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).
See also Archive of Terminated Fair Funds and Disgorgement Plans.
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
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
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)
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
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
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
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
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. |
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
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
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
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
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
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
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
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
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
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
Success Trade, Inc., Success Trade Securities, Inc., and Fuad Ahmed
File No. 3-16755
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 |
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.) |