Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-cand-3_11-cv-00136/USCOURTS-cand-3_11-cv-00136-14/pdf.json

Nature of Suit Code: 850
Nature of Suit: Securities, Commodities, Exchange
Cause of Action: 15:77 Securities Fraud

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STATES DISTRICT COURT 

NORTHERN DISTRICT OF CALIFORNIA 

SAN FRANCISCO DIVISION 

3 SECURITIES AND EXCHANGE COMMISSION, Case No. CV-11-00136 WHA 

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Plaintiff, 

vs. 

CHARLES SCHWAB INVESTMENT 

7 MANAGEMENT, CHARLES SCHWAB & CO., 

INC., AND SCHWAB INVESTMENTS, 

STIPULATION AND !PROPOSED] 

AMENDED ORDER APPROVING 

THE FINAL ACCOUNTING, 

TRANSFERRING FUNDS TO THE 

SECURITIES AND EXCHANGE 

COMMISSION, DISCHARGING 

THE DISTRIBVITON AGENT, AND 

TERMINATING THE 

DISTRIBUTION FUND 

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Defendants. 

WHEREAS, on October 11,2016, the Court, approved the Securities and Exchange 

Commission's ("Commission") Order Approving the Final Accounting, Transfen·ing Funds to 

the United States Treasury, Discharging the Distribution Agent, and Terminating the 

Distribution Fund ("Order") (Dkt. 94); 

WHEREAS, it was deemed further clarification ofthe Order is needed; 

THE PARTIES HEREBY STIPULATE AND AGREE, subject to the Court's approval, 

that the Order is amended to the following: 

I. 

2. 

The final accounting is approved; 

The Court shall transfer the remaining funds in the Court Registry Investment 

System account number 11-cv-00136, under the case name designation "SEC v. Charles 

Schwab Investment Management, eta/." in the amount of $39.96 plus accrued earned interest to 

the Commission c/o Enterprise Services Center, Accounts Receivable Branch, 6500 South 

MacArthur Blvd, HQ Bldg., Room 181, AMZ-341, Oklahoma City, OK 73169; 

3. The Commission is authorized to transfer all remaining funds, and any future 

funds that may be received, in this matter to the United States Treasury once the remaining tax 

obligations are paid; and, 

1 

PROPOSED AMENDED ORDER APPROVING PINAL ACCOUNTING 

(I I-OOI36 WHA) 

Case 3:11-cv-00136-WHA Document 96 Filed 12/05/16 Page 1 of 2
Upon transfer of the remaining funds to the United States Treasury, the 

2 Distribution Agent is discharged and the Distribution Fund is terminated. 

3 IT IS SO STIPULATED. 

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Dated: November 18,2016 

UNITED STATES SECURITIES AND EXCHANGE 

COMMISSION 

By: Is/ David J. Gottesman 

DAVID J. GOTTESMAN 

FRED BLOCK 

MELISSA HODGMAN 

CHARLES SCHWAB INVESTMENT 

MANAGEMENT, CHARLES SCHWAB & CO., 

INC., AND SCHWAB INVESTMENTS 

By: (~;-;55iAAJ(t!J.--. 7 

PURSUANT TO STIPULATION, IT IS SO ORDERED. 

Dated: 

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The Honorable William Alsup 

United States District Judge 

PROPOSED AMENDED ORDER APPROVING FINAL ACCOUNTING 

(1 I-OOI36 WIIA) 

Case 3:11-cv-00136-WHA Document 96 Filed 12/05/16 Page 2 of 2