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# Other

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

                            June 7, 2021                       

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. 34-94845 (May 4, 2022).

See also Archive of Terminated Fair Funds and Disgorgement Plans.

## List of Cases

                                - Advanced Emissions Solutions, Inc.  (3-17892)
                                - Alexander Capital, L.P.  (3-18561)
                                - Alexander S. Gould  (3-19965)
                                - Allianz Global Investors U.S. LLC  (3-20855)
                                - Ameriprise Financial, Inc. (formerly American Express Financial Corporation)  (3-12114)
                                - Anastasios P. "Tommy" Belesis  (3-18088)
                                - Aon Investments USA Inc. Fka Aon Hewitt Investment Consulting, Inc.  (3-21837)
                                - Anthony Coronati and Bidtoask LLC  (3-16203)
                                - Augustine Capital Management, LLC, (f/k/a Augustine Capital Management, Inc.) et al.  (3-17740)
                                - Bankrate, Inc. and Hyunjin Lerner, CPA  (3-16786; 3-16787)
                                - Barclays PLC and Barclays Bank PLC  (3-21181)
                                - Bayerische Motoren Werke Aktiengesellschaft, BMW of North America, LLC and BMW US Capital, LLC  (3-20060)
                                - Baxter International Inc., Jeffrey Schaible, and Scott Bohaboy  (3-20781, 3-20782, and 3-20783)
                                - Bethany Liou  (3-19597)
                                - BitClave PTE, Ltd.  (3-19816)
                                - BKS Advisors, LLC and Roger T. Denha  (3-18648; 3-18649)
                                - Blockchain Credit Partners d/b/a DeFi Money Market, Gregory Keough, and Derek Acree  (3-20453)
                                - BlueCrest Capital Management Limited  (3-20162)
                                - The Boeing Company (3-21140) and Dennis A. Muilenburg (3-21141)
                                - Brooge Energy Limited, Nicolaas Lammert Paardenkooper, and Lina Saheb (3-21816)
                                - Centaur Management Co. LLC  (3-14950). 3-21816
                                - Centaurus Financial, Inc., Ricky A. Mantei, and Atul Makharia  (3-21295)
                                - Charles L. Rizzo and Gina M. Hornbogen  (3-14641)
                                - Charles W. Crouse and Norman R. Hess  (3-11515)
                                - Chatham Asset Management, LLC and Anthony Melchiorre  (3-21355)
                                - CIHC, Inc., Conseco Services, LLC, and Conseco Equity Sales, Inc.  (3-11578)
                                - Citigroup Alternative Investments LLC and Citigroup Global Markets Inc.  (3-16757)
                                - Citigroup Global Markets, Inc. and Morgan Stanley Smith Barney LLC  (3-17808 and 3-17809)
                                - Claire P. Shaughnessy (3-21836)
                                - Clayborne Group, LLC and Dean A. Heinemann  (3-18423)
                                - Columbia Management Advisors, Inc. and Columbia Funds Distributor, Inc.  (3-11814)
                                - Computer Sciences Corporation, Michael Laphen, Michael Mancuso,  	(3-16575)
                                - Wayne Banks, Claus Zilmer, and Paul Wakefield
                                - Compass Minerals International, Inc. 
                                - Comscore, Inc. and Serge Matta  (3-19499 and 3-19500)
                                - Cornerstone Capital and Laura Jean Kent  (3-13199)
                                - Covia Holdings Corp. and Fairmount Santrol Holdings Inc. Now Known as Bison Merger Sub I, LLC  (3-20163)
                                - Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.), Credit Suisse Asset Management, LLC, and Samir H. Bhatt  (3-14594)
                                - Crews & Associates, Inc.  (3-20480)
                                - "
                                - Daniel Investments Associates, LLC and Gregory D. Van Wyk  (3-20211)
                                - David F. Bandimere  (3-15124)
                                - Derik J. Todd, et al.  (3-17672)
                                - DeVere USA, Inc.  (3-18527)
                                - Eagle Bancorp, Inc.  (3-20963)
                                - Exchange Traded Managers Group LLC, et al.  (3-20963)
                                - Exelon Corporation and Commonwealth Edison Company  (3-21761)
                                - EZTD, Inc.  (3-17673)
                                - FCA US LLC and Fiat Chrysler Automobiles N.V.  (3-19541)
                                - Fiat Chrysler Automobiles N.V.  (3-20092)
                                - Fidelity National Capital Investors, Inc.  (3-11514)
                                - Fieldman Rolapp & Associates, Inc. and Anna Sarabian (3-21717)
                                - Fieldstone Financial Management Group, LLC and Kristofor R. Behn  (3-19227)
                                - Fifth Street Management, LLC  (3-18909)
                                - Fifth Third Bancorp and Daniel Poston  (3-15635)
                                - First Southwest Company, LLC  (3-17154)
                                - Fluor Corporation, Jon Eric Best, James F. Brittain, Robin K. Chopra, CA, Bradley R. Scott, Kent N. Smith  (3-21610, 3-21612, 3-21613, 3-21614, 3-21615, and 3-21616)
                                - Focus Media Holding Limited and Jason Jiang  (3-16852)
                                - Fortress Investment Management, LLC, and William M. Malloy, III  (3-19715)
                                - Foundations Asset Management, LLC, Michael W. Shamburger, and Rob E. Wedel  (3-19266)
                                - Frontier Wealth Management, LLC and Shawn Sokolosky   (3-20526)
                                - Geluk Capital Management Ltd and Douglas Gerald Fathers  (3-20906)
                                - Gemini Fund Services, LLC  (3-18348)
                                - General Electric Company  (3-20165)
                                - George B. Franz III and Ruby Corporation  (3-15526)
                                - GMB Capital Management LLC; GMB Capital Partners LLC; Gabriel Bitran and Marco Bitran  (3-14854)
                                - Gregg C. Lorenzo, Francis V. Lorenzo, and Charles Vista, LLC  (3-15211)
                                - G-Trade Services LLC, ConvergEx Global Markets Limited, and ConvergEx Execution Solutions LLC  (3-15654)
                                - GTV Media Group, Inc., Saraca Media Group, Inc. and Voice of Guo Media, Inc.  (3-20537)
                                - Haidar Capital Management, LLC, Haidar Capital Advisors, LLC, and Said N. Haidar  (3-12678)
                                - HCR Wealth Advisors  (3-19494)
                                - Health Insurance Innovations, Inc., now named Benefytt Technologies, Inc., and Gavin D. Southwell  (3-20932)
                                - Houston American Energy Corp., John F. Terwilliger, Jr., Undiscovered Equities Inc., and Kevin T. McKnight  (3-16000)
                                - Howard Richards; James Goodland, and Securus Wealth Management, LLC   (3-16877; 3-16878)
                                - IFS Securities  (3-19220)
                                - Impact Theory, LLC   (3-21585)
                                - Institutional Investors Advisory Company  (3-18114)
                                - Jeremy A. Licht d/b/a JL Capital Management  (3-18171)
                                - John Paul Harnish d/b/a KM Advisory Services   (3-20882)
                                - JPMorgan Chase & Co.  (3-15507)
                                - JP Turner & Company, LLC, and William L. Mello  (3-15014)
                                - J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. Cube, Mayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, Michael B. Scott  (3-10765)
                                - Kahn Brothers Advisors, LLC and Thomas Kahn  (3-20880)
                                - Kathryn Jane Meredith d/b/a KM Advisory Services   (3-20881)
                                - Keith MacDonald Summers  (3-16014)
                                - Kendall J. Groom, CPA  (3-19301)
                                - KPMG LLP and John Riordan, CPA  (3-16729)
                                - The Kraft Heinz Co. and Eduardo Pelleissone  (3-20523)
                                - Kroll Bond Rating Agency, LLC  (3-20097)
                                - Laurence I. Balter d/b/a Oracle Investment Research  (3-17614)
                                - Leonardo Cornide and Jorge Falcon  (3-19511)
                                - Linkbrokers Derivatives LLC and Aaron Nowak  (3-16017; 3-16999)
                                - Logitech International, S.A., Michael Doktorczyk, and Sherralyn Bolles, CPA  (3-17212)
                                - Lovelock & Lewes, Price Waterhouse, Bangalore, Price Waterhouse & Co., Bangalore, Price Waterhouse, Calcutta, and Price Waterhouse & Co., Calcutta  (3-14321)
                                - LPL Financial LLC  (3-20612)
                                - MagnaChip Semiconductor Corporation and Margaret Hye-Ryoung Sakai, CPA   (3-17956)
                                - Mancera, S.C., Alejandro Valdez Mendoza, C.P., and Angel Radames Corral Nieblas, C.P.  (3-20173)
                                - Mark Grahm, Blue Capital., et al.  (3-18724)
                                - Mergenet Medical, Inc., Bruce Matthew Sher, Shara Anne Hernandez, and Peter Anthony DeCicco, Jr.  (3-18253)
                                - Michael S. Wilson, CPA and Cotterman-Wilson, CPAs, Inc.; James T. Budden and Alexander W. Budden  (3-16652; 3-16892)
                                - MiddleCove Capital, LLC, and Noah L. Myers  (3-14993)
                                - Miller Energy Resources, Inc., Paul W. Boyd, CPA, David M. Hall, And Carlton W Vogt, Iii, CPA  (3-18110)
                                - 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)
                                - Momentus, Inc., et al.  (3-20393)
                                - Morgan Stanley, Co. LLC; Morgan Stanley ABS Capital I Inc.; and Morgan Stanley Mortgage Capital Holdings LLC  (3-15982)
                                - Morgan Stanley Smith Barney LLC  (3-19793)
                                - MVP Manager LLC  (3-19334)
                                - Newell Brands Inc. and Michael B. Polk  (3-21766)
                                - Nikola Corporation  (3-20687)
                                - North East Capital, LLC and Anthony T. Vicidomine  (3-15429)
                                - Northern Trust Hedge Fund Services LLC and Northern Trust Global Fund Services Cayman Limited  (3-20030)
                                - Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc.  (3-14909)
                                - Orthofix International N.V.; Jeffrey Hammel, CPA; Brian McCollum; Kenneth Mack and Bryan McMillan  (3-17791, 3-17792, 3-17793, 3-17794)
                                - Oxford Investment Partners, LLC and Walter J. Clarke  (3-14899)
                                - Paragon Coin, Inc.  (3-18897)
                                - Pennant Management, Inc.  (3-18884)
                                - Peter Kuperman and QED Benchmark Management LLC  (3-17075)
                                - Petróleo Brasileiro S.A. - Petrobras  (3-18843)
                                - Poloniex, LLC.   (3-20455)
                                - Prime Group Holdings, LLC  (3-21602)
                                - Quantek Asset Management, LLC, et al.  (3-14893)
                                - Quantstamp, Inc.  (3-21535)
                                - Raymond Allan Fine and David Taylor  (3-20087 and 3-20088)
                                - Reliance Financial Advisors, LLC   (3-16311)
                                - Resolute Capital Partners LTD, LLC, Homebound Resources, LLC, Thomas J. Powell, and Stefan T. Toth  (3-20597)
                                - Richard Keith Robertson and IFP Advisors, LLC  (3-20954 and 3-20955)
                                - Robinhood Financial, LLC   (3-20171)
                                - Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr.  (3-17315)
                                - S&P Dow Jones Indices LLC  (3-20310)
                                - Salomon Whitney LLC  (3-21762)
                                - Sandra Dyche  (3-16398)
                                - Scott A. Doak  (3-16941)
                                - Scott Eugene Bachman  (3-20089)
                                - Scott T. Wolfrum and Tyler C. Sadek  (3-20252 and 3-20253)
                                - Securities America Advisors  (3-20150)
                                - Securities America Advisors  (3-20381)
                                - ShipChain, Inc  (3-20185)
                                - Sica Wealth Management, LLC and Jeffrey C. Sica  (3-19716)
                                - Signator Investors, Inc. and Gregory J. Mitchell; Cory D. Williams  (3-16753 and 3-16754)
                                - Six Financial Inc.  (3-18234)
                                - Sparkster, Ltd. and Sajjad Daya (3-21103)
                                - Steven Durrelle Williams  (3-16246)
                                - Stoner Cats 2, LLC  (3-21655)
                                - Strong Capital Management, Inc., Strong Investor Services, Inc., Strong Investments, Inc., Richard S. Strong, Thomas A. Hooker, Jr. and Anthony J. D'Amato  (3-11498)
                                - Success Trade, Inc., Success Trade Securities, Inc., and Fuad Ahmed  (3-16755)
                                - Super Micro Computer, Inc. and Howard Hideshima  (3-19927, 3-19928)
                                - Surgalign Holdings, Inc. and Robert P. Jordheim  (3-20945)
                                - Train and Babcock Advisors LLC  (3-18324)
                                - Trinity Capital Corporation and William C. Enloe  (3-16837, 3-16838)
                                - UBS Financial Services Inc. of Puerto Rico and Ramiro L. Colon, III  (3-16846, 3-16847)
                                - Unikrn, Inc.  (3-20003)
                                - Valeant Pharmaceuticals International, Inc. n/k/a Bausch Health Companies Inc., J. Michael Pearson, Howard B. Schiller, Tanya R. Carro, CPA  (3-19899, 3-19900, 3-19901, 3-19902)
                                - VEREIT, Inc.  (3-19831)
                                - Visium Asset Management, LP  (3-18473)
                                - Weatherford International PLC, et al. and Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA  (3-17582, 3-17628)
                                - Wells Fargo & Company  (3-19704)
                                - Wendan Bao, Shuo Gu, LendingCar Corp., And H7 Credit, LLC  (3-20452)
                                - William B. Fretz, Jr., John P. Freeman, Covenant Capital Management Partners, L.P., and Covenant Partners, L.P.  (3-16829)
                                - William D. King, CPA  (3-19991)
                                - Wilmington Trust Corporation  (3-16098)
                                - Wireline, Inc.  (3-20206)

----

### Augustine Capital Management, LLC, (f/k/a Augustine Capital Management, Inc.), et al.

File No. 3-17740

----

Order Setting Administrator's Bond Amount

Order Appointing Fund Administrator and Setting Bond Amount

Order Appointing Tax Administrator

Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order

----

### BKS Advisors, LLC and Roger T. Denha

File Nos. 3-18648 and 3-18649

----

### Blockchain Credit Partners d/b/a DeFi Money Market, Gregory Keough, and Derek Acree

File Nos. 3-20453

----

### BlueCrest Capital Management Limited

File No. 3-20162

### Citigroup Global Markets, Inc. and Morgan Stanley Smith Barney LLC

File Nos. 3-17808 and 3-17809

----

### Claire P. Shaughnessy

File No. 3-21836

----

### Clayborne Group, LLC and Dean A. Heinemann

File No. 3-18423

----

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

File No. 3-11814

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

----

Proposed Distribution Plan

Second Extension Order

Order Appointing Fund Administrator and Setting Administrator’s Bond Amount

Order Appointing Tax Administrator

Extension Order

Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order

----

Order Granting Extension of Time to Submit Proposed Plan of Distribution

Order Granting Extension of Time to Submit Proposed Plan of Distribution

Order Granting Extension of Time to Submit Proposed Plan of Distribution

Order Granting Extension of Time to Submit Proposed Plan of Distribution

Order Granting Extension of Time to Submit Proposed Plan of Distribution

Order Granting Extension of Time to Submit Proposed Plan of Distribution

Order Granting Extension of Time to Submit Proposed Plan of Distribution

Order Granting Extension of Time to Submit Proposed Plan of Distribution

Order Appointing Tax Administrator

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:
                                - Citigroup to Pay $285 Million to Settle SEC Charges for Misleading Investors About CDO Tied to Housing Market  (Press Release No. 2011-214, October 21, 2011)

----

### Derik J. Todd, et al.

File No. 3-17672

----

Notice of Proposed Plan of Distribution and Opportunity for Comment

- Submit Comments on 3-20963

Proposed Plan of Distribution

Order Appointing Fund Administrator, Setting Administrator's Bond Amount, and Authorizing Payment of Fees and Expenses

Second Extension Order

Order Appointing Tax Administrator

Extension Order

Order Instituting Cease-and-Desist Proceedings, Pursuant To Section 8a of The Securities Act of 1933 And Section 21c of The Securities Exchange Act of 1934, Making Findings, And Imposing a Cease-and-Desist Order

### Exchange Traded Managers Group LLC, et al.

File No. 3-21542

----

### Exelon Corporation and Commonwealth Edison Company

File No. 3-21761

----

### EZTD, Inc.

File No. 3-17673

----

Proposed Distribution Plan

Order Appointing Tax Administrator

Order Appointing Fund Administrator and Setting Bond Amount

Extension Order

Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order

----

### Fiat Chrysler Automobiles N.V.

File No. 3-20092

----

### Fidelity National Capital Investors, Inc.

File No. 3-11514

----

### Fieldman Rolapp & Associates, Inc. and Anna Sarabian

File No. 3-21717

----

### Fieldstone Financial Management Group, LLC and Kristofor R. Behn

File No. 3-19227

----

### Fifth Street Management, LLC

File No. 3-18909

----

### Fifth Third Bancorp and Daniel Poston

File No. 3-15635

----

### First Southwest Company, LLC

File No. 3-17154

----

### 

### Fluor Corporation, Jon Eric Best, James F. Brittain, Robin K. Chopra, CA, Bradley R. Scott, Kent N. Smith

File Nos. 3-21610, 3-21612, 3-21613, 3-21614, 3-21615, and 3-21616

----

### Focus Media Holding Limited and Jason Jiang

File No. 3-16852

----

### Fortress Investment Management, LLC, and William M. Malloy, III

File No. 3-19715

### Foundations Asset Management, LLC, Michael W. Shamburger, and Rob E. Wedel

File No. 3-19266

### Frontier Wealth Management, LLC and Shawn Sokolosky

File No. 3-20526

----

Proposed Distribution Plan

Order Appointing Fund Administrator and Setting Administrator Bond Amount

Second Extension Order

Order Appointing Tax Administrator

Extension Order

Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

----

### George B. Franz III and Ruby Corporation

File No. 3-15526

----

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

File No. 3-14854

----

### Gregg C. Lorenzo, Francis V. Lorenzo, and Charles Vista, LLC

File No. 3-15211

----

### G-Trade Services LLC, ConvergEx Global Markets Limited, and ConvergEx Execution Solutions LLC

File No. 3-15654

----

### GTV Media Group, Inc., Saraca Media Group, Inc. and Voice of Guo Media, Inc.

File No. 3-20537

----

Proposed Plan of Distribution 

Order Appointing Fund Administrator and Waiving Bond

Order Appointing Tax Administrator

Third Extension Order

Second Extension Order

Extension Order

Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(E), 203(F) and 203(K) of The Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order(James Goodland, and Securus Wealth Management, LLC)

Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant To Sections 15(B) and 21c of the Secutrities Exchange Act of 1934, Sections 203(F) and 203(K) of the Investment Advisers Act of 1940, and Section 9(B) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Howard Richards)

----

Extension Order

Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount

Order Establishing a Fair Fund

Extension Order

Order Appointing Tax Administrator

Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order

----

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

File No. 3-15014

----

### 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

----

### Kahn Brothers Advisors, LLC and Thomas Kahn

File No. 3-20880

----

### Kathryn Jane Meredith d/b/a KM Advisory Services

File No. 3-20881

----

### Keith MacDonald Summers

File No. 3-16014

----

### Kendall J. Groom, CPA

File No. 3-19301

----

### KPMG LLP and John Riordan, CPA

File No. 3-16729

----

### The Kraft Heinz Co. and Eduardo Pelleissone

File No. 3-20523

----

### Kroll Bond Rating Agency, LLC

File No. 3-20097

----

Second Extension Order

Extension Order

Order Appointing Fund Administrator and Setting Bond Amount

Order Appointing Tax Administrator

Order Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order

----

### Leonardo Cornide and Jorge Falcon

File No. 3-19511

----

### Linkbrokers Derivatives LLC and Aaron Nowak

File Nos. 3-16017 and 3-16999

----

### Logitech International, S.A., Michael Doktorczyk, and Sherralyn Bolles, CPA

File No. 3-17212

----

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

File No. 3-14321

----

### LPL Financial LLC

File No. 3-20612

----

Proposed Distribution Plan

Order Appointing Tax Administrator

Order Making Findings and Imposing Remedial Sancations and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940

----

### Miller Energy Resources, Inc., Paul W. Boyd, CPA, David M. Hall, And Carlton W Vogt, Iii, CPA

File No. 3-18110

----

### 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

----

### Momentus, Inc., et al.

File No. 3-20393

----

### Morgan Stanley, Co. LLC; Morgan Stanley ABS Capital I Inc.; and Morgan Stanley Mortgage Capital Holdings LLC

File No. 3-15982

----

### Morgan Stanley Smith Barney LLC

File No. 3-19793

----

### MVP Manager LLC

File No. 3-19334

----

### Newell Brands Inc. and Michael B. Polk

File No. 3-21766

----

### Nikola Corporation

File No. 3-20687

----

### North East Capital, LLC and Anthony T. Vicidomine

File No. 3-15429

----

### Northern Trust Hedge Fund Services LLC and Northern Trust Global Fund Services Cayman Limited

File No. 3-20030

----

### Quantstamp, Inc.

File No. 3-21535

----

### Raymond Allan Fine and David Taylor

File No. 3-20087 and 3-20088

----

### Reliance Financial Advisors, LLC

File No, 3-16311

----

### Resolute Capital Partners LTD, LLC, Homebound Resources, LLC, Thomas J. Powell, and Stefan T. Toth

File No, 3-20597

----

### Richard Keith Robertson and IFP Advisors, LLC

File No, 3-20954 and 3-20955

----

### Robinhood Financial, LLC

File No, 3-20171

----

### Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr.

File No. 3-17315

----

Proposed Distribution Plan

Order Appointing Fund Administrator and Setting Administrator's Bond Amount

Extension Order

Order Appointing Tax Administrator

Order Instituting Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing a Cease-and-Desist Order

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### Salomon Whitney LLC

File No. 3-21762

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### Sandra Dyche

File No. 3-16398

### Scott Doak

File No. 3-16941

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### Scott Eugene Bachman

File No. 3-20089

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### Scott T. Wolfrum and Tyler C. Sadek

File Nos. 3-20252 and 3-20253

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### Securities America Advisors

File No. 3-20150

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### Securities America Advisors

File No. 3-20381

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### ShipChain, Inc

File No. 3-20185

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### Sica Wealth Management, LLC and Jeffrey C. Sica

File No. 3-19716

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### Signator Investors, Inc. and Gregory J. Mitchell; Cory D. Williams

File No. 3-16753 and 3-16754

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### Six Financial Information Inc.

File No. 3-18234

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### Sparkster, Ltd. and Sajjad Daya

File No. 3-21103

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### Steven Durrelle Williams

File No. 3-16246

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### Stoner Cats 2, LLC

File No. 3-21655

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### 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

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### Success Trade, Inc., Success Trade Securities, Inc., and Fuad Ahmed

File No. 3-16755

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### Super Micro Computer, Inc., Howard Hideshima

File Nos. 3-19927, 3-19928

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### Surgalign Holdings, Inc. and Robert P. Jordheim

File Nos. 3-20945

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### Train and Babcock Advisors LLC

File No. 3-18324

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### Trinity Capital Corporation and William C. Enloe

File Nos. 3-16837, 3-16838

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### UBS Financial Services Inc. of Puerto Rico and Ramiro L. Colon, III

File Nos. 3-16846, 3-16847

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### Unikrn, Inc.

File No. 3-20003
Order Directing Third Disbursement of Distribution Fund

Corrected Order Directing Second Disbursement

Order Directing Disbursement

Notice of Name Change of Appointed Tax Administrator

Order Approving Plan of Distribution

Plan of Distribution

Notice of Proposed Plan of Distribution and Opportunity for Comment

Proposed Plan of Distribution

Order Appointing Tax Administrator

Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8a of The Securities Act of 1933, Sections 15(B), and 21c of The Securities Exchange Act of 1934, Sections 203(E), 203(F) and 203(K) of The Investment Advisers Act of 1940, and Section 9(B) of The Investment Company Act of 1940 Making Findings, and Imposing Remedial Sanctions and A Cease-and-Desist Order

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### William D. King, CPA

File No. 3-19991

----

### Wilmington Trust Corporation

File No. 3-16098

----

### Wireline, Inc.

File No. 3-20206

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