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# Other

# SEC v. Zenger Case No. 14-cv-00065-BSJ (D. Utah)

                            Oct. 14, 2022                       

On January 31, 2014, the SEC filed a complaint against Michael P. Zenger (“Defendant”).  The complaint alleged that, from June 2013 through the filing of the complaint, the Defendant solicited at least $200,000.00 from two investors for the purpose of raising capital to trade futures contracts, commodities, and government securities, of which he misappropriated approximately $100,000.00 of those funds for his own personal expenses. See Complaint.

The Defendant was ordered to pay a total of $124,362.92 in disgorgement and prejudgment interest. The SEC was ordered to hold these funds (the “Fund”), pending further order of the Court. The Defendant was also ordered to pay a $60,000.00 civil penalty, which was ordered to be sent to the United States Treasury. See Defendant’s Final Judgment.

The Defendant has paid a total of $124,362.92 into the Fund for the distribution to the two harmed investors.

On August 24, 2017, the Court entered an order establishing a Fair Fund for the monies paid and appointed, Miller Kaplan Arase LLP, as the Tax Administrator of the Fair Fund. See the Court's Order.

On March 12, 2018, the Court entered an order appointing, Adriene Mixon, a Commission employee, as the Distribution Agent of the Fair Fund and approved a distribution plan (the "Plan"). See the Court's Order and the Plan.

The Plan provides for the distribution of the Fair Fund to certain investors who were harmed by the improper conduct alleged in the Commission's underlying lawsuit. 

On April 10, 2018, the Court entered an order directing disbursement of $21,714.73 to eligible investors in accordance with the Plan. See the Court's Order.

For more information, please contact the Distribution Agent:

Adriene MixonSecurities and Exchange CommissionOffice of DistributionsEmail: mixona@sec.gov

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