedings |
Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.), Credit Suisse Asset Management, LLC, and Samir H. Bhatt
File No. 3-14594
See also the following Press Release:
David Henry Disraeli and Lifeplan Associates, Inc.
File No. 3-12288
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 |
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 |
| |
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
Release | Date | Notice, Order, or Plan |
---|
34-63814 | Feb. 1, 2011 |
Order Directing Disbursement of Fair Fund |
34-63424 | Dec. 3, 2010 |
Order Directing Disbursement of Fair Fund |
34-63204 | Oct. 28, 2010 |
Order Directing Disbursement of Fair Fund |
34-62017 | Apr. 30, 2010 |
Order Approving Distribution Plan |
| |
Final Plan of Distribution |
34-61746 | Mar. 19, 2010 |
Order Appointing a Fund Administrator and Waiving Bond |
34-61745 | Mar. 19, 2010 |
Notice of Proposed Plan of Distribution and Opportunity for Comment |
| |
Proposed Plan of Distribution |
34-56658 | Oct. 12, 2007 |
Order Appointmenting Tax Administrator |
33-8843 | Sep. 19, 2007 |
Order Granting Waiver |
33-8842
34-56463 | Sep. 19, 2007 |
Order Granting Waivers |
34-56462
IA-2648
IC-27973 | Sep. 19, 2007 |
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
See also, Evergreen Investment Management Company and Affiliates to Pay $32.5 Million to Settle Market Timing Violations (Press Release No. 2007-186, September 19, 2006) and In the Matter of William M. Ennis (Release No. 34-56464, September 19, 2007)
Federated Investment Management Company, Federated Securities Corp. and Federated Shareholder Services Company
File No. 3-12111
Release | Date | Notice, Order, or Plan |
---|
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 |
Fidelity National Capital Investors, Inc.
File No. 3-11514
Folger Nolan Fleming Douglas Capital Management, Inc., Neil C. Folger and David M. Brown
File No. 3-12737
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 |
Fremont Investment Advisors, Inc.
File No. 3-11726
Release | Date | Notice, Order, or Plan |
---|
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 |
---|
34-62806 | 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 |
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 |
---|
34-63565 | Dec. 16, 2010 |
Termination of Fair Fund and Discharge of Administrator and Tax Administrator |
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
Release | Date | Notice, Order, or Plan |
---|
34-62200 | Jun. 1, 2010 |
Order Approving Plan, Appointing a Fund Administrator, and Waiving Bond |
34-61897 | Apr. 13, 2010 |
Notice of Proposed Plan of Distribution and Opportunity for Comment |
| |
Proposed Plan of Distribution |
33-8820
IA-2617
IC-27883 | Jul. 6, 2007 |
Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, Imposing a Cease-and-Desist Order, and Imposing Remedial Sanctions |
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 |
---|
34-63173 | 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
Huntington Bancshares, Inc., Thomas E. Hoaglin, Michael J. McMennamin, and John Van Fleet, CPA
File No. 3-11940
Release | Date | Notice, Order, or Plan |
---|
34-63290 | Nov. 9, 2010 |
Order Directing Disbursement of Fair Fund |
34-56292 | Aug. 21, 2007 |
Order Approving Application of Fund Administrator for Compensation and Reimbursement of Expenses |
34-54663 | Oct. 27, 2006 |
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 |
| |
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 |
---|
34-64472 | May 11, 2011 |
Order Amending Distribution Plan and Directing Disbursement |
34-62746 | Aug. 19, 2010 |
Order Directing Disbursement |
34-60292a | Nov. 20, 2009 |
Amended Order Directing Disbursement of Fair Fund |
34-59929 | May 14, 2009 |
Order Directing Disbursement of Fair Fund |
34-57860 | May 23, 2008 |
Order Approving Modified Distribution Plan |
| |
Modified Distribution Plan (Invesco Funds Group, Inc.) |
34-57859 | May 23, 2008 |
Order Approving Modified Distribution Plan |
| |
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 |
| |
Proposed Distribution Plan |
34-56025A | Jul. 6, 2007 |
Notice of Proposed Distribution Plan and Opportunity for Comment
Comments received are available for this notice. |
| |
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 |
See also:
Inviva, Inc. and Jefferson National Life Insurance Company
File No. 3-11579
Release | Date | Notice, Order, or Plan |
---|
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 |
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.P. Morgan Securities Inc.
File No. 3-13673
Release | Date | Notice, Order, or Plan |
---|
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)
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
Lovelock & Lewes, Price Waterhouse, Bangalore, Price Waterhouse & Co., Bangalore, Price Waterhouse, Calcutta, and Price Waterhouse & Co., Calcutta
File No. 3-14321
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 |
---|
34-65245 | Sep. 1, 2011 |
Order Directing Disbursement of Distribution Fund |
34-63240 | Nov. 3, 2010 |
Order Modifying Distribution Plan and Directing Disbursement |
34-59741 | Apr. 9, 2009 |
Order Approving and Ratifying Prior Disbursement of Fair Fund |
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)
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
Release | Date | Notice, Order, or Plan |
---|
34-67513 | Jul. 26, 2012 |
Order Directing Disbursement of Fair Fund |
34-63445 | Dec. 6, 2010 |
Order Directing Disbursement of Fair Fund |
34-62057 | May 12, 2010 |
Corrected Order Directing Disbursement of Fair Fund |
34-60593 | Aug. 31, 2009 |
Order Directing Disbursement of Fair Fund |
34-60056A | Jun. 5, 2009 |
Corrected Order Directing Disbursement of Fair Fund |
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. |
| |
Proposed Plan of Distribution |
34-54835 |
Nov. 29, 2006 |
Order Permitting Attorney to Resume Appearing and Practicing |
33-8748
34-54586
IA-2561
IC-27513 |
Oct. 11, 2006 |
Order Making Findings and Imposing Disgorgement and Civil Penalties |
34-53452 |
Mar. 8, 2006 |
Order Appointing Tax Administrator |
33-8639
34-52863
IA-2453
IC-27172 | Dec. 1, 2005 |
Order Instituting Administrative And Cease-and-
Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
33-8298
34-48588
IA-2180
IC-26201 | Oct. 2, 2003 |
Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions |
See also, the following Press Releases:
Timothy J. Miller
File No. 3-11619
MMR Investment Bankers, LLC (d/b/a MMR, INC.), William G. Martin, Jr., Eugene R. Rankin, John A. Hubert, and Aaron D. Fimreite
File No. 3-14163
Release | Date | Notice, Order, or Plan |
---|
33-9221
34-64626 | Jun. 8, 2011 |
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Respondent Aaron D. Fimreite |
33-9220
34-64625 | Jun. 8, 2011 |
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Respondent John A. Hubert |
33-9219
34-64624 | Jun. 8, 2011 |
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Respondent Eugene R. Rankin |
33-9218
34-64623 | Jun. 8, 2011 |
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Respondent William G. Martin, Jr. |
33-9217
34-64623 | Jun. 8, 2011 |
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Respondent MMR Investment Bankers, LLC (d/b/a MMR, Inc.) |
33-9163
34-64543 | Jun. 8, 2011 |
Order Instituting Administrative and Cease-and-Desist Proceedings |
Moon Capital Management
File No. 3-13197
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 Stanley & Co. Incorporated
File No. 3-12907
Morgan Stanley & Co. Incorporated
File No. 3-12631
Release | Date | Notice, Order, or Plan |
---|
34-64078 | Mar. 11, 2011 |
Order Directing Disbursement of Disgorgement Fund |
34-63399 | Nov. 30, 2010 |
Order Directing Disbursement of Disgorgement Fund |
34-62162 | May 24, 2010 |
Order Directing Disbursement of Disgorgement Fund |
34-60568 | Aug. 25, 2009 |
Order Approving Plan of Distribution |
34-60567 | Aug. 25, 2009 |
Order Appointing a Plan Administrator and Waiving Bond |
34-60160 | Jun. 23, 2009 |
Notice of Proposed Plan of Disgorgement and Opportunity for Comment |
| |
Proposed Plan of Distribution |
34-55911 | Jun. 15, 2007 |
Order Appointing Tax Administrator |
34-55726 | May 9, 2007 |
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
33-8802
34-55727 | May 9, 2007 |
Corrected Order Granting Waivers |
33-8801 | May 9, 2007 |
Corrected Order Granting a Waiver |
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.
Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc.
File No. 3-14909
Packetport.com, Inc., Ronald Durando, Microphase Corp., Robert H. Jaffe, Gustave Dotoli, M. Christopher Agarwal, and Theodore Kunzog
File No. 3-12868
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 |
---|
34-65935 | 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 |
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
Release | Date | Notice, Order, or Plan |
---|
34-66947 | May 8, 2012 |
Order Approving and Ratifying Prior Disbursement |
34-64081 | Mar. 14, 2011 |
Order Approving Distribution Plan of a Fair Fund and Appointing a Fund Administrator |
34-63813 | Feb. 1, 2011 |
Notice of Proposed Modified Plan of Distribution and Opportunity for Comment |
| |
Proposed Modified Plan of Distribution |
34-63563 | Dec. 16, 2010 |
Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells |
34-62979 | Sep. 23, 2010 |
Notice of Proposed Plan of Distribution and Opportunity for Comment |
| |
Proposed Plan of Distribution |
34-62264 | Jun. 10, 2010 |
Order Appointing Tax Administrator |
33-9113
34-61719 | Mar. 16, 2010 |
Order Making Findings and Imposing Remedial Sanctions as to Prime Capital Services, Inc. and Gilman Ciocia, Inc. |
34-61079
IA-2957 | Nov. 30, 2009 |
Order Making Findings and Imposing Remedial Sanctions as to Christie A. Andersen |
33-9047
34-60190
IA-2898 | Jun. 30, 2009 |
Order Instituting Administrative and Cease-and-Desist Proceedings |
|
Jun. 30, 2009 |
Order Instituting Administrative and Cease-and-Desist Proceedings |
Prudential Equity Group, LLC f/k/a Prudential Securities Inc.
File No. 3-12400
Release | Date | Notice, Order, or Plan |
---|
34-64328 | Apr. 22, 2011 |
Order Directing Disbursement of Distribution Fund |
34-62848 | Sep. 3, 2010 |
Order Directing Disbursement of Distribution Fund |
34-62551 | Jul. 22, 2010 |
Order Directing Disbursement of Distribution Fund |
34-62265 | Jun. 10, 2010 |
Order Directing Disbursement of Distribution Fund |
34-61974 | Apr. 23, 2010 |
Corrected Order Directing Disbursement of Distribution Fund |
34-61691 | Mar. 11, 2010 |
Corrected Order Directing Disbursement of Distribution Fund |
34-61501 | Feb. 4, 2010 |
Order Approving Distribution Plan, Appointing a Fund Administrator, and Waiving Bond |
34-61117 | Dec. 4, 2009 |
Notice of Proposed Distribution Plan and Opportunity For Comment |
| |
Proposed Plan of Distribution |
34-54470 | Sep. 19, 2006 |
Order Appointing Tax Administrator |
34-54371 |
Aug. 28, 2006 |
Order Instituting Administrative
Proceedings, Making Findings, and Imposing Remedial Sanctions |
33-8734
34-54372 | Aug. 28, 2006 |
Order Granting Waivers |
33-8733 | Aug. 28, 2006 |
Order Granting a Waiver |
Putnam Investment Management LLC
File No. 3-11317
Release | Date | Notice, Order, or Plan |
---|
34-67591 | Aug. 2, 2012 |
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 |
34-65243A | Dec. 12, 2011 |
Amended Order Directing Disbursement of Fair Fund Residual |
34-65243 | Sep. 1, 2011 |
Order Directing Disbursement of Fair Fund Residual |
34-64034 | Mar. 4, 2011 |
Order Directing Disbursement of Fair Fund |
34-63221 | Nov. 1, 2010 |
Order Directing Disbursement of Fair Fund |
34-61463 | Feb. 2, 2010 |
Order Directing Disbursement of Fair Fund |
34-61098 | Dec. 2, 2009 |
Order Directing Disbursement of Fair Fund |
34-60412 | Jul. 31, 2009 |
Order Directing Disbursement of Fair Fund |
34-59994 | May 28, 2009 |
Order Directing Disbursement of Fair Fund |
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 |
| |
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)
RBC Capital Markets, LLC (formerly known as RBC Capital Markets Corp.)
File No. 3-14564
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)
J. Michael Scarborough and Royal Alliance Associates, Inc.
File No. 3-11538
Release | Date | Notice, Order, or Plan |
---|
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 |
Mark Shaw
File No. 3-14192
Note: this case has been consolidated with File No. 3-14191. Future materials will appear at the BNY Mellon Securities LLC listing.
Smith Barney Fund Management LLC and Citigroup Global Markets, Inc.
File No. 3-11935
Release | Date | Notice, Order, or Plan |
---|
34-65460 | Sep. 30, 2010 |
Order Modifying the Distribution Plan |
34-62088 | May 12, 2010 |
Order Directing Disbursement of Fair Fund |
34-61917 | Apr. 15, 2010 |
Order Approving Plan of Distribution |
| |
Final Plan of Distribution |
34-61587 | Feb. 25, 2010 |
Notice of Proposed Plan of Distribution and Extension of Opportunity for Comment |
| |
Proposed Plan of Distribution (with attachments) |
34-61312 | Jan. 7, 2010 |
Notice of Proposed Plan of Distribution and
Opportunity for Comment |
34-53453 | Mar. 8, 2006 |
Order Appointing Tax Administrator |
33-8577
34-51762 | May 31, 2005 |
Order Granting Waivers |
33-8576 | May 31, 2005 |
Order Granting a Waiver |
34-51761 IA-2390 | May 31, 2005 |
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
Southwest Securities, Inc., Daniel R. Leland, Kerry M. Rigdon and Kevin J. Marsh
File No. 3-11793
Release | Date | Notice, Order, or Plan |
---|
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:
Release | Date | Notice, Order, or Plan |
---|
34-64553 | May 26, 2011 |
Order Approving Transfer of Remaining Distribution Funds to the U.S. Treasury
Note: See also the Dissent of Commissioner Paredes in this matter |
34-61199A | Dec. 17, 2009 |
Corrected Order Approving a Distribution, Authorizing Disbursement of Funds, Modifying Prior Order, and Modifying Distribution Plan |
34-60403 | Jul. 30, 2009 |
Notice of Closing of the Distribution Funds and Opportunity for Comment as to Use of Remaining Funds
Comments received are available for this proposal. |
34-60402 | Jul. 30, 2009 |
Order Approving Audit Reports, Announcing the Decision to Close the Distribution Funds Following a Final Distribution, Approving Publication of a Notice Seeking Comments on the Use of the Remaining Funds, Modifying Prior Order and Modifying Distribution Plan |
34-58035 | 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 |
Ronald St. Clair, CPA, and Lawrence Swan, CA
File No. 3-14615
Mary Beth Stevens
File No. 3-13553
Strong Capital Management, Inc.
File No. 3-12448
Release | Date | Notice, Order, or Plan |
---|
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 |
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 |
---|
34-64327 | Apr. 22, 2011 |
Order Directing Disbursement of Fair Fund |
34-63143 | Oct. 21, 2010 |
Order Directing Disbursement of Fair Fund |
34-62475 | Jul. 8, 2010 |
Order Directing Disbursement of Fair Fund |
34-60667 | Sep. 14, 2009 |
Order Approving Distribution Plan, Appointing an Administrator, and Waiving Bond |
34-60406 | Jul. 30, 2009 |
Notice of Proposed Distribution Plan and Opportunity for Comment |
| |
Proposed Plan of Distribution |
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
UBS Financial Services Inc. of Puerto Rico
File No. 3-14863
Release | Date | Notice, Order, or Plan |
---|
33-9343
34-67526 | Jul. 27, 2012 |
Order Extending the Time by Which UBS PR Shall Submit to the Commission the Findings of the Independent Consultant Making Recommendations for Any Changes in or Improvements To UBS PR�s Policies, Procedures, and Practices, and a Procedure for Implementing Such Recommended Changes |
33-9332
34-67359 | Jul. 5, 2012 |
Order Extending Time to Retain an Independent Third-Party Consultant |
34-67148 | Jun. 6, 2012 |
Extension Order |
34-67042 | May 22, 2012 |
Order Appointing Tax Administrator |
33-9318
34-66893 | May 1, 2012 |
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |
Value Line, Inc., Value Line Securities, Inc., Jean Bernhard Buttner, and David Henigson
File No. 3-13675
Release | Date | Notice, Order, or Plan |
---|
34-63640 | Jan. 4, 2011 |
Order Approving Distribution Plan |
| |
Final Plan of Distribution |
34-63269 | Nov. 8, 2010 |
Notice of Proposed Plan of Distribution and Opportunity for Comment |
| |
Proposed Plan of Distribution |
34-62837 | Sep. 2, 2010 |
Order Appointing a Fund Administrator and Waiving Bond |
34-61316 | Jan. 8, 2010 |
Extension Order |
34-61045 | Nov. 20, 2009 |
Order Appointing Tax Administrator |
33-9081
34-60936
IA-2945
IC-28989 | Nov. 4, 2009 |
Order Instituting
Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial
Sanctions and a Cease-and-Desist Order |
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 |
---|
34-64650 | Jun. 13, 2011 |
Order Approving Application of Distribution Administrator for Fees and Expenses |
34-60901 | May 11, 2010 |
Order Approving Application of Distribution Administrator for Fees and Expenses and Directing Disbursement of Fair Fund |
34-60901 | Oct. 29, 2009 |
Order Approving Application of Distribution Administrator for Fees and Expenses |
34-60125 | Jun. 17, 2009 |
Order Approving Application of Distribution Administrator for Fees and Expenses |
34-59813 | Apr. 22, 2009 |
Order Directing Disbursement of Fair Fund |
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 |
Wells Fargo Securities LLC (f/k/a Wachovia Capital Markets LLC)
File No. 3-14320
See also:
Zurich Capital Markets Inc.
File No. 3-12628
Release | Date | Notice, Order, or Plan |
---|
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 |
http://www.sec.gov/litigation/fairfundlist.htm
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