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. 34-68683 (January 17, 2013).

List of Cases

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John W. Adams and AIP, LLC (3-11676)
Aladdin Capital Management LLC and Aladdin Capital LLC and Joseph A. Schlim. (3-15134, 3-15135)
Alliance Capital Management, L.P. (3-11359)
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)
Yale I. Asbell (3-16163)
Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC (3-11818)
Bankrate, Inc. (3-16786)
Bear, Stearns & Co., and Bear, Stearns Securities Corp. (3-12238)
BNY Mellon Securities LLC (3-14191)
Burrill Capital Management, LLC; G. Steven Burrill, CPA; Victor A. Hebert, Esq.; and Helena C. Sen, CPA (3-17186)
Canadian Imperial Holdings Inc. and CIBC World Markets Corp. (3-11987)
John D. Carifa (3-11915)
Centaur Management Co. LLC (3-14950)
CIHC, Inc., Conseco Services, LLC, and Conseco Equity Sales, Inc. (3-11578)
Citigroup Alternative Investments LLC and Citigroup Global Markets Inc. (3-16757)
Columbia Management Advisors, Inc. and Columbia Funds Distributor, Inc. (3-11814)
Comprehensive Capital Management, Inc. (3-15393)
Computer Sciences Corporation, Michael Laphen, Michael Mancuso,
Wayne Banks, Claus Zilmer, and Paulwakefield (3-16712)
Cornerstone Capital and Laura Jean Kent (3-13199)
Anthony Coronati and Bidtoask LLC (3-16203)
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)
Credit Suisse Securities (USA) LLC, DLJ Mortgage Capital, Inc., Credit Suisse First Boston Mortgage Acceptance Corp., Credit Suisse First Boston Mortgage Securities Corp., and Asset Backed Securities Corporation (3-15098)
David Henry Disraeli and Lifeplan Associates, Inc. (3-12288)
Sandra Dyche (3-16398)
Evergreen Investment Management Company, LLC, Evergreen Investment Services, Inc., Evergreen Service Company, LLC, and Wachovia Securities, LLC (3-12805)
Fidelity National Capital Investors, Inc. (3-11514)
Fifth Third Bancorp and Daniel Poston (3-15635)
Focus Media Holding Limited and Jason Jiang (3-16852)
Folger Nolan Fleming Douglas Capital Management, Inc., Neil C. Folger and David M. Brown (3-12737)
George B. Franz III and Ruby Corporation (3-15526)
Fred Alger Management, Inc. (3-12540)
William B. Fretz, Jr., John P. Freeman, Covenant Capital Management Partners, L.P., and Covenant Partners, L.P. (3-16829)
GLG Partners, Inc. and GLG Partners, L.P. (3-15641)
GMB Capital Management LLC; GMB Capital Partners LLC; Gabriel Bitran and Marco Bitran (3-14854)
G-Trade Services LLC, ConvergEx Global Markets Limited, and ConvergEx Execution Solutions LLC (3-15654)
Haidar Capital Management, LLC, Haidar Capital Advisors, LLC, and Said N. Haidar (3-12678)
Huntington Bancshares, Inc., Thomas E. Hoaglin, Michael J. McMennamin, and John Van Fleet, CPA (3-11940)
JPMorgan Chase & Co. (3-15507)
JP Turner & Company, LLC, and William L. Mello (3-15014)
J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. Cube, Mayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, Michael B. Scott (3-10765)
Thomas A. Kolbe (3-11618)
Michael J. Laughlin (3-11916)
Michael D. Legoski (3-11620)
Linkbrokers Derivatives LLC (3-16017)
Gregg C. Lorenzo, Francis V. Lorenzo, and Charles Vista, LLC (3-15211)
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)
Kenneth C. Meissner, James Doug Scott and Mark S. "Mike" Tomich (3-16175)
Metis Wealth Advisors, LLC and Juan R. Montermoso (3-16955)
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)
Morgan Asset Management, Inc.; Morgan Keegan & Company, Inc.; James C. Kelsoe, Jr.; and Joseph Thompson Weller, CPA (3-13847)
Morgan Stanley, Co. LLC; Morgan Stanley ABS Capital I Inc.; and Morgan Stanley Mortgage Capital Holdings LLC (3-15982)
North East Capital, LLC and Anthony T. Vicidomine (3-15429)
Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc. (3-14909)
Oxford Investment Partners, LLC and Walter J. Clarke (3-14899)
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)
Prudential Equity Group, LLC f/k/a Prudential Securities Inc. (3-12400)
Alexander Rekeda; Xavier Capdepon and Gwen Snorteland; and Delaware Asset Advisers and Wei (Alex) Wei (3-14952, 3-14953, 3-14954)
Howard Richards; James Goodland, and Securus Wealth Management, LLC (3-16877; 3-16878)
Charles L. Rizzo and Gina M. Hornbogen (3-14641)
Sarkauskas and Associates, Inc. and James M. Sarkauskas (3-15471)
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)
Ronald St. Clair, CPA, and Lawrence Swan, CA (3-14615)
Strong Capital Management, Inc., Strong Investor Services, Inc., Strong Investments, Inc., Richard S. Strong, Thomas A. Hooker, Jr. and Anthony J. D'Amato (3-11498)
Success Trade, Inc., Success Trade Securities, Inc., and Fuad Ahmed (3-16755)
Keith MacDonald Summers (3-16014)
UBS Financial Services Inc. of Puerto Rico (3-16846)
UBS Financial Services Inc. of Puerto Rico (3-14863)
Value Line, Inc., Value Line Securities, Inc., Jean Bernhard Buttner, and David Henigson (3-13675)
VCAP Securities, LLC, and Brett Thomas Graham (3-16389)
Waddell & Reed, Inc., Waddell & Reed Investment Management Company, and Waddell & Reed Services Company (3-12372)
Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC and Shawn Patrick McMurtry (3-14982)
Steven Durrelle Williams (3-16246)
Michael S. Wilson, CPA and Cotterman-Wilson, CPAs, Inc.; James T. Budden and Alexander W. Budden (3-16652; 3-16892)

John W. Adams and AIP, LLC

File No. 3-11676

Release	Date	Notice, Order, or Plan
34-74905	May 7, 2015	Order Modifying the Modified Distribution Plan
34-68736	Jan. 25, 2013	Order Modifying Distribution Plan and Directing Disbursement of Disgorgement Fund
		Modified Plan of Distribution
34-59870	May 6, 2009	Order Approving Distribution Plan of a Disgorgement Fund
34-59433	Feb. 23, 2009	Proposed Plan of Disgorgement Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-59431	Feb. 20, 2009	Order Approving Publication of Notice of Proposed Distribution Plan and Opportunity for Comment, Approving Plan Administrator, and Approving Administrator Bond
34-51341	Mar. 9, 2005	Order Directing Appointment of Tax Administrator
34-50427	Sep. 23, 2004	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order

Aladdin Capital Management LLC and Aladdin Capital LLC and Joseph A. Schlim

File Nos. 3-15134 and 3-15135

Release	Date	Notice, Order, or Plan
34-71937	Apr. 11, 2014	Extension Order
34-71170	Dec. 20, 2013	Extension Order
34-70043	Jul. 26, 2013	Extension Order
34-68988	Feb. 26, 2013	Order Appointing Tax Administrator
34-68931	Feb. 14, 2013	Extension Order
33-9374 IA-3514	Dec. 17, 2012	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order (Aladdin Capital Management LLC and Aladdin Capital LLC)
33-9375 IA-3515	Dec. 17, 2012	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order (Joseph A. Schlim)

Alliance Capital Management, L.P.

File No. 3-11359

Release	Date	Notice, Order, or Plan
34-78033	Jun. 10, 2016	Order Directing Disbursement of Fair Fund
34-71591	Feb. 20, 2014	Order Directing Disbursement of Fair Fund
34-71274	Jan. 9, 2014	Order Amending the Plan of Distribution
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)

Ameriprise Financial Services, Inc.

File No. 3-13544

Release	Date	Notice, Order, or Plan
33-9051 34-60279	Jul. 10, 2009	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order

Ameriprise Financial Services, Inc. (formerly American Express Financial Advisors Inc.)

File No. 3-12115

Release	Date	Notice, Order, or Plan
34-58388	Aug. 19, 2008	Order Directing Disbursement of Fair Fund
34-57639	Apr. 9, 2008	Order Approving Distribution Plan, Appointing an Administrator, and Waiving Bond
34-57341	Feb. 15, 2008	Notice of Proposed Distribution Plan and Opportunity for Comment Comments due: March 17, 2008
		Proposed Plan of Distribution
33-8638 34-52862	Dec. 1, 2005	Order Directing Appointment of Tax 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:

SEC Announces $32 Million Fair Fund Distribution in Ameriprise Revenue Sharing Settlement (Press Release No. 2008-229, September 25, 2008)
American Express Financial Advisors (Now Known as Ameriprise Financial Services, Inc.) to Pay $30 Million to Settle Revenue Sharing Charges (Press Release No. 2005-168, December 1, 2005)

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

File No. 3-12114

Release	Date	Notice, Order, or Plan
34-77816	May. 12, 2016	Order Approving Plan of Distribution
34-77498	Apr. 1, 2016	Order Appointing Fund Administrator and Setting Administrator Bond Amount
34-77497	Apr. 1, 2016	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
IA-2452 IC-27171	Dec. 1, 2005	Order Directing Appointment of Tax Administrtor
IA-2451 IC-27170	Dec. 1, 2005	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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

Yale I. Asbell

File No. 3-16163

Release	Date	Notice, Order, or Plan
34-73478	Oct. 30, 2014	Order Appointing Tax Administrator
34-73206 IA-3933 IC-31260	Sep. 24, 2014	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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
34-70082	Jul. 31, 2013	Order Directing Disbursement of Fair Fund
34-68208	Nov. 9, 2012	Order Directing Disbursement of Fair Fund
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
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

Bankrate, Inc.

File No. 3-16786

Release	Date	Notice, Order, or Plan
34-77924	May 26, 2016	Order Appointing Tax Administrator
34-77016	Feb. 2, 2016	Omnibus Order Directing the Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution Funds

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:

SEC Announces First Distribution From $267 Million Bear Stearns Fair Fund (Press Release No. 2009-112, May 15, 2009)
SEC Settles Fraud Charges with Bear Stearns for Late Trading and Market Timing Violations (Press Release No. 2006-38, March 16, 2006)

BNY Mellon Securities LLC

File No. 3-14191

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

Burrill Capital Management, LLC; G. Steven Burrill, CPA; Victor A. Hebert, Esq.; and Helena C. Sen, CPA

File No. 3-17186

Release	Date	Notice, Order, or Plan
34-77713	Apr. 26, 2016	Order Appointing Tax Administrator
34-77473	Mar. 30, 2016	Order Instituting Public Administrative and Cease-and-Desist Proceedings, Pursuant To Sections 4C And 21C of the Securities Exchange Act Of 1934, Sections 203(E), 203(F) And 203(K) of the Investment Advisers Act of 1940, Section 9(B) of the Investment Company Act of 1940, and Rule 102(E)(1)(III) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Canadian Imperial Holdings Inc. and CIBC World Markets Corp.

File No. 3-11987

Release	Date	Notice, Order, or Plan
34-65892	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

Note: this case has been consolidated with File No. 3-11359. Future materials will appear at the Alliance Capital Management, L.P..

Release	Date	Notice, Order, or Plan
34-53446	Mar. 8, 2006	Order Directing Appointment of Tax Administrator
IA-2379 IC-26859	Apr. 28, 2005	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and- Desist Order

Centaur Management Co. LLC

File No. 3-14950

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

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

File No. 3-11578

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

Citigroup Alternative Investments LLC and Citigroup Global Markets Inc.,

File No. 3-16757

Release	Date	Notice, Order, or Plan
34-77624	Apr. 14, 2016	Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount
34-76312	Oct. 29, 2015	Order Appointing Tax Administrator
33-9894	Aug. 17, 2015	Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From Being an Ineligible Issuer
33-9893 34-75710 IA-4174	Aug. 17, 2015	Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Section 15(b)(4) of the Securities Exchange Act of 1934, and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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
33-8536	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)

Comprehensive Capital Management, Inc.

File No. 3-15393

Release	Date	Notice, Order, or Plan
34-76720	Dec. 21, 2015	Order Directing Disbursement of Fair Fund
34-75264	Jun. 23, 2015	Order Approving Plan of Distribution
		Plan of Distribution
34-74899	May 7, 2015	Notice of Proposed Plan of Distribution Transferring Fair Fund Funds to a Court-Appointed Receiver and Opportunity for Comment
		Proposed Plan of Distribution
34-74606	Mar. 30, 2015	Extension Order
34-73792	Dec. 9, 2014	Extension Order
34-73127	Sep. 17, 2014	Extension Order
IA-3636	Jul. 29, 2013	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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

File No. 3-16575

Release	Date	Notice, Order, or Plan
34-79058	Oct. 6, 2016	Third Extension Order
34-78133	Jun. 22, 2016	Order Appointing Fund Plan Administrator and Setting Bond Amount
34-77985	Jun. 2, 2016	Second Extension Order
34-77223	Feb. 24, 2016	Extension Order
34-75573	Jul. 30, 2015	Order Appointing Tax Administrator
33-9804	Jun. 5, 2015	Order Instituting Public Administrative And Cease-And desist Proceedings Pursuant to Section 8a Of The Securities Act Of 1933, Sections 4c And 21c of the Securities Exchange Act Of 1934, and Rule 102(E) of the Commission's Rules Of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order ("Order")

Cornerstone Capital and Laura Jean Kent

File No. 3-13199

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

Anthony Coronati and Bidtoask LLC

File No. 3-16203

Release	Date	Notice, Order, or Plan
34-73475	Oct. 30, 2014	Order Appointing Tax Administrator
33-9666 34-73381 IA-3954 IC-31293	Oct. 17, 2014	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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

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

See also the following Press Release:

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

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

File No. 3-15098

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

David 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

Sandra Dyche

File No. 3-16398

Release	Date	Notice, Order, or Plan
34-79866	Jan. 24, 2016	Order Approving Distribution Plan
		Plan of Distribution
34-78889	Sep. 20, 2016	Notice of Proposed Plan of Distribution and Opportunity for Comment *Comments due:* 30 days from date of this Notice Comments received are available for this proposed plan. Submit Comments on 3-16398 (Sandra Dyche)
		Proposed Plan of Distribution
34-77980	Jun. 2, 2016	Second Extension Order
34-77208	Feb. 23, 2016	Extension Order
34-77131	Feb. 12, 2016	Order Appointing Tax Administrator
33-9729	Feb. 20, 2015	Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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
34-73923	Dec. 23, 2014	Order Directing Disbursement
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)

Fidelity National Capital Investors, Inc.

File No. 3-11514

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

Fifth Third Bancorp and Daniel Poston

File No. 3-15635

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

Focus Media Holding Limited and Jason Jiang

File No. 3-16852

Release	Date	Notice, Order, or Plan
34-79166	Oct. 26, 2016	Second Extension Order
34-78028	Jun. 9, 2016	Order Appointing Tax Administrator
34-78006	Jun. 7, 2016	Extension Order
33-9933	Sep. 30, 2015	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order

Folger Nolan Fleming Douglas Capital Management, Inc., Neil C. Folger and David M. Brown

File No. 3-12737

Release	Date	Notice, Order, or Plan
34-65152	Aug. 17, 2011	Order Directing Disbursement of Distribution Fund
34-64295	Apr. 13, 2011	Order Approving Plan of Distribution
		Final Plan of Distribution
34-63994	Mar. 1, 2011	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-59976	May 27, 2009	Order Appointing Tax Administrator
IA-2639	Aug. 23, 2007	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, And Imposing Remedial Sanctions and a Cease-and-Desist Order

George B. Franz III and Ruby Corporation

File No. 3-15526

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

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

File No. 3-12540

Release	Date	Notice, Order, or Plan
34-75520	Jul. 24, 2015	Order Approving a Plan of Distribution
		Plan of Distribution
34-75515	Jul. 23, 2015	Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount
34-74871	May 5, 2015	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-55888	Jun. 8, 2007	Order Appointing Tax Administrator
34-55118	Jan. 18, 2007	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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

File No. 3-16829

Release	Date	Notice, Order, or Plan
34-79511	Dec. 8, 2016	Order Appointing Tax Administrator
33-9925	Sep. 23, 2015	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8a of The Securities Act of 1933, Sections 15(B), and 21c of The Securities Exchange Act of 1934, Sections 203(E), 203(F) and 203(K) of The Investment Advisers Act of 1940, and Section 9(B) of The Investment Company Act of 1940 Making Findings, and Imposing Remedial Sanctions and A Cease-and-Desist Order

GLG Partners, Inc. and GLG Partners, L.P.

File No. 3-15641

Release	Date	Notice, Order, or Plan
34-76722	Dec. 21, 2015	Order Directing Disbursement of Fair Fund
34-75706	Aug. 14, 2015	Order Approving Application of Fund Administrator for Payment of Fees and Expenses
34-73423	Oct. 24, 2014	Order Approving Plan of Distribution
		Plan of Distribution
34-73155	Sep. 19, 2014	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-72430	Jun. 19, 2014	Extension Order
34-72247	May 23, 2014	Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount
34-71590	Feb. 20, 2014	Extension Order
34-71544	Feb. 12, 2014	Order Appointing Tax Administrator
34-71050 AAER-3516	Dec. 12, 2013	Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order

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

File No. 3-14854

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

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

File No. 3-15654

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

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

File No. 3-12678

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

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

JPMorgan Chase & Co.

File No. 3-15507

Release	Date	Notice, Order, or Plan
34-74266	Feb. 12, 2015	Order Approving Plan of Distribution
		Plan of Distribution
34-73824	Dec. 11, 2014	Notice of Proposed Distribution Plan and Opportunity for Comment
		Proposed Distribution Plan
34-72181	May 16, 2014	Extension Order
34-71825	Mar. 27, 2014	Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount
34-71654	Mar. 5, 2014	Order Establishing a Fair Fund
34-70780	Oct. 30, 2013	Extension Order
34-70615	Oct. 4, 2013	Order Appointing Tax Administrator
34-70458 AAER-3490	Sep. 19, 2013	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order

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

File No. 3-15014

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

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

File No. 3-10765

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

Thomas A. Kolbe

File No. 3-11618

Release	Date	Notice, Order, or Plan
34-51341	Mar. 9, 2005	Order Directing Appointment of Tax Administrator
IA-2288 IC-26588	Aug. 30, 2004	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Michael J. Laughlin

File No. 3-11916

Note: this case has been consolidated with File No. 3-11359. Future materials will appear at the Alliance Capital Management, L.P. listing.

Release	Date	Notice, Order, or Plan
34-53447	Mar. 8, 2006	Order Directing Appointment of Tax Administrator
34-51642 IA-2380 IC-26860	Apr. 28, 2005	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Michael D. Legoski

File No. 3-11620

Release	Date	Notice, Order, or Plan
34-51341	Mar. 9, 2005	Order Directing Appointment of Tax Administrator
34-50289 IA-2290 IC-26590	Aug. 30, 2004	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Linkbrokers Derivatives LLC

File No. 3-16017

Release	Date	Notice, Order, or Plan
34-79248	Nov. 4, 2016	Order Approving Plan of Distribution
		Plan of Distribution
34-78577	Aug. 15, 2016	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-76815	Dec. 31, 2015	Extension Order
34-75784	Aug. 28, 2015	Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount
34-75341	Jul. 1, 2015	Extension Order
34-73651	Nov. 20, 2014	Extension Order
34-73012	Sep. 5, 2014	Order Appointing Tax Administrator
34-72846	Aug. 14, 2014	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant To Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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

File No. 3-15211

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

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

File No. 3-14321

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

Gerald T. Malone

File No. 3-11914

Note: this case has been consolidated with File No. 3-11359. Future materials will appear at the Alliance Capital Management, L.P. listing.

Release	Date	Notice, Order, or Plan
34-53445 IC-26858	Mar. 8, 2006	Order Directing Appointment of Tax Administrator
IA-2378 IC-26858	Apr. 28, 2005	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Massachusetts Financial Services Co.

File No. 3-11450

Release	Date	Notice, Order, or Plan
34-51341	Mar. 9, 2005	Order Directing Appointment of Tax Administrator
IA-2343 IC-26724	Jan. 21, 2005	Order Approving a Plan of Distribution
IA-2303 IC-26617	Sep. 22, 2004	Notice of Proposed Plan for the Distribution of a Fair Fund and Opportunity for Comment
IA-2224 IC-26409	Mar. 31, 2004	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also, Mutual Fund Manager MFS Pays $50 Million Fine To Settle SEC Enforcement Action (Press Release No. 2004-44, Mar. 31, 2004)

Massachusetts Financial Services Co., John W. Ballen and Kevin R. Parke

File No. 3-11393

Release	Date	Notice, Order, or Plan
IA-3312 IC-29858	Nov. 9, 2011	Order Modifying Order Instituting Administrative and Cease- and-Desist Proceedings Pursuant to Sections 203(E), 203(F) and 203(K) of the Investment Advisers Act of 1940 and Sections 9(B) and 9(F) of The Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease- and-Desist Order as to Massachusetts Financial Services Company
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)

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

File No. 3-16175

Release	Date	Notice, Order, or Plan
34-79522	Dec. 9, 2016	Order Appointing Tax Administrator
34-76001	Sep. 28, 2015	Finality Order - James Doug Scott
34-75005	May 20, 2015	Finality Order - Kenneth C. Meissner
34-73226	Sep. 25, 2014	Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 9(b) of the Investment Company Act of 1940

Metis Wealth Advidsors, LLC, and Juan R. Montermoso

File No. 3-16955

Release	Date	Notice, Order, or Plan
34-76595	Dec. 9, 2015	Order Appointing Tax Administrator
34-76432 IA-4262 IC-31900	Nov. 12, 2015	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 21c of the Securities Exchange Act of 1934, Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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:

SEC Announces $178 Million Distribution from Millennium Fair Fund (Press Release No. 2010-83, May 21, 2010)
SEC Charges Millennium Partners, L.P., Israel Englander, and Others for Engaging in Fraudulent Market Timing Scheme (Press Release No. 2005-170, December 1, 2005)

Timothy J. Miller

File No. 3-11619

Release	Date	Notice, Order, or Plan
34-51341	Mar. 9, 2005	Order Directing Appointment of Tax Administrator
IA-2289 IC-26589	Aug. 30, 2004	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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

Morgan Asset Management, Inc.; Morgan Keegan & Company, Inc.; James C. Kelsoe, Jr.; and Joseph Thompson Weller, CPA

File No. 3-13847

Release	Date	Notice, Order, or Plan
34-78541	Aug. 11, 2016	Second Order Directing Disbursement of Fair Fund
34-72599	Jul. 11, 2014	Order Directing Disbursement of Fair Fund
34-70222	Aug. 16, 2013	Order Approving Modified Plan and Setting Fund Administrator Bond Amount
		Modified Plan of Distribution
34-70016	Jul. 23, 2013	Extension Order
34-69288	Apr. 3, 2013	Notice of Proposed Plan of Distribution and Opportunity for Comment Comments received are available for this notice.
		Proposed Plan of Distribution
34-65919	Dec. 8, 2011	Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-65227	Aug. 30, 2011	Order Appointing Fund Administrator
34-64917	Jul. 19, 2011	Order Appointing Tax Administrator
34-64720 IA-3218 IC-29704 AAER-3296	Jun. 22, 2011	Corrected Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order, and Imposing Suspension
33-9116 34-61856 IA-3009 IC-29203 AAER-3125	Apr. 7, 2010	Order Instituting Administrative and Cease-and-Desist Proceedings

See also the following Press Release,

Morgan Keegan to Pay $200 Million to Settle Fraud Charges Related to Subprime Mortgage-Backed Securities (Press Release No. 2011-132, June 22, 2011)

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

File No. 3-15982

Release	Date	Notice, Order, or Plan
34-77063	Feb. 4, 2016	Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount
34-74231	Feb. 6, 2015	Order Appointing Tax Administrator
33-9618	Jul. 24, 2014	Order Granting Waivers of the Disqualification Provisions
33-9617	Jul. 24, 2014	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order

North East Capital, LLC and Anthony T. Vicidomine

File No. 3-15429

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

Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc.

File No. 3-14909

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

Oxford Investment Partners, LLC and Walter J. Clarke

File No. 3-14899

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

Packetport.com, Inc., Ronald Durando, Microphase Corp., Robert H. Jaffe, Gustave Dotoli, M. Christopher Agarwal, and Theodore Kunzog

File No. 3-12868

Release	Date	Notice, Order, or Plan
34-76533	Dec. 1, 2014	Order Approving Application of Fund Administrator for Payment of Fees and Expenses
34-72598	Jul. 11, 2014	Order Directing Disbursement of Disgorgement Fund
34-65936	Dec. 12, 2011	Order Approving Distribution Plan
		Final Plan of Distribution
34-65498	Oct. 6, 2011	Order Appointing a Fund Administrator and Approving Administrator Bond
34-65490	Oct. 6, 2011	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-60852	Oct. 21, 2009	Order Appointing Tax Administrator
33-8858 34-56672	Oct. 18, 2007	Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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
34-74071	Jan. 15, 2015	Order Directing Disbursement
34-65935	Dec. 9, 2011	Order Directing Disbursement of Fair Fund
34-64477	May 12, 2011	Order Directing Disbursement of Fair Fund
34-63518	Dec. 10, 2010	Order Approving Plan of Distribution, Appointing a Fund Administrator, and Waiving Bond
		Final Plan of Distribution
34-63059	Oct. 7, 2010	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-51341	Mar. 9, 2005	Order Directing Appointment of Tax Administrator
34-50354 IA-2292 IC-26594	Sep. 13, 2004	Order Instituting Administrative and Cease-and-Desist Proceedings Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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

Alexander Rekeda; Xavier Capdepon and Gwen Snorteland; and Delaware Asset Advisers and Wei (Alex) Wei

File Nos. 3-14952, 3-14953, 3-14954

Release	Date	Notice, Order, or Plan
34-69600	May 16, 2013	Extension Order
34-68167	Nov. 6, 2012	Extension Order
33-9339 IA-3434	Jul. 18, 2012	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders (Delaware Asset Advisers And Wei (Alex) Wei, File No. 3-14952)
33-9340 34-67455 IC-30140	Jul. 18, 2012	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order (Alexander Rekeda, File No. 3-14953)
33-9341 34-67456 IC-30141	Jul. 18, 2012	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order (Xavier Capdepon and Gwen Snorteland, File No. 3-14954)

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

File Nos. 3-16877 and 3-16878

Release	Date	Notice, Order, or Plan
34-79449	Dec. 1, 2016	Extension Order
IA-4213	Sep. 30, 2015	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(E), 203(F) and 203(K) of The Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order(James Goodland, and Securus Wealth Management, LLC)
34-76058	Sep. 30, 2015	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant To Sections 15(B) and 21c of the Secutrities Exchange Act of 1934, Sections 203(F) and 203(K) of the Investment Advisers Act of 1940, and Section 9(B) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Howard Richards)

Charles L. Rizzo and Gina M. Hornbogen

File No. 3-14641

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

Sarkauskas and Associates, Inc. and James M. Sarkauskas

File No. 3-15471

Release	Date	Notice, Order, or Plan
34-77048	Feb. 3, 2016	Order Approving Plan of Distribution
		Plan of Distribution
34-76775	Dec. 24, 2015	Notice of Proposed Plan of Distribution and Oppurtunity for Comment
		Proposed Plan of Distribution
34-76318	Oct. 30, 2015	Extension Order
34-75034	May 21, 2015	Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount
34-74851	Apr. 30, 2015	Extension Order
34-73655	Nov. 20, 2014	Extension Order
34-73323	Oct. 8, 2014	Order Appointing Tax Administrator
34-70388 IA-3669 IC-30687	Sep. 13, 2013	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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.

Release	Date	Notice, Order, or Plan
33-9215	Jun. 2, 2011	Order Granting Extension of Time to Submit Proposed Plan of Distribution
34-63937	Feb. 22, 2011	Order Appointing Tax Administrator
33-9174 34-63725	Jan. 14, 2011	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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

Ronald St. Clair, CPA, and Lawrence Swan, CA

File No. 3-14615

Release	Date	Notice, Order, or Plan
33-9274 34-65698 IC-29856	Nov. 7, 2011	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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
34-79136	Oct. 21, 2016	Order Approving Use of Fair Fund to Pay Outstanding and Remaining Fees and Expenses
34-64327	Apr. 22, 2011	Order Directing Disbursement of Fair Fund
34-63143	Oct. 21, 2010	Order Directing Disbursement of Fair Fund
34-62475	Jul. 8, 2010	Order Directing Disbursement of Fair Fund
34-60667	Sep. 14, 2009	Order Approving Distribution Plan, Appointing an Administrator, and Waiving Bond
34-60406	Jul. 30, 2009	Notice of Proposed Distribution Plan and Opportunity for Comment
		Proposed Plan of Distribution
	May 13, 2005	Order Creating a Fair Fund
34-51694 IA-2383 IC-26868	May 13, 2005	Order Modifying Prior Order to Extend Period of Time During Which Richard S. Strong May Hold His Ownership Interest in Strong Capital Management, Inc., Strong Investor Services, Inc. and Strong Investments, Inc.
34-51341	Mar. 9, 2005	Order Directing Appointment of Tax Administrator
34-49741 IA-2239 IC-26448	May 20, 2004	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders

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

File No. 3-16755

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

Keith MacDonald Summers

File No. 3-16014

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

UBS Financial Services Inc. of Puerto Rico

File No. 3-16846

Release	Date	Notice, Order, or Plan
34-79513	Dec. 8, 2016	Third Extension Order
34-79227	Nov. 3, 2016	Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount
34-78002	Jun. 7, 2016	Second Extension Order
34-77206	Feb. 23, 2016	Extension Order
34-77130	Feb. 12, 2016	Order Appointing Tax Administrator
34-77130	Sep. 29, 2015	Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions

UBS Financial Services Inc. of Puerto Rico

File No. 3-14863

Release	Date	Notice, Order, or Plan
34-79754	Jan. 6, 2017	Notice of Proposed Plan of Distribution and Opportunity for Comment *Comments due:* 30 days from date of this Notice Submit Comments on 3-14863 (UBS Financial Services Inc. of Puerto Rico)
		Proposed Plan of Distribution
34-68600	Jan. 8, 2013	Order Appointing a Fund Administrator and Approving Fund Administrator Bond
33-9343 34-67526	Jul. 27, 2012	Order Extending the Time by Which UBS PR Shall Submit to the Commission the Findings of the Independent Consultant Making Recommendations for Any Changes in or Improvements To UBS PR’s Policies, Procedures, and Practices, and a Procedure for Implementing Such Recommended Changes
33-9332 34-67359	Jul. 5, 2012	Order Extending Time to Retain an Independent Third-Party Consultant
34-67148	Jun. 6, 2012	Extension Order
34-67042	May 22, 2012	Order Appointing Tax Administrator
33-9318 34-66893	May 1, 2012	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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

File No. 3-13675

Release	Date	Notice, Order, or Plan
34-79553	Dec. 14, 2016	Order Directing Disbursement of Fair Fund and Vacating Prior Order Of Disbursement
34-69469	Apr. 26, 2013	Order Directing Disbursement of Fair Fund
34-63640	Jan. 4, 2011	Order Approving Distribution Plan
		Final Plan of Distribution
34-63269	Nov. 8, 2010	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-62837	Sep. 2, 2010	Order Appointing a Fund Administrator and Waiving Bond
34-61316	Jan. 8, 2010	Extension Order
34-61045	Nov. 20, 2009	Order Appointing Tax Administrator
33-9081 34-60936 IA-2945 IC-28989	Nov. 4, 2009	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

VCAP Securities, LLC, and Brett Thomas Graham

File No. 3-16389

Release	Date	Notice, Order, or Plan
34-79850	Jan. 19, 2017	Order Directing Disbursement of Fair Fund
34-76877	Jan. 12, 2016	Order Approving Plan of Distribution
		Plan of Distribution
34-76511	Nov. 24, 2015	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-75924	Sep. 15, 2015	Extension Order
34-74993	May 19, 2015	Extension Order
34-74508	Mar. 13, 2015	Order Appointing Tax Administrator
34-74305	Feb. 19, 2015	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Waddell & Reed, Inc., Waddell & Reed Investment Management Company, and Waddell & Reed Services Company

File No. 3-12372

Release	Date	Notice, Order, or Plan
34-75485	Jul. 17, 2015	Order Directing Disbursement of a Fair Fund
34-74756	Apr. 17, 2015	Order Directing Disbursement of a Fair Fund
34-74079	Jan. 16, 2015	Order Directing Disbursement of a Fair Fund
34-72610	Jul. 15, 2014	Order Directing Disbursement of a Fair Fund
34-70151	Aug. 9, 2013	Order Approving Plan of Distribution, Appointing a Fund Administrator, and Waiving Bond Requirement
34-69437	Apr. 23, 2013	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-55369	Feb. 28, 2007	Order Appointing Tax Administrator
34-54193 IA-2537 IC-27424	Jul. 24, 2006	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also:

Division of Corporation Finance No-Action Letter (October 31, 2006)

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

File No. 3-14982

Release	Date	Notice, Order, or Plan
34-69917	Jul. 2, 2013	Order Appointing Fund Administrator and Approving Fund Administrator Bond Amount
34-69149	Mar. 15, 2013	Extension Order
34-67972	Oct. 3, 2012	Extension Order
34-67829	Sep. 11, 2012	Order Appointing Tax Administrator
33-9349 34-67649 IC-30167	Aug. 14, 2012	Order Instituting Administrative and Cease-and-Desist Proceedings Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order

Steven Durrelle Williams

File No. 3-16246

Release	Date	Notice, Order, or Plan
34-74081	Jan. 16, 2015	Order Appointing Tax Administrator
34-68683	Jan. 17, 2013	Omnibus Order Directing the Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution Funds

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

File Nos. 3-16652 and 3-16892

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

Other Resources

Archive of Terminated Fair Funds and Disgorgement Plans

Information for Harmed Investors