	Home \| Previous Page

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

John W. Adams and AIP, LLC (3-11676)
Alliance Capital Management, L.P. (3-11359)
American Skandia Investment Services, Inc. (3-13446)
Ameriprise Financial Services, Inc. (3-13544)
Ameriprise Financial Services, Inc. (formerly American Express Financial Advisors Inc.) (3-12115)
Ameriprise Financial, Inc. (formerly American Express Financial Corporation) (3-12114)
AmSouth Bank, N.A. (now known as Regions Bank), and AmSouth Asset Management, Inc. (now known as Morgan Asset Management) (3-13230)
Ark Asset Management Co., Inc. (3-13714)
Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC (3-11818)
Bear, Stearns & Co., and Bear, Stearns Securities Corp. (3-12238)
BISYS Fund Services (3-12432)
BNY Mellon Securities LLC (3-14191)
Canadian Imperial Holdings Inc. and CIBC World Markets Corp. (3-11987)
John D. Carifa (3-11915)
Centaur Management Co. LLC (3-14950)
Paul George Chironis (3-13869)
CIHC, Inc., Conseco Services, LLC, and Conseco Equity Sales, Inc. (3-11578)
Columbia Management Advisors, Inc. and Columbia Funds Distributor, Inc. (3-11814)
Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Network; Detwiler, Mitchell, Fenton & Graves, Inc.; James X. McCarty (3-12749, 3-12750, 3-12751)
Cornerstone Capital and Laura Jean Kent (3-13199)
Charles W. Crouse and Norman R. Hess (3-11515)
Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.), Credit Suisse Asset Management, LLC, and Samir H. Bhatt (3-14594)
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)
Evergreen Investment Management Company, LLC, Evergreen Investment Services, Inc., Evergreen Service Company, LLC, and Wachovia Securities, LLC (3-12805)
Federated Investment Management Company, Federated Securities Corp. and Federated Shareholder Services Company (3-12111)
Fidelity National Capital Investors, Inc. (3-11514)
Folger Nolan Fleming Douglas Capital Management, Inc., Neil C. Folger and David M. Brown (3-12737)
Fred Alger Management, Inc. (3-12540)
Freedom Financial, Inc., Freedom Track, Inc., Freedom Financial Group, Inc., Associated Investment Management, Inc., Jon Patrick Pierce, Gary L. Winn (3-11246)
Fremont Investment Advisors, Inc. (3-11726)
GMB Capital Management LLC; GMB Capital Partners LLC; Gabriel Bitran and Marco Bitran (3-14854)
Grant Thornton, LLP; Doeren Mayhew & Co., P.C.; Peter M. Behrens, CPA; Marvin J. Morris, CPA and Benedict P. Rybicki, CPA (3-11377)
Haidar Capital Management, LLC, Haidar Capital Advisors, LLC, and Said N. Haidar (3-12678)
Heartland Advisors, Inc., William J. Nasgovitz, Paul T. Beste, Thomas J. Conlin, Greg D. Winston, Kevin D. Clark, Kenneth J. Della, and Hugh F. Denison (3-12936)
Hennessee Group LLC and Charles J. Gradante (3-13454)
Huntington Bancshares, Inc., Thomas E. Hoaglin, Michael J. McMennamin, and John Van Fleet, CPA (3-11940)
Huron Consulting Group Inc., Gary L. Burge, CPA, and Wayne F. Lipski, CPA (3-14958)
International Equity Advisors, LLC and Richard Roger Lund (3-12068)
Invesco Funds Group, Inc., AIM Advisors, Inc., and AIM Distributors, Inc. (3-11701)
Inviva, Inc. and Jefferson National Life Insurance Company (3-11579)
Jefferies & Co., Inc. and Scott Jones (3-12495)
J.P. Morgan Securities Inc. (3-13673)
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)
Knight Securities L.P (3-11771)
Thomas A. Kolbe (3-11618)
Michael J. Laughlin (3-11916)
Michael D. Legoski (3-11620)
Lovelock & Lewes, Price Waterhouse, Bangalore, Price Waterhouse & Co., Bangalore, Price Waterhouse, Calcutta, and Price Waterhouse & Co., Calcutta (3-14321)
Gerald T. Malone (3-11914)
Massachusetts Financial Services Co. (3-11450)
Massachusetts Financial Services Co., John W. Ballen, and Kevin R. Parke (3-11393)
Millennium Partners, L.P., Millennium Management, L.L.C., Millennium International Management, L.L.C., Israel Englander, Terence Feeney, Fred Stone, and Kovan Pillai; and Steven B. Markovitz (3-12116 and 3-11292)
Timothy J. Miller (3-11619)
MMR Investment Bankers, LLC (d/b/a MMR, INC.), William G. Martin, Jr., Eugene R. Rankin, John A. Hubert, and Aaron D. Fimreite (3-14163)
Moon Capital Management (3-13197)
Morgan Asset Management, Inc.; Morgan Keegan & Company, Inc.; James C. Kelsoe, Jr.; and Joseph Thompson Weller, CPA (3-13847)
Morgan Stanley & Co. Incorporated (3-12907)
Paul W. Oliver, Jr. (3-13554)
Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc. (3-14909)
Packetport.com, Inc., Ronald Durando, Microphase Corp., Robert H. Jaffe, Gustave Dotoli, M. Christopher Agarwal, and Theodore Kunzog (3-12868)
PA Fund Management LLC f/k/a PIMCO Advisors Fund Management LLC, PEA Capital LLC f/k/a PIMCO Equity Advisors LLC, and PA Distributors LLC f/k/a PIMCO Advisors Distributors LLC (3-11645)
Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Rose M. Rudden, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells (3-13532)
Prudential Equity Group, LLC f/k/a Prudential Securities Inc. (3-12400)
Putnam Investment Management LLC (3-11317)
Putnam Investment Management LLC (3-11868)
RBC Capital Markets, LLC (formerly known as RBC Capital Markets Corp.) (3-14564)
Alexander Rekeda; Xavier Capdepon and Gwen Snorteland; and Delaware Asset Advisers and Wei (Alex) Wei (3-14952, 3-14953, 3-14954)
J. Michael Scarborough and Royal Alliance Associates, Inc. (3-11538)
Mark Shaw (3-14192)
Smith Barney Fund Management LLC and Citigroup Global Markets, Inc. (3-11935)
Southwest Securities, Inc., Daniel R. Leland, Kerry M. Rigdon and Kevin J. Marsh (3-11793)
Specialist: Bear Wagner Specialists LLC, Fleet Specialist, Inc., LaBranche & Co. LLC, Spear, Leeds & Kellogg Specialists LLC, Van der Moolen Specialists USA, LLC, Performance Specialist Group LLC, SIG Specialists, Inc. (3-11445, 3-11446, 3-11447, 3-11448, 3-11449, 3-11558, 3-11559)
Ronald St. Clair, CPA, and Lawrence Swan, CA (3-14615)
Mary Beth Stevens (3-13553)
Strong Capital Management, Inc. (3-12448)
Strong Capital Management, Inc., Strong Investor Services, Inc., Strong Investments, Inc., Richard S. Strong, Thomas A. Hooker, Jr. and Anthony J. D'Amato (3-11498)
Nancy C. Tengler (3-11727)
UBS Financial Services Inc. of Puerto Rico (3-14863)
Value Line, Inc., Value Line Securities, Inc., Jean Bernhard Buttner, and David Henigson (3-13675)
Waddell & Reed, Inc., Waddell & Reed Investment Management Company, and Waddell & Reed Services Company (3-12372)
Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC and Shawn Patrick McMurtry (3-14982)
Wells Fargo Securities LLC (f/k/a Wachovia Capital Markets LLC) (3-14320)
Zurich Capital Markets Inc. (3-12628)

John W. Adams and AIP, LLC

File No. 3-11676

Release	Date	Notice, Order, or 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
34-51341	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

Alliance Capital Management, L.P.

File No. 3-11359

Release	Date	Notice, Order, or Plan
34-64568	May 31, 2011	Order Directing Disbursement of Fair Fund
34-60446	Aug. 5, 2009	Order Directing Disbursement of Fair Fund
34-59926	May 14, 2009	Order Directing Disbursement of Fair Fund
34-59832	Apr. 28, 2009	Order Directing Disbursement of Fair Fund
34-59657	Mar. 31, 2009	Order Directing Disbursement of Fair Fund
34-59389	Feb. 11, 2009	Order Directing Disbursement of Fair Fund
34-59280	Jan. 22, 2009	Order Directing Disbursement of Fair Fund
34-57825	May 15, 2008	Order Approving Distribution Plan, Appointing a Fund Administrator, and Waiving Bond
		Final Plan of Distribution
34-57489	Mar. 13, 2008	Notice of Proposed Distribution Plan and Opportunity for Comment
		Proposed Plan of Distribution
34-51341	Mar. 9, 2005	Order Directing Appointment of Tax Administrator
IA-2205A IC-26312A	Jan. 15, 2004	Amended Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also, SEC Announces Start of $321 Million Fair Fund Distribution to Investors Harmed by Alliance Capital Market Timing (Press Release No. 2009-21, February 6, 2009)

American Skandia Investment Services, Inc.

File No. 3-13446

Release	Date	Notice, Order, or Plan
34-67149	Jun. 6, 2012	Order Directing Disbursement of Fair Fund
34-66425	Feb. 17, 2012	Order Directing Disbursement of Fair Fund
34-64651	Jun. 13, 2011	Order Directing Disbursement of Fair Fund
34-63765	Jan. 25, 2011	Order Directing Disbursement of Fair Fund
34-62733	Aug. 16, 2010	Order Approving Plan of Distribution, Appointing Fund Administrator, and Waiving Bond
		Final Distribution Plan
34-62106	May 13, 2010	Notice of Proposed Distribution Plan and Opportunity for Comment
		Proposed Plan of Distribution
34-59984	May 27, 2009	Order Appointing Tax Administrator
33-9029	Apr. 17, 2009	Order Granting a Waiver
33-9028 34-59780	Apr. 17, 2009	Order Granting Waivers
IA-2867	Apr. 17, 2009	Order Instituting Administrative and Cease-and-Desist, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Ameriprise Financial Services, Inc.

File No. 3-13544

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
34-57639	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
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)

AmSouth Bank, N.A. (now known as Regions Bank), and AmSouth Asset Management, Inc. (now known as Morgan Asset Management)

File No. 3-13230

Release	Date	Notice, Order, or Plan
IA-2784a IC-28387A	Sep. 23, 2008	Corrected Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to 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, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also, AmSouth to Pay $11 Million for Improper, Undisclosed Use of Funds to Pay Marketing, Other Expenses (Press Release No. 2008-222, September 23, 2008)

Ark Asset Management Co., Inc.

File No. 3-13714

Release	Date	Notice, Order, or Plan
34-67524	Jul. 27, 2012	Order Directing Disbursement of Disgorgement Fund
34-63993	Mar. 1, 2011	Order Approving Distribution Plan and Appointing a Plan Administrator
		Final Plan of Distribution
34-63666	Jan. 6, 2011	Notice of Proposed Distribution Plan and Opportunity for Comment Submit Comments on Proposed Plan of Distribution
		Proposed Plan of Distribution
34-63118	Oct. 15, 2010	Order Appointing Tax Administrator
IA-3091	Sep. 29, 2010	Order Making Findings and Imposing Sanctions
IA-2962	Dec. 14, 2009	Order Instituting Cease and Desist Proceedings and Notice of Hearing

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
34-68208	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

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)

BISYS Fund Services

File No. 3-12432

Release	Date	Notice, Order, or Plan
34-62498	Jul. 14, 2010	Order Directing Disbursement of Fair Fund
34-60719	Sep. 25, 2009	Order Approving Distribution Plan, Appointing a Fund Administrator, and Waiving Bond
34-60435	Aug. 5, 2009	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan
		Proposed Distribution Plan
34-60011	May 29, 2009	Notice of Proposed Distribution Plan and Opportunity for Comment
34-54635	Oct. 20, 2006	Order Appointing Tax Administrator
IA-2554 IC-27500	Sep. 26, 2006	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
33-8742 34-54513	Sep. 26, 2006	Order Granting Waivers

BNY Mellon Securities LLC

File No. 3-14191

Release	Date	Notice, Order, or Plan
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

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

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
34-67824.pdf	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

Paul George Chironis

File No. 3-13869

Release	Date	Notice, Order, or Plan
33-9170 34-63661 IC-29548	Jan. 6, 2011	Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order
33-9119 34-61968	Apr. 23, 2010	Order Instituting Administrative and Cease-and-Desist Proceedings

See also the following Press Release:

Broker Accused of Defrauding Elderly Nuns Settles Case With SEC (Press Release No. 2011-2, January 6, 2011)

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

File No. 3-11578

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

Columbia Management Advisors, Inc. and Columbia Funds Distributor, Inc.

File No. 3-11814

Release	Date	Notice, Order, or Plan
34-65122	Aug. 12, 2011	Order Directing Disbursement of Fair Fund
34-62058	May 6, 2010	Order Directing Disbursement of Fair Fund
34-58939	Nov. 13, 2008	Order Directing Disbursement of Fair Fund
34-57422	Mar. 3, 2008	Order Directing Disbursement of Fair Fund
34-56857	Nov. 28, 2007	Order Directing Disbursement of Fair Fund
34-56216	Aug. 7, 2007	Order Directing Disbursement of Fair Fund
34-55922	Jun. 18, 2007	Order Directing Disbursement of Fair Fund
34-55598	Apr. 6, 2007	Order Approving a Distribution Plan
		Plan of Distribution
34-55332	Feb. 22, 2007	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan
34-55059	Jan. 8, 2007	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan
34-54474	Sep. 20, 2006	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan
34-54175	Jul. 19, 2006	Notice Of Proposed Distribution Plan and Opportunity for Comment Comments received are available for this proposal.
		Proposed Plan of Distribution
34-51341	Mar. 9, 2005	Order Directing Appointment of Tax Administrator
33-8538 34-51167 IA-2355 IC-26756	Feb. 9, 2005	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order
33-8536	Feb. 9, 2005	Order Under Rule 602(e) Under the Securities Act of 1933, Granting a Waiver of the Disqualification Provisions of Rule 602(c)(3)
33-8534 34-51164 IA-2351 IC-26752	Feb. 9, 2005	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also, SEC Announces $37 Million Fair Fund Distribution to Mutual Fund Investors Injured by Columbia Market Timing Fraud (Press Release No. 2005-127, July 2, 2007)

Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Network; Detwiler, Mitchell, Fenton & Graves, Inc.; James X. McCarty

File Nos. 3-12749, 3-12750, 3-12751

Release	Date	Notice, Order, or Plan
34-62705	Aug. 12, 2010	Order Directing Disbursement of Fair Fund
34-57843	May 21, 2008	Order Directing Disbursement of Fair Fund
34-57310	Feb. 12, 2008	Order Approving Distribution Plan
		Plan of Distribution
34-56981	Dec. 18, 2007	Notice of Proposed Distribution Plan and Opportunity for Comment
		Proposed Plan of Distribution
34-56364	Sep. 6, 2007	Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
34-56363	Sep. 6, 2007	Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
34-56362	Sep. 6, 2007	Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
34-56549	Sep. 27, 2007	Order Appointing Tax Administrator

Cornerstone Capital and Laura Jean Kent

File No. 3-13199

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

Charles W. Crouse and Norman R. Hess

File No. 3-11515

Release	Date	Notice, Order, or Plan
34-65999	Dec. 16, 2011	Order Directing Disbursement of Fair Fund
34-57607	Apr. 2, 2008	Order Approving and Ratifying Prior Disbursement and Approving Future Disbursement of Fair Fund
34-53432	Mar. 7, 2006	Order Appointing Tax Administrator
34-52678	Oct. 26, 2005	Order Approving Plan of Fund Distribution, Appointing Administrator, and Consolidating Settlement Funds for Administration
34-52279	Aug. 17, 2005	Notice of Proposed Plan of Disgorgement and Fair Fund Distribution and Opportunity for Comment
33-8563 34-51480	Apr. 6, 2005	Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order
34-51266	Feb. 25, 2005	Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order
34-49829	Jun. 8, 2004	SEC Institutes Public Administrative Proceedings Against Charles W. Crouse and Norman R. Hess
	Jun. 8, 2004	Order Instituting Administrative and Cease-and-Desist Proceedings

Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.), Credit Suisse Asset Management, LLC, and Samir H. Bhatt

File No. 3-14594

Release	Date	Notice, Order, or Plan
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:

SEC Announces $79 Million Fair Fund Distribution in the Edward Jones Revenue Sharing Settlement (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
34-68593	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

Evergreen Investment Management Company, LLC Evergreen Investment Services, Inc., Evergreen Service Company, LLC, and Wachovia Securities, LLC

File No. 3-12805

Release	Date	Notice, Order, or Plan
34-63814	Feb. 1, 2011	Order Directing Disbursement of Fair Fund
34-63424	Dec. 3, 2010	Order Directing Disbursement of Fair Fund
34-63204	Oct. 28, 2010	Order Directing Disbursement of Fair Fund
34-62017	Apr. 30, 2010	Order Approving Distribution Plan
		Final Plan of Distribution
34-61746	Mar. 19, 2010	Order Appointing a Fund Administrator and Waiving Bond
34-61745	Mar. 19, 2010	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-56658	Oct. 12, 2007	Order Appointmenting Tax Administrator
33-8843	Sep. 19, 2007	Order Granting Waiver
33-8842 34-56463	Sep. 19, 2007	Order Granting Waivers
34-56462 IA-2648 IC-27973	Sep. 19, 2007	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also, Evergreen Investment Management Company and Affiliates to Pay $32.5 Million to Settle Market Timing Violations (Press Release No. 2007-186, September 19, 2006) and In the Matter of William M. Ennis (Release No. 34-56464, September 19, 2007)

Federated Investment Management Company, Federated Securities Corp. and Federated Shareholder Services Company

File No. 3-12111

Release	Date	Notice, Order, or Plan
34-67187	Jun. 12, 2012	Order Modifying Distribution Plan and Directing Disbursement
34-62836	Sep. 2, 2010	Order Directing Disbursement of Fair Fund
34-62542	Jul. 21, 2010	Order Directing Disbursement of Fair Fund
34-61437	Jan. 28, 2010	Order Approving Plan, Appointing an Administrator, and Waiving Bond
		Distribution Plan
34-61118	Dec. 4, 2009	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-52879 IA-2456 IC-27175	Dec. 2, 2005	Order Directing Appointment of Tax Administrator
34-52839 IA-2448 IC-27167	Nov. 28, 2005	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Fidelity National Capital Investors, Inc.

File No. 3-11514

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.

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

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

File No. 3-12540

Release	Date	Notice, Order, or Plan
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

Freedom Financial, Inc., Freedom Track, Inc., Freedom Financial Group, Inc., Associated Investment Management, Inc., Jon Patrick Pierce, Gary L. Winn

File No. 3-11246

Release	Date	Notice, Order, or Plan
34-54845	Nov. 30, 2006	Order Appointing a Tax Administrator
34-54547	Sep. 29, 2006	Order Approving Distribution of Disgorgement Fund
34-53814	May 16, 2006	Order Approving Plan of Disgorgement Distribution and Appointing Administrator
33-8643 34-52945 IA-2460	Dec. 13, 2005	Notice of Proposed Plan of Disgorgement Distribution and Opportunity for Comment by Non-Parties Comments due: January 12, 2006
		Proposed Plan of Disgorgement Distribution as to Respondent Associated Investment Management, Inc.
33-8426 34-49744 IA-2240	May 20, 2004	Order Making Findings and Imposing Remedial Sanctions and Cease-and-Desist Orders
33-8280 34-48446 IA-2168	Sep. 4, 2003	Proceedings Instituted Against Freedom Financial, Inc., Freedom Track, Inc., Freedom Financial Group, Inc., Associated Investment Management, Inc., Jon Patrick Pierce, and Gary L. Winn

Fremont Investment Advisors, Inc.

File No. 3-11726

Release	Date	Notice, Order, or Plan
34-67483	Jul. 20, 2012	Order Directing Disbursement
34-63203	Oct. 28, 2010	Order Directing Disbursement of Fair Fund
34-62381	Jun. 25, 2010	Order Approving Plan, Appointing a Fund Administrator, and Waiving Bond
		Final Plan of Distribution
34-62090	May 12, 2010	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-51341	Mar. 9, 2005	Order Directing Appointment of Tax Administrator
IA-2317 IC-26650	Nov. 4, 2004	Order Instituting Adminstrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and Issuing a Cease-and-Desist Order

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
34-68869	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

Grant Thornton, LLP; Doeren Mayhew & Co., P.C.; Peter M. Behrens, CPA; Marvin J. Morris, CPA and Benedict P. Rybicki, CPA

File No. 3-11377

Release	Date	Notice, Order, or Plan
34-63565	Dec. 16, 2010	Termination of Fair Fund and Discharge of Administrator and Tax Administrator
34-56365	Sep. 6, 2007	Order Authorizing Disbursement of Distribution Fund, Approving Procedures and Amending Distribution Plan
34-54903	Dec. 11, 2006	Order Appointing Tax Administrator
34-53170	Jan. 24, 2006	Order Granting Administrator's Motion for Additional Time to Complete the Tasks Identified in Paragraphs 8(g) and 8(h) of the Distribution Plan
34-51711	May 19, 2005	Order Approving Plan of Disgorgement Distribution and Appointing Administrator
34-50861 AAER-2151	Dec. 15, 2004	Notice of Proposed Distribution Plan and Opportunity for Comment
34-50148 AAER-2076	Aug. 5, 2004	Order Making Findings and Imposing Remedial Sanctions
	Jan. 20, 2004	Order Instituting Cease-and- Desist Proceedings and Instituting Public Administrative Proceedings
33-8355 34-49101 AAER-1945	Jan. 20, 2004	SEC Institutes Enforcement Action Against Grant Thornton, Doeren Mayhew and Others in Connection with Financial and Offering Fraud by Michigan Mortgage Banking Company

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

File No. 3-12678

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

Heartland Advisors, Inc., William J. Nasgovitz, Paul T. Beste, Thomas J. Conlin, Greg D. Winston, Kevin D. Clark, Kenneth J. Della, and Hugh F. Denison

File No. 3-12936

Release	Date	Notice, Order, or Plan
34-63173	Oct. 25, 2010	Order Directing Disbursement of Fair Fund
34-61823	Apr. 1, 2010	Order Approving Plan, Appointing a Fund Administrator, and Approving Administrator Bond
		Final Plan of Distribution
34-61481	Feb. 3, 2010	Notice of Proposed Distribution Plan and Opportunity for Comment
		Proposed Plan of Distribution
34-57651	Apr. 11, 2008	Order Appointing a Tax Administrator
33-8884 34-57206 IA-2698 IC-28136	Jan. 25, 2008	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders

Hennessee Group LLC and Charles J. Gradante

File No. 3-13454

Release	Date	Notice, Order, or Plan
34-67514	Jul. 26, 2012	Order Directing Disbursement of Fair Fund
34-64156	Mar. 31, 2011	Order Approving Plan and Appointing a Fund Administrator
		Final Plan of Distribution
34-63890	Feb. 11, 2011	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-61477	Jan. 29, 2010	Order Appointing Tax Administrator
IA-2871	Apr. 22, 2009	Order Instituting Administrative and Cease-Anddesist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Huntington Bancshares, Inc., Thomas E. Hoaglin, Michael J. McMennamin, and John Van Fleet, CPA

File No. 3-11940

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

Huron Consulting Group Inc., Gary L. Burge, CPA, and Wayne F. Lipski, CPA

File No. 3-14958

Release	Date	Notice, Order, or Plan
34-68737	Jan. 25, 2013	Order Establishing Fair Fund, Appointing a Fund Administrator, Approving Distribution Plan and Authorizing Transfer of Distribution Fund
34-68420	Dec. 13, 2012	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution Submit Comments on Proposed Plan of Distribution
34-68200	Nov. 9, 2012	Extension Order
34-67472 AAER-3394	Jul. 19, 2012	Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of tThe Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-And-Desist Order and Remedial Sanctions

International Equity Advisors, LLC and Richard Roger Lund

File No. 3-12068

Release	Date	Notice, Order, or Plan
34-58490	Sept. 8, 2008	Order Directing Disbursement of Fair Fund
34-56220	Aug. 8, 2007	Order Approving Distribution Plan
		Plan of Distribution
34-55665	Apr. 25, 2007	Notice of Proposed Distribution Plan and Opportunity for Comment
		Proposed Distribution Plan
34-53352	Feb. 23, 2006	Order Appointing Tax Administrator
33-8648 34-53019 IA-2467 IC-27198	Dec. 23, 2005	Order Establishing Fair Fund
33-8621 34-52545 IA-2437 IC-27108	Sep. 30, 2005	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Invesco Funds Group, Inc., AIM Advisors, Inc., and AIM Distributors, Inc.

File No. 3-11701

Release	Date	Notice, Order, or Plan
34-64472	May 11, 2011	Order Amending Distribution Plan and Directing Disbursement
34-62746	Aug. 19, 2010	Order Directing Disbursement
34-60292a	Nov. 20, 2009	Amended Order Directing Disbursement of Fair Fund
34-59929	May 14, 2009	Order Directing Disbursement of Fair Fund
34-57860	May 23, 2008	Order Approving Modified Distribution Plan
		Modified Distribution Plan (Invesco Funds Group, Inc.)
34-57859	May 23, 2008	Order Approving Modified Distribution Plan
		Modified Distribution Plan (AIM Advisors, Inc. and AIM Distributors, Inc.)
34-56877	Nov. 30, 2007	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 12/28/07)
34-56746	Nov. 5, 2007	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 11/30/07)
34-56745	Nov. 5, 2007	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 11/30/07)
34-56335	Aug. 29, 2007	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 11/5/07)
34-56333	Aug. 29, 2007	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (extended to 11/5/07)
34-56027	Jul. 6, 2007	Notice of Proposed Distribution Plan and Opportunity for Comment
		Proposed Distribution Plan
34-56025A	Jul. 6, 2007	Notice of Proposed Distribution Plan and Opportunity for Comment Comments received are available for this notice.
		Proposed Distribution Plan
34-53437	Mar. 7, 2006	Order Directing Appointment of Tax Administrator
34-50506 IA-2311 IC-26629	Oct. 8, 2004	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also:

Invesco Funds Group, Inc., AIM Advisors, Inc., and AIM Distributors, Inc. (Press Release No. 2009-124, Jun. 1, 2009)

Inviva, Inc. and Jefferson National Life Insurance Company

File No. 3-11579

Release	Date	Notice, Order, or Plan
34-62228	Jun. 4, 2010	Order Directing Disbursement of Fair Fund
34-61600	Feb. 26, 2010	Order Approving Plan, Appointing a Fund Administrator, and Waiving Bond
34-61210	Dec. 18, 2009	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-51341	Mar. 9, 2005	Order Directing Appointment of Tax Administrator
33-8456 34-50166 IC-26527	Aug. 9, 2004	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Jefferies & Co., Inc. and Scott Jones

File No. 3-12495

Release	Date	Notice, Order, or Plan
34-63510	Dec. 9, 2010	Order Supplementing Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
34-55592	Apr. 6, 2007	Order Appointing Tax Administrator
34-54861	Dec. 1, 2006	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also, Jefferies Settles SEC Charges Involving Illegal Gifts and Entertainment (Press Release No. 2006-198, December 4, 2006)

J.P. Morgan Securities Inc.

File No. 3-13673

Release	Date	Notice, Order, or Plan
34-63812	Feb. 1, 2011	Order Directing Disbursement of Fair Fund
34-63060	Oct. 7, 2010	Order Approving Distribution Plan and Appointing a Plan Administrator
		Final Plan of Distribution
34-62738	Aug. 18, 2010	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-61673	Jan. 19, 2010	Extension Order
33-9078	Nov. 4, 2009	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
33-9079	Nov. 4, 2009	Order Granting a Waiver
33-9080	Nov. 4, 2009	Order Granting Waivers

See also, J.P. Morgan Settles SEC Charges in Jefferson County, Ala. Illegal Payments Scheme (Press Release No. 2009-232, November 4, 2009)

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

File No. 3-15014

Release	Date	Notice, Order, or Plan
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.

Knight Securities L.P

File No. 3-11771

Release	Date	Notice, Order, or Plan
34-59512	Mar. 5, 2009	Order Directing Disbursement of Fair Fund
34-57222	Jan. 29, 2008	Order Directing Disbursement of Fair Fund and Approving an Amended Fair Fund Distribution Plan
		Amended Fair Fund Distribution Plan
34-55530	Mar. 26, 2007	Order Approving Distribution Plan and Appointment of an Administrator of the Distribution Fund
		Independent Distribution Consultant�s Fair Fund Distribution Plan
34-54939	Dec. 14, 2006	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan
34-54627	Oct. 19, 2006	Notice of Proposed Distribution Plan and Opportunity for Comment Comments received are available for this notice
		Independent Distribution Consultant�s Proposed Fair Fund Distribution Plan
34-52136	Jul. 27, 2005	Order Modifying Prior Order, Extending Period of Time Granted to the Independent Distribution Consultant to Submit Distribution Plan
34-51850	Jun. 14, 2005	Order Directing Appointment of Tax Administrator
34-50867	Dec. 16, 2004	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions

Thomas A. Kolbe

File No. 3-11618

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

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

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

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
34-65245	Sep. 1, 2011	Order Directing Disbursement of Distribution Fund
34-63240	Nov. 3, 2010	Order Modifying Distribution Plan and Directing Disbursement
34-59741	Apr. 9, 2009	Order Approving and Ratifying Prior Disbursement of Fair Fund
34-59048	Dec. 3, 2008	Order Directing Disbursement of Fair Fund
34-58412	Aug. 22, 2008	Order Directing Disbursement of Fair Fund
34-58320	Aug. 6, 2008	Order Directing Disbursement of Fair Fund
34-58090	Ju1. 2, 2008	Order Directing Disbursement of Fair Fund
34-57980	Jun. 17, 2008	Order Directing Disbursement of Fair Fund
34-57915	Jun. 4, 2008	Order Directing Disbursement of Fair Fund
34-57783	May 6, 2008	Order Directing Disbursement of Fair Fund
34-57687	Apr. 18, 2008	Order Directing Disbursement of Fair Fund
34-57396	Feb. 28, 2008	Order Directing Disbursement of Fair Fund
34-57276	Feb. 6, 2008	Order Directing Disbursement of Fair Fund
34-57117	Jan. 9, 2008	Order Directing Disbursement of Fair Fund
34-56922	Dec. 6, 2007	Order Directing Disbursement of Fair Fund
34-56743	Nov. 5, 2007	Order Directing Disbursement of Fair Fund
34-56527	Sep. 25, 2007	Revised Order Approving Modified Distribution Plan
34-56122	Jul. 24, 2007	Order Approving Modified Distribution Plan
		Plan of Distribution
34-55394	Mar. 2, 2007	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan
34-54744	Nov. 13, 2006	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan
34-54440A	Sep. 14, 2006	Notice of Proposed Distribution Plan and Opportunity for Comment Comments received are available for this notice
		Proposed Plan of Distribution
34-51829	Jun. 13, 2005	Order Directing Appointment of Tax Administrator and Establishing a Fair Fund
IA-2213 IC-26347	Feb. 5, 2004	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order; See also Dissent of Commissioner Glassman

See also, SEC Announces $31.5 Million Fair Fund Distribution to Investors Injured by Undisclosed Market Timing in MFS Funds (Press Release No. 2007-241, Nov. 20, 2007)

Millennium Partners, L.P., Millennium Management, L.L.C., Millennium International Management, L.L.C., Israel Englander, Terence Feeney, Fred Stone, and Kovan Pillai; and Steven B. Markovitz

File Nos. 3-12116 and 3-11292

Release	Date	Notice, Order, or Plan
34-67513	Jul. 26, 2012	Order Directing Disbursement of Fair Fund
34-63445	Dec. 6, 2010	Order Directing Disbursement of Fair Fund
34-62057	May 12, 2010	Corrected Order Directing Disbursement of Fair Fund
34-60593	Aug. 31, 2009	Order Directing Disbursement of Fair Fund
34-60056A	Jun. 5, 2009	Corrected Order Directing Disbursement of Fair Fund
34-56196	Aug. 3, 2007	Order Approving Distribution Plan, Appointing an Administrator, and Waiving Bond
34-55841	May 31, 2007	Notice of Proposed Distribution Plan and Opportunity for Comment Comments received are available for this notice.
		Proposed Plan of Distribution
34-54835	Nov. 29, 2006	Order Permitting Attorney to Resume Appearing and Practicing
33-8748 34-54586 IA-2561 IC-27513	Oct. 11, 2006	Order Making Findings and Imposing Disgorgement and Civil Penalties
34-53452	Mar. 8, 2006	Order Appointing Tax Administrator
33-8639 34-52863 IA-2453 IC-27172	Dec. 1, 2005	Order Instituting Administrative And Cease-and- Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
33-8298 34-48588 IA-2180 IC-26201	Oct. 2, 2003	Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions

See also, the following Press Releases:

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

Moon Capital Management

File No. 3-13197

Release	Date	Notice, Order, or Plan
34-58548	Sep. 15, 2008	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
34-65919	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. Incorporated

File No. 3-12907

Release	Date	Notice, Order, or Plan
34-61882	Apr. 9, 2010	Order Approving Plan and Appointing a Plan Administrator
		Final Plan of Distribution
34-61598	Feb. 26, 2010	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-57723 IC-28078	Apr. 28, 2008	Order Appointing Tax Administrator
34-56980 IC-28078	Dec. 18, 2007	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Paul W. Oliver, Jr.

File No. 3-13554

Note: this case has been consolidated with File No. 3-13553. Future materials will appear at the Mary Beth Stevens listing.

Release	Date	Notice, Order, or Plan
34-66039	Dec. 22, 2011	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
IA-2903 IC-28747	Jul. 17, 2009	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc.

File No. 3-14909

Release	Date	Notice, Order, or Plan
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

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
34-65936	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
34-65935	Dec. 9, 2011	Order Directing Disbursement of Fair Fund
34-64477	May 12, 2011	Order Directing Disbursement of Fair Fund
34-63518	Dec. 10, 2010	Order Approving Plan of Distribution, Appointing a Fund Administrator, and Waiving Bond
		Final Plan of Distribution
34-63059	Oct. 7, 2010	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-51341	Mar. 9, 2005	Order Directing Appointment of Tax Administrator
34-50354 IA-2292 IC-26594	Sep. 13, 2004	Order Instituting Administrative and Cease-and-Desist Proceedings Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Rose M. Rudden, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells

File No. 3-13532

Release	Date	Notice, Order, or Plan
34-66947	May 8, 2012	Order Approving and Ratifying Prior Disbursement
34-64081	Mar. 14, 2011	Order Approving Distribution Plan of a Fair Fund and Appointing a Fund Administrator
34-63813	Feb. 1, 2011	Notice of Proposed Modified Plan of Distribution and Opportunity for Comment
		Proposed Modified Plan of Distribution
34-63563	Dec. 16, 2010	Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells
34-62979	Sep. 23, 2010	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-62264	Jun. 10, 2010	Order Appointing Tax Administrator
33-9113 34-61719	Mar. 16, 2010	Order Making Findings and Imposing Remedial Sanctions as to Prime Capital Services, Inc. and Gilman Ciocia, Inc.
34-61079 IA-2957	Nov. 30, 2009	Order Making Findings and Imposing Remedial Sanctions as to Christie A. Andersen
33-9047 34-60190 IA-2898	Jun. 30, 2009	Order Instituting Administrative and Cease-and-Desist Proceedings
	Jun. 30, 2009	Order Instituting Administrative and Cease-and-Desist Proceedings

Prudential Equity Group, LLC f/k/a Prudential Securities Inc.

File No. 3-12400

Release	Date	Notice, Order, or Plan
34-64328	Apr. 22, 2011	Order Directing Disbursement of Distribution Fund
34-62848	Sep. 3, 2010	Order Directing Disbursement of Distribution Fund
34-62551	Jul. 22, 2010	Order Directing Disbursement of Distribution Fund
34-62265	Jun. 10, 2010	Order Directing Disbursement of Distribution Fund
34-61974	Apr. 23, 2010	Corrected Order Directing Disbursement of Distribution Fund
34-61691	Mar. 11, 2010	Corrected Order Directing Disbursement of Distribution Fund
34-61501	Feb. 4, 2010	Order Approving Distribution Plan, Appointing a Fund Administrator, and Waiving Bond
34-61117	Dec. 4, 2009	Notice of Proposed Distribution Plan and Opportunity For Comment
		Proposed Plan of Distribution
34-54470	Sep. 19, 2006	Order Appointing Tax Administrator
34-54371	Aug. 28, 2006	Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
33-8734 34-54372	Aug. 28, 2006	Order Granting Waivers
33-8733	Aug. 28, 2006	Order Granting a Waiver

Putnam Investment Management LLC

File No. 3-11317

Release	Date	Notice, Order, or Plan
34-67591	Aug. 2, 2012	Order Authorizing the Transfer of Residual Funds and Any Future Funds Received by the Fair Fund to the U.S. Treasury, Discharging the Fund Administrator, and Terminating the Fair Fund
34-65243A	Dec. 12, 2011	Amended Order Directing Disbursement of Fair Fund Residual
34-65243	Sep. 1, 2011	Order Directing Disbursement of Fair Fund Residual
34-64034	Mar. 4, 2011	Order Directing Disbursement of Fair Fund
34-63221	Nov. 1, 2010	Order Directing Disbursement of Fair Fund
34-61463	Feb. 2, 2010	Order Directing Disbursement of Fair Fund
34-61098	Dec. 2, 2009	Order Directing Disbursement of Fair Fund
34-60412	Jul. 31, 2009	Order Directing Disbursement of Fair Fund
34-59994	May 28, 2009	Order Directing Disbursement of Fair Fund
34-59447	Feb. 25, 2009	Order Directing Disbursement of Fair Fund
34-59041	Dec. 2, 2008	Order Directing Disbursement of Fair Fund
34-58369a	Aug. 15, 2008	Corrected Order Directing Disbursement of Fair Fund
34-56115	Jul. 20, 2007	Order Approving Modified Distribution Plans
		Plan of Distribution
34-55849	Jun. 1, 2007	Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan (to 7/16/07
34-55561	Mar. 30, 2007	Notice of Proposed Distribution Plan and Opportunity For Comment Comments received are available for this proposal.
		Proposed Plan of Distribution
34-51341	Mar. 9, 2005	Order Directing Appointment of Tax Administrator
34-50039	Jul. 20, 2004	Order Denying Motion to Vacate Administrative Orders
IA-2226 IC-26412	Apr. 8, 2004	Order Making Findings and Imposing Supplemental Remedial Sanctions
614	Apr. 7, 2004	Order
613	Mar. 26, 2004	Order
IA-2192 IC-26255	Nov. 13, 2003	Order Making Findings and Imposing Partial Relief, Including a Final Censure, Remedial Undertakings and a Cease and Desist Order
IA-2185	Oct. 28, 2003	In the Matter of Putnam Investment Management LLC

See also, SEC Announces Fair Fund Distribution to Harmed Investors in Putnam Mutual Funds (Press Release No. 2008-178, August 18, 2008)

Putnam Investment Management LLC

File No. 3-11868

Release	Date	Notice, Order, or Plan
34-53042	Dec. 29, 2005	Order Appointing Plan Administrator
34-53041	Dec. 29, 2005	Order Directing Appointment of Tax Administrator
IA-2425 IC-27062	Sep. 12, 2005	Order Approving a Plan of Distribution of a Fair Fund and Appointing a Plan Administrator
IA-2387 IC-26873	May 19, 2005	Notice of Proposed Plan for the Distribution of a Fair Fund and Opportunity for Comment
IA-2370 IC-26788	Mar. 23, 2005	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also, Mutual Fund Manager Putnam Pays $40 Million Fine to Settle SEC Enforcement Action (Press Release No. 2005-40, March 23, 2005)

RBC Capital Markets, LLC (formerly known as RBC Capital Markets Corp.)

File No. 3-14564

Release	Date	Notice, Order, or Plan
33-9262 34-65404 IA-3289	Sep. 27, 2011	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also, SEC Charges RBC Capital Markets in Sale of Unsuitable CDO Investments to Wisconsin School Districts (Press Release No. 2011-191, September 27, 2011)

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
34-68167	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)

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

Specialist

Bear Wagner Specialists LLC, File No. 3-11445
Fleet Specialist, Inc., File No. 3-11446
LaBranche & Co. LLC, File No. 3-11447
Spear, Leeds & Kellogg Specialists LLC, File No. 3-11448
Van der Moolen Specialists USA, LLC, File No. 3-11449
Performance Specialist Group LLC, File No. 3-11558
SIG Specialists, Inc., File No. 3-11559

See also the following Press Releases:

Distributions Begin to Victims of Improper Trading at NYSE Specialist Firms (Press Release 2006-120, July 19, 2006)
SEC Institues Enforcement Action Against 20 Former New York Stock Exchange Specialists Alleging Pervasive Course of Fraudulent Trading, (Press Release 2005-54, April 12, 2005)

Release	Date	Notice, Order, or Plan
34-67809	Sep. 10, 2012	Order Denying Request of Robert J. Peacock for "Review And Repeal" of Commission's Order of May 26, 2011
34-64553	May 26, 2011	Order Approving Transfer of Remaining Distribution Funds to the U.S. Treasury Note: See also the Dissent of Commissioner Paredes in this matter
34-61199A	Dec. 17, 2009	Corrected Order Approving a Distribution, Authorizing Disbursement of Funds, Modifying Prior Order, and Modifying Distribution Plan
34-60403	Jul. 30, 2009	Notice of Closing of the Distribution Funds and Opportunity for Comment as to Use of Remaining Funds Comments received are available for this proposal.
34-60402	Jul. 30, 2009	Order Approving Audit Reports, Announcing the Decision to Close the Distribution Funds Following a Final Distribution, Approving Publication of a Notice Seeking Comments on the Use of the Remaining Funds, Modifying Prior Order and Modifying Distribution Plan
34-58035	Jun. 26, 2008	Order Approving a Distribution, Authorizing Disbursement of Funds, Modifying Prior Order, and Modifying Distribution Plan
34-56944	Dec. 12, 2007	Order Approving a Distribution and Authorizing Disbursement of Funds
34-55915	Jun. 15, 2007	Order Approving a Distribution, Authorizing Disbursement of Funds, Modifying Prior Order, and Modifying Distribution Plan
34-54815	Nov. 24, 2006	Order Approving a Distribution and Authorizing Disbursement of Funds
34-54102	Jul. 5, 2006	Order Modifying Prior Order, Modifying Distribution Plan, Approving a Distribution, and Authorizing Disbursement of Funds
		Fund Administrator's Modified Fair Fund Distribution Plan
34-53823	May 17, 2006	Order Approving a Distribution Plan
34-53025	Dec. 27, 2005	Notice of Proposed Distribution Plan and Opportunity for Comment Comments received are available for this proposal.
		Fund Administrator's Proposed Fair Fund Distribution Plan
Order Authorizing Disbursement of Funds from Fair Fund to Pay Estimated Taxes
34-52443	Sep. 15, 2005	Bear Wagner Specialists LLC
34-52442	Sep. 15, 2005	Fleet Specialist, Inc.
34-52441	Sep. 15, 2005	LaBranche & Co. LLC
34-52440	Sep. 15, 2005	Performance Specialist Group LLC
34-52439	Sep. 15, 2005	Spear, Leeds & Kellogg Specialists LLC
34-52438	Sep. 15, 2005	SIG Specialists, Inc.
34-52437	Sep. 15, 2005	Van der Moolen Specialists, USA, LLC
Order Modifying Prior Orders, Extending Period of Time Granted to Heffler, Radetich & Saitta L.L.P. to Submit Plan Identifying Injured Customers
34-52233	Aug. 10, 2005	LaBranche & Co. LLC
34-52232	Aug. 10, 2005	SIG Specialists, Inc.
34-52231	Aug. 10, 2005	Performance Specialist Group LLC
34-52230	Aug. 10, 2005	Van der Moolen Specialists, USA, LLC
34-52229	Aug. 10, 2005	Spear, Leeds & Kellogg Specialists LLC
34-52228	Aug. 10, 2005	Bear Wagner Specialists LLC
34-52227	Aug. 10, 2005	Fleet Specialist, Inc.
Order Authorizing Disbursement of Funds from Fair Fund to Pay Estimated Taxes
34-51849	Jun. 14, 2005	SIG Specialists, Inc.
34-51848	Jun. 14, 2005	Performance Specialist Group LLC
34-51847	Jun. 14, 2005	Van der Moolen Specialists, USA, LLC
34-51846	Jun. 14, 2005	Spear, Leeds & Kellogg Specialists LLC
34-51845	Jun. 14, 2005	LaBranche & Co. LLC
34-51844	Jun. 14, 2005	Fleet Specialist, Inc.
34-51843	Jun. 14, 2005	Bear Wagner Specialists LLC
Order Authorizing Disbursement of Funds from Fair Fund to Pay Estimated Taxes
34-51557	Apr. 15, 2005	Van der Moolen Specialists, USA, LLC
34-51556	Apr. 15, 2005	Spear, Leeds & Kellogg Specialists LLC
34-51555	Apr. 15, 2005	SIG Specialists, Inc.
34-51554	Apr. 15, 2005	Performance Specialist Group LLC
34-51553	Apr. 15, 2005	LaBranche & Co. LLC
34-51552	Apr. 15, 2005	Fleet Specialist, Inc.
34-51551	Apr. 15, 2005	Bear Wagner Specialists LLC
Order Modifying Prior Order, Extending Period of Time Granted to Heffler, Radetich & Saitta L.L.P. to Submit Plan Identifying Injured Customers
34-51495	Apr. 6, 2005	Bear Wagner Specialists LLC
34-51494	Apr. 6, 2005	Fleet Specialist, Inc.
34-51493	Apr. 6, 2005	LaBranche & Co. LLC
34-51492	Apr. 6, 2005	Spear, Leeds & Kellogg Specialists LLC
34-51491	Apr. 6, 2005	Van der Moolen Specialists, USA, LLC
34-51490	Apr. 6, 2005	Performance Specialist Group LLC
34-51489	Apr. 6, 2005	SIG Specialists, Inc.
Order Supplementing Prior Order, Creating a Fair Fund, Appointing Heffler, Radetich & Saitta L.L.P. as Fund Administrator, and Directing the Transfer of Funds
34-50535	Oct. 13, 2004	Van der Moolen Specialists, USA, LLC
34-50534	Oct. 13, 2004	SIG Specialists, Inc.
34-50533	Oct. 13, 2004	Spear, Leeds & Kellogg Specialists LLC
34-50532	Oct. 13, 2004	Performance Specialist Group LLC
34-50531	Oct. 13, 2004	LaBranche & Co. LLC
34-50530	Oct. 13, 2004	Fleet Specialist, Inc.
34-50529	Oct. 13, 2004	Bear Wagner Specialists LLC
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
34-50076	Jul. 26, 2004	SIG Specialists, Inc.
34-50075	Jul. 26, 2004	Performance Specialist Group LLC
34-49502	Mar. 30, 2004	Van der Moolen Specialists, USA, LLC (Corrected Order)
34-49501	Mar. 30, 2004	Spear, Leeds & Kellogg Specialists LLC
34-49500	Mar. 30, 2004	LaBranche & Co. LLC
34-49499	Mar. 30, 2004	Fleet Specialist, Inc.
34-49498	Mar. 30, 2004	Bear Wagner Specialists LLC

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

File No. 3-14615

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

Mary Beth Stevens

File No. 3-13553

Release	Date	Notice, Order, or Plan
34-68732	Jan. 25, 2013	Order Directing Disbursement of Fair Fund
34-66468	Feb. 24, 2012	Order Approving Plan of Distribution and Appointing a Fund Administrator
		Final Plan of Distribution
34-66039	Dec. 22, 2011	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
IA-2973	Jan. 5, 2010	Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order
IA-2902	Jul. 17, 2009	Securities and Exchange Commission Institutes Administrative Proceedings Against Mary Beth Stevens
	Jul. 17, 2009	Order Instituting Administrative and Cease-and-Desist Proceedings

Strong Capital Management, Inc.

File No. 3-12448

Release	Date	Notice, Order, or Plan
34-66496	Mar. 1, 2012	Order Directing Disbursement of Fair Fund
34-65465	Oct. 3, 2011	Order Approving Plan of Distribution
34-65023	Aug. 3, 2011	Notice of Proposed Plan of Distribution and Opportunity for Comment
		Proposed Plan of Distribution
34-65022	Aug. 3, 2011	Order Appointing Fund Administrator and Waiving Bond Requirement
34-54639	Oct. 23, 2006	Order Appointing Tax Administrator
IA-2560 IC-27508	Sep. 29, 2006	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions

Strong Capital Management, Inc., Strong Investor Services, Inc., Strong Investments, Inc., Richard S. Strong, Thomas A. Hooker, Jr. and Anthony J. D'Amato

File No. 3-11498

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

Nancy C. Tengler

File No. 3-11727

Release	Date	Notice, Order, or Plan
34-51341	Mar. 9, 2005	Order Directing Appointment of Tax Administrator
IA-2318	Nov. 4, 2004	Order Instituting Adminstrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and Issuing a Cease-and-Desist Order

UBS Financial Services Inc. of Puerto Rico

File No. 3-14863

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

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

File No. 3-12372

Release	Date	Notice, Order, or Plan
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
34-67972	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

Wells Fargo Securities LLC (f/k/a Wachovia Capital Markets LLC)

File No. 3-14320

Release	Date	Notice, Order, or Plan
33-9201	Apr. 5, 2011	Order Granting Waivers as to Wells Fargo Securities and Its Affiliates
33-9200	Apr. 5, 2011	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

See also:

SEC Announces Securities Laws Violations by Wachovia Involving Mortgage-Backed Securities (Press Release No. 2011-83, April 5, 2011)

Zurich Capital Markets Inc.

File No. 3-12628

Release	Date	Notice, Order, or Plan
34-63420	Dec. 2, 2010	Order Directing Disbursement of Fair Fund
34-62217	Jun. 3, 2010	Order Approving Plan, Appointing a Fund Administrator, and Waiving Bond
		Final Plan of Distribution
34-61918	Apr. 15, 2010	Notice of Proposed Distribution Plan and Opportunity for Comment
		Proposed Plan of Distribution
34-56397	Sep. 12, 2007	Order Appointing Tax Administrator
34-55711 IC-27819	May 7, 2007	Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

http://www.sec.gov/litigation/fairfundlist.htm

Distributions in Commission Administrative Proceedings: Notices and Orders Pertaining to Disgorgement and Fair Funds

List of Cases

John W. Adams and AIP, LLC

Alliance Capital Management, L.P.

American Skandia Investment Services, Inc.

Ameriprise Financial Services, Inc.

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

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

AmSouth Bank, N.A. (now known as Regions Bank), and AmSouth Asset Management, Inc. (now known as Morgan Asset Management)

Ark Asset Management Co., Inc.

Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC

Bear, Stearns & Co., and Bear, Stearns Securities Corp.

BISYS Fund Services

BNY Mellon Securities LLC

Canadian Imperial Holdings Inc. and CIBC World Markets Corp.

John D. Carifa

Centaur Management Co. LLC

Paul George Chironis

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

Columbia Management Advisors, Inc. and Columbia Funds Distributor, Inc.

Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Network; Detwiler, Mitchell, Fenton & Graves, Inc.; James X. McCarty

Cornerstone Capital and Laura Jean Kent

Charles W. Crouse and Norman R. Hess

Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.), Credit Suisse Asset Management, LLC, and Samir H. Bhatt

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

David Henry Disraeli and Lifeplan Associates, Inc.

Evergreen Investment Management Company, LLC Evergreen Investment Services, Inc., Evergreen Service Company, LLC, and Wachovia Securities, LLC

Federated Investment Management Company, Federated Securities Corp. and Federated Shareholder Services Company

Fidelity National Capital Investors, Inc.

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

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

Freedom Financial, Inc., Freedom Track, Inc., Freedom Financial Group, Inc., Associated Investment Management, Inc., Jon Patrick Pierce, Gary L. Winn

Fremont Investment Advisors, Inc.

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

Grant Thornton, LLP; Doeren Mayhew & Co., P.C.; Peter M. Behrens, CPA; Marvin J. Morris, CPA and Benedict P. Rybicki, CPA

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

Heartland Advisors, Inc., William J. Nasgovitz, Paul T. Beste, Thomas J. Conlin, Greg D. Winston, Kevin D. Clark, Kenneth J. Della, and Hugh F. Denison

Hennessee Group LLC and Charles J. Gradante

Huntington Bancshares, Inc., Thomas E. Hoaglin, Michael J. McMennamin, and John Van Fleet, CPA

Huron Consulting Group Inc., Gary L. Burge, CPA, and Wayne F. Lipski, CPA

International Equity Advisors, LLC and Richard Roger Lund

Invesco Funds Group, Inc., AIM Advisors, Inc., and AIM Distributors, Inc.

Inviva, Inc. and Jefferson National Life Insurance Company

Jefferies & Co., Inc. and Scott Jones

J.P. Morgan Securities Inc.

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

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

Knight Securities L.P

Thomas A. Kolbe

Michael J. Laughlin

Michael D. Legoski

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

Gerald T. Malone

Massachusetts Financial Services Co.

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

Millennium Partners, L.P., Millennium Management, L.L.C., Millennium International Management, L.L.C., Israel Englander, Terence Feeney, Fred Stone, and Kovan Pillai; and Steven B. Markovitz

Timothy J. Miller

MMR Investment Bankers, LLC (d/b/a MMR, INC.), William G. Martin, Jr., Eugene R. Rankin, John A. Hubert, and Aaron D. Fimreite

Moon Capital Management

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

Morgan Stanley & Co. Incorporated

Paul W. Oliver, Jr.

Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc.

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

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

Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Rose M. Rudden, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells

Prudential Equity Group, LLC f/k/a Prudential Securities Inc.

Putnam Investment Management LLC

Putnam Investment Management LLC

RBC Capital Markets, LLC (formerly known as RBC Capital Markets Corp.)

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

J. Michael Scarborough and Royal Alliance Associates, Inc.

Mark Shaw

Smith Barney Fund Management LLC and Citigroup Global Markets, Inc.

Southwest Securities, Inc., Daniel R. Leland, Kerry M. Rigdon and Kevin J. Marsh

Specialist

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

Mary Beth Stevens

Strong Capital Management, Inc.

Strong Capital Management, Inc., Strong Investor Services, Inc., Strong Investments, Inc., Richard S. Strong, Thomas A. Hooker, Jr. and Anthony J. D'Amato

Distributions in Commission Administrative Proceedings:
Notices and Orders Pertaining to Disgorgement and Fair Funds