Company: EUO
Filing Date: 2025-03-28
Form Type: 424B3
Source: 0001193125-25-065647
Chunk: 224

Company: ProShares Trust II
Filing Date: 2025-03-28
Form: 424B3
Chunk 224
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., Federal Home Loan Bank (FHLB), Federal Home Loan Mortgage Corporation (Freddie Mac), and Federal National Mortgage Association (Fannie Mae). In June 2020, a global class action settlement involving multiple banks, including SGAS, was finally approved by the court. State of Louisiana v. Bank of America, N.A., et al.; City of Baton Rouge v. Bank of America, N.A., et al; Louisiana Asset Management Pool v. Bank of America Corporation, et al and City of New Orleans, et al v. Bank of America Corporation et al. were pending individual lawsuits containing similar allegations, and have been settled. The cases are now over. • SGAS was also named in purported class and individual actions in connection with its role in underwriting various debt and equity securities offerings. Recent matters related to the offerings of Southwestern Energy and Altice USA. Claims in all these cases were asserted under the Securities Act of 1933 and/or state law against SGAS in its role as a member of the underwriting syndicate and were based upon purported misstatements or omissions by the issuers in the offering documents. • SGAS has been named in a litigation filed by Bermuda-based hedge fund Harrington Global Opportunity Fund, Limited, which alleges a market manipulation scheme involving spoofing and abusive naked short selling that caused Harrington to incur losses in connection with its sale of approximately 9 million shares of Concordia International Corp. stock on Canadian and U.S. exchanges in 2016. Claims against the SG defendants, including SGAS, have been dismissed but are subject to potential appeal. Included by the Sponsor from the NFA Website and/or the SEC Website, and not provided by SGAS

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DQA-24-1472 During the period of January 1, 2024 through March 31, 2024, SG Americas Securities, LLC violated Rule 576 by failing to maintain current and accurate information in the Exchange Fee System. On September 18, 2024, SG Americas Securities, LLC., pursuant to Rule 512 (“Reporting Infractions”), was issued a $6,000 fine. CFTC Case #: 23-35. The Commodity Futures Trading Commission today issued orders simultaneously filing and settling charges against swap dealer and futures commission merchant (FCM) affiliates of four financial institutions for failing to maintain, preserve, or produce records that were required to be kept under CFTC recordkeeping requirements, and failing to diligently supervise matters related to their businesses as CFT