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# Other

# Archive of Terminated Fair Funds and Disgorgement Plans

                            July 15, 2022                       

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. 34-81057 (June 30, 2017). For information on the previous tax administrator, see Release No. 34-68683 (January 17, 2013).

See also Current Fair Funds and Disgorgement Plans.

## List of Cases

                                - Aladdin Capital Management LLC and Aladdin Capital LLC and Joseph A. Schlim.  (3-15134, 3-15135)
                                - Alliance Capital Management, L.P.  (3-11359)
                                - Alexander Rekeda; Xavier Capdepon and Gwen Snorteland; and Delaware Asset Advisers and Wei (Alex) Wei  (3-14952, 3-14953, 3-14954)
                                - Alphabridge Capital Management, LLC, Thomas T. Kutzen and Michael J. Carino  (3-16670)
                                - Ameriprise Financial Services, Inc.  (3-13544)
                                - Ameriprise Financial Services, Inc. (formerly American Express Financial Advisors Inc.)  (3-12115)
                                - American Skandia Investment Services, Inc.  (3-13446)
                                - AmSouth Bank, N.A. (now known as Regions Bank), and AmSouth Asset Management, Inc. (now known as Morgan Asset Management)  (3-13230)
                                - Apex Fund Services (US), Inc.  (3-17300)
                                - Ark Asset Management Co., Inc.  (3-13714)
                                - Armando Ruiz and Maradon Holdings, LLC  (3-14388)
                                - Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC  (3-11818)
                                - Banc of America Securities, LLC  (3-12591)
                                - Banc One Investment Advisors Corporation and Mark A. Beeson  (3-11530)
                                - Barclays Capital Inc.  (3-17978)
                                - Bear, Stearns & Co., and Bear, Stearns Securities Corp.  (3-12238)
                                - BISYS Fund Services  (3-12432)
                                - BNY Mellon Securities LLC and Mark Shaw  (3-14191, 3-14192)
                                - BOKF, NA, and Lawson Financial Corporation and Robert Lawson  (3-17533; 3-17901)
                                - Bridgeway Capital Management, Inc. and John Noland Ryan Montgomery  (3-11659)
                                - Burrill Capital Management, LLC; G. Steven Burrill, CPA; Victor A. Hebert, Esq.; and Helena C. Sen, CPA  (3-17186)
                                - Cadaret and Grant & Co., Inc.  (3-18087)
                                - Cadaret, Grant & Co., Inc., Arthur Grant, Beda Lee Johnson, and Eugene Long  (3-18738)
                                - Canadian Imperial Holdings Inc. and CIBC World Markets Corp.  (3-11987)
                                - Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Network; Detwiler, Mitchell, Fenton & Graves, Inc.; James X. McCarty  (3-12749, 3-12750, 3-12751)
                                - Comprehensive Capital Management, Inc.  (3-15393)
                                - 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)
                                - Credit Suisse Securities (USA) LLC; Sanford Michael Katz  (3-17899 and 3-17900)
                                - David Henry Disraeli and Lifeplan Associates, Inc.  (3-12288)
                                - Dennis Gibb and Sweetwater Investments, Inc.  (3-19123)
                                - Dominick & Dominick LLC and Robert X. Reilly  (3-15987)
                                - Edward D. Jones & Co., L.P.  (3-16751)
                                - Edward D. Jones & Co., L.P.  (3-11780)
                                - Equinox Fund Management, LLC  (3-17057)
                                - Evergreen Investment Management Company, LLC and Evergreen Investment  (3-13507)
                                - 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)
                                - Folger Nolan Fleming Douglas Capital Management, Inc., Neil C. Folger and David M. Brown  (3-12737)
                                - Founding Partners Capital Management Company and William Gunlicks  (3-12896)
                                - Franklin Advisers, Inc.  (3-11572)
                                - Franklin Advisers, Inc. and Franklin/Templeton Distributors, Inc.  (3-11769)
                                - 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)
                                - Gabelli Funds LLC  (3-13019)
                                - Gary L. Pilgrim  (3-11739)
                                - General American Life Insurance Company and William C. Thater  (3-12720)
                                - Gerald T. Malone  (3-11914)
                                - Gerson Asset Management, Inc. and Seth Gerson  (3-12121)
                                - GLG Partners, Inc. and GLG Partners, L.P.  (3-15641)
                                - Goelzer Investment Management, Inc. and Gregory W. Goelzer  (3-15400)
                                - Grant Thornton, LLP; Doeren Mayhew & Co., P.C.; Peter M. Behrens, CPA; Marvin J. Morris, CPA and Benedict P. Rybicki, CPA  (3-11377)
                                - Gray Financial Group, Inc., Laurence O. Gray, and Robert C. Hubbard, IV  (3-16554)
                                - Harbour Investments, Inc.  (3-18760)
                                - Harold J. Baxter  (3-11740)
                                - 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)
                                - Janus Capital Management LLC  (3-11590)
                                - Jefferies & Co., Inc. and Scott Jones  (3-12495)
                                - J. Michael Scarborough and Royal Alliance Associates, Inc.  (3-11538)
                                - John D. Carifa  (3-11915)
                                - John W. Adams and AIP, LLC  (3-11676)
                                - Joseph Stilwell and Stilwell Value LLC  (3-16444)
                                - J.P. Morgan Securities Inc.  (3-13673)
                                - Kenneth C. Meissner, James Doug Scott and Mark S. "Mike" Tomich  (3-16175)
                                - Knight Securities L.P  (3-11771)
                                - L.T. Lawrence & Co., Inc., Todd E. Roberti, and Lawrence Principato  (3-9923)
                                - Mary Beth Stevens  (3-13553)
                                - Massachusetts Financial Services Co.  (3-11450)
                                - Massachusetts Financial Services Co., John W. Ballen, and Kevin R. Parke  (3-11393)
                                - Maxwell Technologies, Inc., Van M. Andrews, David J. Schramm, and James W. Dewitt, Jr., CPA  (3-18408)
                                - Metis Wealth Advisors, LLC and Juan R. Montermoso  (3-16955)
                                - Michael D. Legoski  (3-11620)
                                - Michael J. Laughlin  (3-11916)
                                - 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)
                                - Moore Stephens Wurth Frazer & Torbet LLP and K. Dean Yamagata, CPA  (3-14167)
                                - Morgan Asset Management, Inc.; Morgan Keegan & Company, Inc.; James C. Kelsoe, Jr.; and Joseph Thompson Weller, CPA  (3-13847)
                                - Morgan Stanley & Co. Incorporated  (3-12631)
                                - Morgan Stanley & Co. Incorporated  (3-12907)
                                - Morgan Stanley DW, Inc.  (3-11335)
                                - Nancy C. Tengler  (3-11727)
                                - New York Life Investment Management LLC  (3-13487)
                                - Oxbow Advisors, LLC  (3-19817)
                                - Packetport.com, Inc., Ronald Durando, Microphase Corp., Robert H. Jaffe, Gustave Dotoli, M. Christopher Agarwal, and Theodore Kunzog  (3-12868)
                                - Paul George Chironis  (3-13869)
                                - Paul W. Oliver, Jr.  (3-13554)
                                - Pilgrim Baxter & Associates, Ltd.  (3-11524)
                                - 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)
                                - Raymond James Financial Services, Inc. and J. Stephen Putnam  (3-11692)
                                - RBC Capital Markets, LLC (formerly known as RBC Capital Markets Corp.)  (3-14564)
                                - Resolute Capital Partners Ltd, LLC, et al.  (3-20597)
                                - Ritchie Capital Management L.L.C., Ritchie Multi-Strategy Global Trading, Ltd., A.R. Thane Ritchie, and Warren Louis DeMaio  (3-12947)
                                - Robertson Stephens  (3-11003)
                                - Ronald E. Huxtable II  (3-15748)
                                - Ronald St. Clair, CPA, and Lawrence Swan, CA  (3-14615)
                                - RS Investment Management, Inc., RS Investment Management, L.P., G. Randall Hecht and Steven M. Cohen  (3-11696)
                                - Sarkauskas and Associates, Inc. and James M. Sarkauskas  (3-15471)
                                - SCF Investment Advisors, Inc.  (3-19912)
                                - 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)
                                - Stephen R. Moynahan  (3-13263)
                                - Strong Capital Management, Inc.  (3-12448)
                                - Taberna Capital Management, LLC, Michael Fralin, and Raphael Licht  (3-16776)
                                - Thomas A. Kolbe  (3-11618)
                                - Timothy J. Miller  (3-11619)
                                - Tilden Loucks & Woodnorth, LLC, LaSalle St. Securities, LLC, and Ralph B. Loucks.  (3-15081)
                                - UBS Fin Servs  (3-20401)
                                - UBS Financial Services Inc. of Puerto Rico  (3-14863)
                                - UBS Willow Management L.L.C. and UBS Fund Advisor L.L.C.
                                - Value Line, Inc., Value Line Securities, Inc., Jean Bernhard Buttner, and David Henigson  (3-13675)
                                - VCAP Securities, LLC, and Brett Thomas Graham  (3-16389)
                                - Veras Capital Master Fund, VEY Partners Master Fund, Veras Investment Partners, LLC, Kevin D. Larson, and James R. McBride  (3-12133)
                                - Voya Investments, LLC and Directed Services, LLC  (3-18393)
                                - Waddell & Reed, Inc., Waddell & Reed Investment Management Company, and Waddell & Reed Services Company  (3-12372)
                                - Weiss Research, Inc., Martin Weiss, and Lawrence Edelson  (3-12341)
                                - 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)
                                - West Coast Asset Management, Inc. and Lance W. Helfert  (3-15660)
                                - Yale I. Asbell  (3-16163)
                                - Zurich Capital Markets Inc.  (3-12628)

----

### Aladdin Capital Management LLC and Aladdin Capital LLC and Joseph A. Schlim

File Nos. 3-15134 and 3-15135

----

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

File Nos. 3-14952, 3-14953, 3-14954

Note: Funds were transferred to the U.S. Treasury.

----

### Alliance Capital Management, L.P.

File No. 3-11359

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)

----

### Alphabridge Capital Management, LLC, Thomas T. Kutzen and Michael J. Carino

File No. 3-16670

----

### American Skandia Investment Services, Inc.

File No. 3-13446

----

### Ameriprise Financial Services, Inc.

File No. 3-13544

Note: Funds transferred to U.S. Treasury.

----

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

File No. 3-12115

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)

----

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

File No. 3-13230

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)

----

### Apex Fund Services (US), Inc.

File No. 3-17300

----

### Ark Asset Management Co., Inc.

File No. 3-13714

----

### Armando Ruiz and Maradon Holdings, LLC

File No. 3-14388

----

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

File No. 3-11818

See also, SEC Announces $103 Million Fair Fund Distribution to Investors Injured by Market Timing Involving Banc of America Capital Management and Affiliates (Press Release No. 2008-114, June 18, 2008)

----

### Banc of America Securities, LLC

File No. 3-12591

See also, SEC Announces $26 Million Fair Fund Distribution in Banc of America Securities LLC Settlement (Press Release No. 2008-118, June 23, 2008)

See also, SEC Enforcement Action Against Banc of America Securities for Failing to Safeguard Nonpublic Research Information and Publishing Fraudulent Research; Firm To Pay $26 Million (Press Release No. 2007-42, March 14, 2007)

----

### Banc One Investment Advisors Corporation and Mark A. Beeson

File No. 3-11530

See also, SEC Announces $55 Million Fair Fund Distribution to Investors Injured in Banc One Investment Advisors Market Timing Fraud (Press Release No. 2005-165, August 13, 2007)

----

### Barclays Capital Inc.

File No. 3-17978

----

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

File No. 3-12238

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

----

Proposed Distribution Plan

Order Appointing Tax Administrator

Order Granting Waivers

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)

----

### 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

----

### Comprehensive Capital Management, Inc.

File No. 3-15393

Note: Funds were transferred to the Court Receiver.

----

### 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

----

Proposed Distribution Plan

Order Appointing Tax Administrator

Order Appointing Fund Administrator and Setting Administrator Bond Amount

Second Extension Order

Extension Order

Extension Order

Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Order

Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Order

----

### David Henry Disraeli and Lifeplan Associates, Inc.

File No. 3-12288

Note: No settlement obtained and no funds ordered.

----

### Dennis Gibb and Sweetwater Investments, Inc. 

File No. 3-19123 

----

### Dominick & Dominick LLC and Robert X. Reilly

File No. 3-15987

----

### Edward D. Jones & Co., L.P.

File No. 3-16751

----

### Edward D. Jones & Co., L.P.

File No. 3-11780

See also the following Press Releases:
                                - SEC Announces $79 Million Fair Fund Distribution in the Edward Jones Revenue Sharing Settlement  (Press Release No. 2007-75, April 26, 2007)
                                - Edward Jones to Pay $75 Million to Settle Revenue Sharing Charges  (Press Release No. 2004-177, December 22, 2004)

----

### Equinox Fund Management, LLC

File No. 3-17057

----

### Evergreen Investment Management Company, LLC and Evergreen Investment

File No. 3-13507

----

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

File No. 3-12805

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

----

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

File No. 3-12737

----

### Founding Partners Capital Management Company and William Gunlicks

File No. 3-12896

----

### Franklin Advisers, Inc.

File No. 3-11572

See also, SEC Announces Fair Fund Distribution to Investors Harmed by Market Timing in Franklin-Templeton Funds (Press Release No. 2008-223, September 23, 2008)

----

### Franklin Advisers, Inc. and Franklin/Templeton Distributors, Inc.

File No. 3-11769

----

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

File No. 3-11246

----

### Fremont Investment Advisors, Inc.

File No. 3-11726

----

### Gabelli Funds LLC

File No. 3-13019

----

### Gary L. Pilgrim

File No. 3-11739

----

### General American Life Insurance Company and William C. Thater

File No. 3-12720

----

### Gerald T. Malone

File No. 3-11914

Note: this case has been consolidated with File No. 3-11359. Future materials will appear at the Alliance Capital Management, L.P. listing.

----

### Gerson Asset Management, Inc. and Seth Gerson

File No. 3-12121

----

### GLG Partners, Inc. and GLG Partners, L.P.

File No. 3-15641

----

### Goelzer Investment Management, Inc. and Gregory W. Goelzer

File No. 3-15400

----

### 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

----

### Gray Financial Group, Inc., Laurence O. Gray, and Robert C. Hubbard, IV

File No. 3-16554

See also other case files for 3-16554.

----

### Harbour Investments, Inc.

File No. 3-18760

----

### Harold J. Baxter

File No. 3-11740

----

### 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

----

### Hennessee Group LLC and Charles J. Gradante

File No. 3-13454

----

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

File No. 3-11940

----

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

File No. 3-14958

----

### International Equity Advisors, LLC and Richard Roger Lund

File No. 3-12068

----

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

File No. 3-11701

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

----

### Janus Capital Management LLC

File No. 3-11590

See also, SEC Announces $18 Million Fair Fund Distribution to Investors Affected by Undisclosed Market Timing in Janus Mutual Funds (Press Release No. 2008-177, August 15, 2008)

----

### Jefferies & Co., Inc. and Scott Jones

File No. 3-12495

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

----

### J. Michael Scarborough and Royal Alliance Associates, Inc.

File No. 3-11538

----

### John D. Carifa

File No. 3-11915

Note: this case has been consolidated with File No. 3-11359. Future materials will appear at the Alliance Capital Management, L.P..

----

### John W. Adams and AIP, LLC

File No. 3-11676

----

### Joseph Stilwell and Stilwell Value LLC

File No. 3-16444

----

### J.P. Morgan Securities Inc.

File No. 3-13673

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

----

### Kenneth C. Meissner, James Doug Scott and Mark S. "Mike" Tomich

File No. 3-16175

----

### Knight Securities L.P

File No. 3-11771

----

### L.T. Lawrence & Co., Inc., Todd E. Roberti, and Lawrence Principato

File No. 3-9923

----

### Mary Beth Stevens

File No. 3-13553

----

### Massachusetts Financial Services Co.

File No. 3-11450

Note: Funds were distributed according to the Plan of Distribution (Link to IA-2343)

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

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)

----

### Maxwell Technologies, Inc., Van M. Andrews, David J. Schramm, and James W. Dewitt, Jr., CPA

File No. 3-18408

----

### Moore Stephens Wurth Frazer & Torbet LLP and K. Dean Yamagata, CPA

File No. 3-14167

Note: Funds were transferred to the Distribution Agent.

----

### Metis Wealth Advisors, LLC and Juan R. Montermoso

File No. 3-16955

----

### Michael D. Legoski

File No. 3-11620

Note: Funds were transferred to the U.S. Treasury.

----

### Michael J. Laughlin

File No. 3-11916

Note: this case has been consolidated with File No. 3-11359. Future materials will appear at the Alliance Capital Management, L.P. listing.

----

### 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

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)

----

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

File No. 3-13847

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. 3-12631

----

### Morgan Stanley & Co. Incorporated

File No. 3-12907

----

### Morgan Stanley DW, Inc.

File No. 3-11335

See also, SEC Charges Morgan Stanley With Inadequate Disclosure in Mutual Fund Sales (Press Release No. 2003-159, November 17, 2003)

----

### Nancy C. Tengler

File No. 3-11727

Note: this case has been consolidated with File No. 3-11726. Future materials will appear at the Fremont Investment Advisors, Inc. listing.

----

### New York Life Investment Management LLC

File No. 3-13487

----

### Oxbow Advisors, LLC

File No. 3-19817

----

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

File No. 3-12868

----

### Paul George Chironis

File No. 3-13869

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

----

### 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.

----

### Pilgrim Baxter & Associates, Ltd.

File No. 3-11524

See also the following Press Releases, 
                                - SEC Announces Final Disbursement to Investors From $267 Million Pilgrim Baxter Fair Fund  (Press Release No. 2007-181, September 12, 2007)
                                - SEC Announces Second of Three Disbursements From $267 Million Pilgrim Baxter Fair Fund  (Press Release No. 2007-113, June 13, 2007)
                                - SEC Announces $125 Million Fair Fund Distribution to Investors Injured by Pilgrim Baxter Market Timing Fraud  (Press Release No. 2007-68, April 23, 2007)

----

### 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

----

### 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

----

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

File No. 3-12400

----

### Putnam Investment Management LLC

File No. 3-11317

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

See also, Commission Announces Completion of Independent Assessment Consultant's Report on Losses Attributable to Market Timing and Excessive Short-Term Trading by Putnam Employees (Press Release No. 2005-26, March 3, 2005)

----

### Putnam Investment Management LLC

File No. 3-11868

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

----

### Raymond James Financial Services, Inc. and J. Stephen Putnam

File No. 3-11692

----

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

File No. 3-14615

Note: Funds were transferred to the U.S. Treasury.

----

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

File No. 3-14564

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)

----

### Resolute Capital Partners Ltd, LLC, et al. 

File No. 3-20597

----

### Ritchie Capital Management L.L.C., Ritchie Multi-Strategy Global Trading, Ltd., A.R. Thane Ritchie, and Warren Louis DeMaio

File No. 3-12947

----

### Robertson Stephens, Inc.

File No. 3-11003

----

### Ronald E. Huxtable II

File No. 3-15748

----

### RS Investment Management, Inc., RS Investment Management, L.P., G. Randall Hecht and Steven M. Cohen

File No. 3-11696

See also, SEC Announces $30 Million Fair Fund Distribution to Investors Affected by Undisclosed Market Timing in RS Investments Mutual Funds (Press Release No. 2008-65, April 25, 2008)

----

### Sarkauskas and Associates, Inc. and James M. Sarkauskas

File No. 3-15471

----

### SCF Investment Advisors, Inc.

File No. 3-19912

----

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

File No. 3-11935

----

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

File No. 3-11793

----

### Specialist

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

----

### Stephen R. Moynahan

File No. 3-13263

----

### Strong Capital Management, Inc.

File No. 3-12448

----

### Taberna Capital Management, LLC, Michael Fralin, and Raphael Licht

File No. 3-16776

----

### Thomas A. Kolbe

File No. 3-11618

Note: Funds were transferred to the U.S. Treasury.

----

### Timothy J. Miller

File No. 3-11619

Note: Funds were transferred to the U.S. Treasury.

----

### Tilden Loucks & Woodnorth, LLC, LaSalle St. Securities, LLC, and Ralph B. Loucks

File No. 3-15081

----

### UBS Fin Servs

File No. 3-20401 

### 

----

### UBS Financial Services Inc. of Puerto Rico

File No. 3-14863

----

### UBS Willow Management L.L.C. and UBS Fund Advisor L.L.C.

File No. 3-16909

----

### Value Line, Inc., Value Line Securities, Inc., Jean Bernhard Buttner, and David Henigson

File No. 3-13675

----

### VCAP Securities, LLC, and Brett Thomas Graham

File No. 3-16389

----

### Veras Capital Master Fund, VEY Partners Master Fund, Veras Investment Partners, LLC, Kevin D. Larson, and James R. McBride

File No. 3-12133

See also the following Press Release:
                                - SEC Announces $38 Million Fair Fund Distribution in the Veras Hedge Funds Settlement  (Press Release No. 2007-50, March 21, 2007)
                                - SEC Charges Veras Capital Master Fund, VEY Partners Master Fund, Veras Investment Partners, LLC, Kevin D. Larson, and James R. McBride in Fraudulent Market Timing and Late Trading Scheme  (Press Release No. 2005-82, December 22, 2005)

----

### Voya Investments, LLC and Directed Services, LLC

File No. 3-18393

----

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

File No. 3-12372

See also:
                                - Division of Corporation Finance No-Action Letter  (October 31, 2006)

----

### Weiss Research, Inc., Martin Weiss, and Lawrence Edelson

File No. 3-12341

----

### Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC and Shawn Patrick McMurtry

File No. 3-14982

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

----

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

File No. 3-14320

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

----

### West Coast Asset Management, Inc. and Lance W. Helfert

File No. 3-15660

----

### Yale I. Asbell

File No. 3-16163

Note: distribution made by the Order Instituting Proceedings, Release No. 34-73206.

----

### Zurich Capital Markets Inc.

File No. 3-12628

## Related Materials

                              - Current Fair Funds and Disgorgement Plans
                              - Information for Harmed Investors

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