<!DOCTYPE html>
<html lang="en" dir="ltr">
  <head>
    <meta charset="utf-8" />
<meta name="MobileOptimized" content="width" />
<meta name="HandheldFriendly" content="true" />
<meta name="viewport" content="width=device-width, initial-scale=1.0" />
<meta name="id" content="311441" />
<meta name="date" content="2021-06-07T17:42:09" />
<link rel="icon" href="/themes/custom/secgov/favicon.ico" type="image/vnd.microsoft.icon" />
<link rel="canonical" href="https://www.sec.gov/enforce/notices-and-orders-pertaining-to-disgorgement-and-fair-funds" />
<link rel="shortlink" href="https://www.sec.gov/node/311441" />
<script src="/files/google_tag/primary/google_tag.script.js?sdd43i" defer></script>

    <meta name="origin" content="Drupal" />
    <meta name="viewport" content="width=device-width initial-scale=1.0 maximum-scale=3.0" />
    <title>SEC.gov | Distributions in Commission Administrative Proceedings: Notices and Orders Pertaining to Disgorgement and Fair Funds</title>
    <script>window.env = "production";</script>
    <link rel="stylesheet" media="all" href="/files/css/css_MgRniMmnJVbkRMwT8X_aLg7R7z2Tz56uxCoOh0R4Evk.css?delta=0&language=en&theme=secgov&include=eJxljV0OwiAQhC_UypHIQjcU3XYbZmnE00ujvOjjfPMn1LSaDzXLwsXHCtMtv7i4JBpIZliTvKcJHH1hYQLDjRhZ1h0TGow3F7p35ZKeox2BH3LHvDL1rz8-gB7X6gfx0_r7wy2lHiS3r3wDgW9G2g" />
<link rel="stylesheet" media="all" href="/files/css/css_qIRHHeJDFCaUMjFbMXXKyB9RwPkpu4bJePyRBSpUie4.css?delta=1&language=en&theme=secgov&include=eJxljV0OwiAQhC_UypHIQjcU3XYbZmnE00ujvOjjfPMn1LSaDzXLwsXHCtMtv7i4JBpIZliTvKcJHH1hYQLDjRhZ1h0TGow3F7p35ZKeox2BH3LHvDL1rz8-gB7X6gfx0_r7wy2lHiS3r3wDgW9G2g" />

    <script src="/files/js/js_ZR7IgTyJkG8aareVUdeKuOQQtTr88wGWJyAHxg0IbaA.js?scope=header&delta=0&language=en&theme=secgov&include=eJxljV0OwiAQhC_UypHIQjcU3XYbZmnE00ujvOjjfPMn1LSaDzXLwsXHCtMtv7i4JBpIZliTvKcJHH1hYQLDjRhZ1h0TGow3F7p35ZKeox2BH3LHvDL1rz8-gB7X6gfx0_r7wy2lHiS3r3wDgW9G2g"></script>

  </head>
  <body class="default-view path-node node--type-secarticle">

    <a href="#main-content" class="visually-hidden focusable" tabindex="1">
      Skip to main content
    </a>
    <noscript><iframe src="https://www.googletagmanager.com/ns.html?id=GTM-TD3BKV" height="0" width="0" style="display:none;visibility:hidden"></iframe></noscript>
      <div class="dialog-off-canvas-main-canvas" data-off-canvas-main-canvas>
    


<div class="page-container">
<div id="page-wrapper">
  <div id="page" >
    <div class="page-header" role="banner">
      <div class="header-content">
        <div id="global-header" class="region region-header">
    
<div id="block-digitalgovsearch" class="block global-header-digitalgov-search">
  
    
        <div class="body"><!--<div class="hide-for-small" id="global-search">
<form accept-charset="UTF-8" action="//secsearch.sec.gov/search" class="clearfix" id="global-search-form" method="get" name="form_iQueryForm">
<fieldset><legend></legend> <label class="overlabel" for="global-search-box">Search SEC.gov</label> <input name="utf8" type="hidden" value="?" /> <input class="affiliate" name="affiliate" type="hidden" value="secsearch" /> <input aria-autocomplete="list" aria-haspopup="true" autocomplete="off" class="usagov-search-autocomplete ui-autocomplete-input" id="global-search-box" name="query" role="textbox" tabindex="4" title="Search for" type="text" /> <span aria-hidden="true" class="button-label fa fa-search"> </span><input class="global-search-button" tabindex="5" title="Go" type="submit" value="" /></fieldset>
</form>

<p class="options"><a class="option-link" href="http://www.sec.gov/edgar/searchedgar/companysearch.html" tabindex="6">Company Filings</a> | <a class="option-link" href="http://www.sec.gov/search/search.htm" tabindex="7">More Search Options</a></p>
</div>-->
<div class="block block--search block--search-form" id="global-search" role="search">
<form accept-charset="UTF-8" action="//secsearch.sec.gov/search" class="clearfix" id="global-search-form" method="get" name="form_iQueryForm">
<fieldset><legend></legend>
<div class="search-box-container"><label class="overlabel" for="global-search-box">Search SEC.gov</label> <input name="utf8" type="hidden" value="?" /> <input class="affiliate" name="affiliate" type="hidden" value="secsearch" /> <input aria-autocomplete="list" aria-haspopup="true" autocomplete="off" class="usagov-search-autocomplete ui-autocomplete-input" id="global-search-box" name="query" role="textbox" title="Search for" type="text" /> <span aria-hidden="true" class="button-label fa fa-search"> </span> <input class="global-search-button" title="Go" type="submit" value="" /></div>
</fieldset>
</form>

<div class="menu-name-menu-utility-menu">
<p class="options"><span><a class="option-link" href="/edgar/searchedgar/companysearch">Company Filings</a></span> <!--<span><a class="option-link" href="http://www.sec.gov/search/search.htm">More Search Options</a></span>--></p>
</div>
</div>
</div>
  </div>
<div id="block-secgov-branding" class="site-branding block region__inner system_branding_block">
  <div class="block--menu-block">
    <div class="menu-block-wrapper menu-name-main-menu">
      
            
      
    <div class="banner-seal">
    <a href="/" title="SEC Emblem" rel="home" tabindex="2">
      <img src="/files/sec-logo.png" alt="SEC Emblem" />
    </a>
  </div>
  
    <div class="banner-org-name">
      <a href="/" title="U.S. Securities and Exchange Commission" rel="home" tabindex="3">U.S. Securities and <br>Exchange Commission</a>
  </div>
   

    <button id="mobile-menu-toggle" class="is-closed" aria-label="Menu Toggle">
    <span class="svg-icon svg-icon-sm" aria-hidden="true">q</span>
  </button>

    </div>
  </div>
</div>
  </div>


      </div>

      <div class="global-navigation" id="global-navigation">

        <div class="desktop-menu">
            <div class="navigation-wrapper region region-global-navigation">
    <div id="block-secgov-main-menu" class="block region__inner main">
  <div class="block--menu-block">
    <div class="menu-block-wrapper menu-name-main-menu">
      
            
          
    
              <ul id="home-menu" class="menu">
                          <li class="menu__item is-expanded expanded" >
                <a href="/about" title="About" class="menu__link">About</a>
                                <ul class="menu">
                          <li class="menu__item is-active is-leaf leaf ">
                <a href="/about/careers" title="Careers" class="menu__link">Careers</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/about/commissioners" title="Commissioners" class="menu__link">Commissioners</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/contact-information/sec-directory" title="Contact" class="menu__link">Contact</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/reports" title="Reports and Publications" class="menu__link">Reports and Publications</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/about/about-securities-laws" title="Securities Laws" class="menu__link">Securities Laws</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/about/mission" title="Mission" class="menu__link">Mission</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/about/commission-votes" title="Commission Votes" class="menu__link">Commission Votes</a>
              </li>
        </ul>
  
              </li>
                    <li class="menu__item is-expanded expanded" >
                <a href="/about/divisions" title="Divisions & Offices" class="menu__link">Divisions & Offices</a>
                                <ul class="menu">
                          <li class="menu__item is-active is-leaf leaf ">
                <a href="/page/corpfin-section-landing" title="Corporation Finance" class="menu__link">Corporation Finance</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/page/enforcement-section-landing" title="Enforcement" class="menu__link">Enforcement</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/investment-management" title="Investment Management" class="menu__link">Investment Management</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/dera" title="Economic and Risk Analysis" class="menu__link">Economic and Risk Analysis</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/divisions/trading-markets" title="Trading and Markets" class="menu__link">Trading and Markets</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/page/aljsectionlanding" title="Office of Administrative Law Judges" class="menu__link">Office of Administrative Law Judges</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/exams" title="Examinations" class="menu__link">Examinations</a>
              </li>
        </ul>
  
              </li>
                    <li class="menu__item is-expanded expanded" >
                <a href="/page/litigation" title="Enforcement" class="menu__link">Enforcement</a>
                                <ul class="menu">
                          <li class="menu__item is-active is-leaf leaf ">
                <a href="/litigation/litreleases" title="Litigation Releases" class="menu__link">Litigation Releases</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/litigation/admin" title="Administrative Proceedings" class="menu__link">Administrative Proceedings</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/litigation/opinions" title="Opinions and Adjudicatory Orders" class="menu__link">Opinions and Adjudicatory Orders</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/divisions/enforce/friactions" title="Accounting and Auditing" class="menu__link">Accounting and Auditing</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/litigation/suspensions" title="Trading Suspensions" class="menu__link">Trading Suspensions</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/enforcement/how-investigations-work" title="How Investigations Work" class="menu__link">How Investigations Work</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/divisions/enforce/receiverships" title="Receiverships" class="menu__link">Receiverships</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/enforce/information-for-harmed-investors" title="Information for Harmed Investors" class="menu__link">Information for Harmed Investors</a>
              </li>
        </ul>
  
              </li>
                    <li class="menu__item is-expanded expanded" >
                <a href="/page/regulation" title="Regulation" class="menu__link">Regulation</a>
                                <ul class="menu">
                          <li class="menu__item is-active is-leaf leaf ">
                <a href="/rules/rulemaking-activity" title="Rulemaking Activity" class="menu__link">Rulemaking Activity</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/rules/rulemaking-activity?aId=&search=&rulemaking_status=178631&division_office=All®ulation_year=" title="Proposed Rules" class="menu__link">Proposed Rules</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/rules/rulemaking-activity?aId=&search=&rulemaking_status=177456&division_office=All®ulation_year=" title="Final Rules" class="menu__link">Final Rules</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/rules/rulemaking-activity?aId=&search=&rulemaking_status=178151&division_office=All®ulation_year=" title="Interim Final Temporary Rules" class="menu__link">Interim Final Temporary Rules</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/rules/other" title="Other Orders and Notices" class="menu__link">Other Orders and Notices</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/rules/sro" title="Self-Regulatory Organizations" class="menu__link">Self-Regulatory Organizations</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/regulation/staff-interpretations" title="Staff Interpretations" class="menu__link">Staff Interpretations</a>
              </li>
        </ul>
  
              </li>
                    <li class="menu__item is-expanded expanded" >
                <a href="/education" title="Education" class="menu__link">Education</a>
                                <ul class="menu">
                          <li class="menu__item is-active is-leaf leaf ">
                <a href="/education/investor-education" title="Investor Education" class="menu__link">Investor Education</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/education/glossary" title="Glossaries" class="menu__link">Glossaries</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/education/smallbusiness" title="Small Business Capital Raising " class="menu__link">Small Business Capital Raising </a>
              </li>
        </ul>
  
              </li>
                    <li class="menu__item is-expanded expanded" >
                <a href="/edgar" title="Filings" class="menu__link">Filings</a>
                                <ul class="menu">
                          <li class="menu__item is-active is-leaf leaf ">
                <a href="/edgar/search-and-access" title="EDGAR – Search & Access" class="menu__link">EDGAR – Search & Access</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/edgar/filer-information" title="EDGAR – Information for Filers" class="menu__link">EDGAR – Information for Filers</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/edgar/searchedgar/companysearch" title="Company Filing Search" class="menu__link">Company Filing Search</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/filings/edgar-guide" title="How to Search EDGAR" class="menu__link">How to Search EDGAR</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/forms" title="Forms List" class="menu__link">Forms List</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/edgar/about" title="About EDGAR" class="menu__link">About EDGAR</a>
              </li>
        </ul>
  
              </li>
                    <li class="menu__item is-expanded expanded" >
                <a href="/newsroom" title="News" class="menu__link">News</a>
                                <ul class="menu">
                          <li class="menu__item is-active is-leaf leaf ">
                <a href="/news/pressreleases" title="Press Releases" class="menu__link">Press Releases</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/news/speeches-statements" title="Speeches and Statements" class="menu__link">Speeches and Statements</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/securities-topics" title="Securities Topics" class="menu__link">Securities Topics</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/news/upcoming-events" title="Upcoming Events" class="menu__link">Upcoming Events</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/news/sec-webcasts" title="Webcasts" class="menu__link">Webcasts</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/news/sec-videos" title="SEC Videos" class="menu__link">SEC Videos</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/news/media-gallery" title="Media Gallery" class="menu__link">Media Gallery</a>
              </li>
        </ul>
  
              </li>
        </ul>
  

  
    </div>
  </div>
</div>
  </div>


        </div>

        <div class="mobile-menu" style="display: none;">
          
              <ul id="main-menu" class="menu">
                      <li class="menu__item is-expanded expanded">
      
        <a href="" class="menu__link">U.S. Securities and Exchange Commission</a>
                                <ul class="menu">
                      <li class="menu__item is-active is-leaf leaf">
      
        <a href="/about/divisions" class="menu__link" data-drupal-link-system-path="node/91856">Divisions & Offices</a>
              </li>

                  <li class="menu__item is-active is-leaf leaf">
      
        <a href="/litigation.shtml" class="menu__link">Enforcement</a>
              </li>

                  <li class="menu__item is-active is-leaf leaf">
      
        <a href="/rules.shtml" class="menu__link">Regulation</a>
              </li>

                  <li class="menu__item is-active is-leaf leaf">
      
        <a href="/education" title="Education" class="menu__link" data-drupal-link-system-path="node/261726">Education</a>
              </li>

                  <li class="menu__item is-active is-leaf leaf">
      
        <a href="/edgar" class="menu__link" data-drupal-link-system-path="node/91901">Filings</a>
              </li>

                  <li class="menu__item is-active is-leaf leaf">
      
        <a href="/news" class="menu__link">Newsroom</a>
              </li>

        </ul>
  
              </li>

                  <li class="menu__item is-expanded expanded">
      
        <a href="/news" class="menu__link">Newsroom</a>
                                <ul class="menu">
                      <li class="menu__item is-active is-leaf leaf">
      
        <a href="/news/pressreleases" class="menu__link" data-drupal-link-system-path="news/pressreleases">Press Releases</a>
              </li>

                  <li class="menu__item is-active is-leaf leaf">
      
        <a href="/news/testimony" class="menu__link">Testimony</a>
              </li>

        </ul>
  
              </li>

                  <li class="menu__item is-expanded expanded">
      
        <a href="/about/sec-rss" class="menu__link" data-drupal-link-system-path="node/111801">RSS Feeds</a>
                                <ul class="menu">
                      <li class="menu__item is-active is-leaf leaf">
      
        <a href="/news/pressreleases.rss" class="menu__link" data-drupal-link-system-path="news/pressreleases.rss">Press Releases</a>
              </li>

                  <li class="menu__item is-active is-leaf leaf">
      
        <a href="/news/statements.rss" class="menu__link" data-drupal-link-system-path="news/statements.rss">Public Statements</a>
              </li>

                  <li class="menu__item is-active is-leaf leaf">
      
        <a href="/news/speeches.rss" class="menu__link" data-drupal-link-system-path="news/speeches.rss">Speeches</a>
              </li>

                  <li class="menu__item is-active is-leaf leaf">
      
        <a href="/news/testimony.rss" class="menu__link" data-drupal-link-system-path="news/testimony.rss">Testimony</a>
              </li>

        </ul>
  
              </li>

        </ul>
  



                          <div id="local-nav">
    <nav role="navigation" aria-labelledby="block-enforcement-menu" id="block-enforcement">
            
  <h2 class="visually-hidden" id="block-enforcement-menu">Enforcement</h2>
  

        
              <ul class="section-menu menu">
              <li class="menu__item is-active is-leaf leaf item-enforcement">
        <a href="/page/litigation" class="menu__link" data-drupal-link-system-path="node/251386">Enforcement</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-about">
        <a href="/enforce/Article/enforce-about" class="menu__link" data-drupal-link-system-path="node/91881">About</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-enforcement-manual">
        <a href="https://www.sec.gov/divisions/enforce/enforcementmanual.pdf" class="menu__link">Enforcement Manual</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-public-alerts">
        <a href="/enforce/public-alerts" class="menu__link" data-drupal-link-system-path="enforce/public-alerts">Public Alerts</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-federal-court-actions">
        <a href="/litigation/litreleases.htm" class="menu__link">Federal Court Actions</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-administrative-proceedings">
        <a href="/litigation/admin.htm" class="menu__link">Administrative Proceedings</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-alj-orders">
        <a href="/alj/aljorders" class="menu__link" data-drupal-link-system-path="taxonomy/term/36746">ALJ Orders</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-alj-decisions">
        <a href="/alj/aljdec" class="menu__link" data-drupal-link-system-path="taxonomy/term/36751">ALJ Decisions</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-commission-opinions">
        <a href="/litigation/opinions.htm" class="menu__link">Commission Opinions</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-trading-suspensions">
        <a href="/litigation/suspensions.htm" class="menu__link">Trading Suspensions</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-information-for-harmed-investors">
        <a href="/enforce/information-for-harmed-investors" class="menu__link" data-drupal-link-system-path="node/311351">Information for Harmed Investors</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-enforcement-cooperation-program">
        <a href="/enforcement/enforcement-cooperation-program" title="Enforcement Cooperation Program" class="menu__link" data-drupal-link-system-path="node/914521">Enforcement Cooperation Program</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-foreign-corrupt-practices-act-(fcpa)">
        <a href="/enforcement/foreign-corrupt-practices-act" title="Foreign Corrupt Practices Act (FCPA)" class="menu__link" data-drupal-link-system-path="node/914956">Foreign Corrupt Practices Act (FCPA)</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-tips-&-complaints">
        <a href="/complaint/select" class="menu__link" data-drupal-link-system-path="node/111826">Tips & Complaints</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-data-delivery-standards">
        <a href="/files/sec-dds-feb2024.pdf" class="menu__link">Data Delivery Standards</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-affinity-fraud">
        <a href="/about/divisions-offices/division-enforcement/affinity-fraud" class="menu__link" data-drupal-link-system-path="node/913611">Affinity Fraud</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-divisions-and-offices">
        <a href="/about/divisions" title="Divisions and Offices" class="menu__link" data-drupal-link-system-path="node/91856">Divisions and Offices</a>
              </li>

        </ul>
  





  </nav>

  </div>

                  </div>

      </div>
    </div>
          <div class="highlighted">
        <aside role="complementary" class="message section clearfix">
            <div class="region region-highlighted">
    <div data-drupal-messages-fallback class="hidden"></div>

  </div>


        </aside>
      </div>
    
    
                                
        
        
        
    
    <div class="page-content">
      <div id="main-wrapper" class="layout-main-wrapper layout-container clearfix">

                  

      
      
            <div id="sidebar-first" class="sidebar">
          <aside role="complementary" class="local-nav">
            <nav role="navigation">
                              <div id="local-nav">
    <nav role="navigation" aria-labelledby="block-enforcement-menu" id="block-enforcement">
            
  <h2 class="visually-hidden" id="block-enforcement-menu">Enforcement</h2>
  

        
              <ul class="section-menu menu">
              <li class="menu__item is-active is-leaf leaf item-enforcement">
        <a href="/page/litigation" class="menu__link" data-drupal-link-system-path="node/251386">Enforcement</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-about">
        <a href="/enforce/Article/enforce-about" class="menu__link" data-drupal-link-system-path="node/91881">About</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-enforcement-manual">
        <a href="https://www.sec.gov/divisions/enforce/enforcementmanual.pdf" class="menu__link">Enforcement Manual</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-public-alerts">
        <a href="/enforce/public-alerts" class="menu__link" data-drupal-link-system-path="enforce/public-alerts">Public Alerts</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-federal-court-actions">
        <a href="/litigation/litreleases.htm" class="menu__link">Federal Court Actions</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-administrative-proceedings">
        <a href="/litigation/admin.htm" class="menu__link">Administrative Proceedings</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-alj-orders">
        <a href="/alj/aljorders" class="menu__link" data-drupal-link-system-path="taxonomy/term/36746">ALJ Orders</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-alj-decisions">
        <a href="/alj/aljdec" class="menu__link" data-drupal-link-system-path="taxonomy/term/36751">ALJ Decisions</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-commission-opinions">
        <a href="/litigation/opinions.htm" class="menu__link">Commission Opinions</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-trading-suspensions">
        <a href="/litigation/suspensions.htm" class="menu__link">Trading Suspensions</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-information-for-harmed-investors">
        <a href="/enforce/information-for-harmed-investors" class="menu__link" data-drupal-link-system-path="node/311351">Information for Harmed Investors</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-enforcement-cooperation-program">
        <a href="/enforcement/enforcement-cooperation-program" title="Enforcement Cooperation Program" class="menu__link" data-drupal-link-system-path="node/914521">Enforcement Cooperation Program</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-foreign-corrupt-practices-act-(fcpa)">
        <a href="/enforcement/foreign-corrupt-practices-act" title="Foreign Corrupt Practices Act (FCPA)" class="menu__link" data-drupal-link-system-path="node/914956">Foreign Corrupt Practices Act (FCPA)</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-tips-&-complaints">
        <a href="/complaint/select" class="menu__link" data-drupal-link-system-path="node/111826">Tips & Complaints</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-data-delivery-standards">
        <a href="/files/sec-dds-feb2024.pdf" class="menu__link">Data Delivery Standards</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-affinity-fraud">
        <a href="/about/divisions-offices/division-enforcement/affinity-fraud" class="menu__link" data-drupal-link-system-path="node/913611">Affinity Fraud</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-divisions-and-offices">
        <a href="/about/divisions" title="Divisions and Offices" class="menu__link" data-drupal-link-system-path="node/91856">Divisions and Offices</a>
              </li>

        </ul>
  





  </nav>

  </div>

                      </nav>

          </aside>
        </div>
                    <div id="content-wrapper" class="layout-main">

      <a id="main-content" tabindex="-1"></a>

    
    		
    
    
              <div id="content" class="content">
            <div class="main-content region region-content">
    <div id="block-secgov-content">
  
    
      
  
  <article class="article" role="article">
  
    

    <div class="article-content">
                




          
<div id="page-title">
<h1 class="article-type">
  
        
                                                                                                                                                                                                          
                                    <span class="hide">Other</span>
                                    
                                                                                                                                    </h1>
<!-- Subscribe link, RSS, Email -->
<div id="addthis-icons">
  <div class="addthis-wrapper">
    <div class="hide-for-print appIconsDetail" style="visibility: visible;">
      <div class="addthis_toolbox addthis_default_style hide-for-small" data-ui-click="true">
        <a class="addthis_button_print at300b" title="Print Page" href="#" tabindex="0">
          <span class="fa fa-print"></span>
        </a>
        <a class="addthis_button_mailto at300b" target="_blank" title="Email Page" href="#" tabindex="0">
          <span class="fa fa-envelope"></span>
        </a>
      <div class="atclear"></div>
    </div>
    <div class="addthis_toolbox addthis_default_style addthis_32x32_style hide-for-medium-up show-for-small addthis_mobile">
      <a class="addthis_button_mailto at300b" target="_blank" title="Email Page" href="#" tabindex="0">
        <span class="fa fa-envelope"></span>
      </a>
    </div>
    <div class="atclear"></div>
    </div>
  </div>
</div>
</div>

              <div class="content aside other">
              
        <div >
        <h1 class="article-title">Distributions in Commission Administrative Proceedings: Notices and Orders Pertaining to Disgorgement and Fair Funds</h1>
                </div>

        
                  <p class="article-publishdate">
                            June 7, 2021
                       </p>
        
                <p class="release-number"></p>
              
      <div class="article-content-body">
      
            <div class="article-body"><script type="text/javascript" src="/js/third-party/jquery.hideseek.min.js">
//<![CDATA[

//]]>
</script>
<p>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).</p>

<p>See also Archive of Terminated Fair Funds and Disgorgement Plans.</p>

<h2>List of Cases</h2>

<p></p>

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

<hr><!--------File List------------><!--------A------------>
<h3><a id="advanced"></a>Advanced Emissions Solutions, Inc.</h3>

<p>File No. 3-17982</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-96757</td>
			<td class="nobreak">Jan. 23, 2023</td>
			<td>Order Establishing a Fair Fund and Transferring Funds to District Court</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="alexander"></a>Alexander Capital, L.P.</h3>

<p>File No. 3-18561</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-97258</td>
			<td class="nobreak">Apr. 6. 2023</td>
			<td>Order Consolidating Fair Funds</td>
		</tr>
		<tr>
			<td class="nobreak">34-86382</td>
			<td class="nobreak">Jul. 15, 2019</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-83562</td>
			<td class="nobreak">Jun. 29, 2018</td>
			<td>Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="alexander-gould"></a>Alexander S. Gould</h3>

<p>File No. 3-19965</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-89785</td>
			<td class="nobreak">Sep. 8, 2019</td>
			<td>Order Directing Payment of Certain Funds Received by the Commission</td>
		</tr>
		<tr>
			<td class="nobreak">IA-5574</td>
			<td class="nobreak">Sep. 8, 2018</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="allianz-global"></a>Allianz Global Investors U.S. LLC</h3>

<p>File No. 3-20855</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-99494</td>
			<td class="nobreak">Feb. 8, 2024</td>
			<td>Order Approving Amended Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Amended Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-99253</td>
			<td class="nobreak">Dec. 28, 2023</td>
			<td>Notice of Amended Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Amended Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-97930</td>
			<td class="nobreak">July 18, 2023</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-97540</td>
			<td class="nobreak">May 22, 2023</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment
			<form action="/cgi-bin/ruling-comments" class="margin-0" method="post"><input name="ruling" type="hidden" value="3-20855"> <input name="action" type="hidden" value="Show_Form"> <input name="rule_path" type="hidden" value="/comments/3-20855"> <input name="file_num" type="hidden" value="3-20855"> <input name="title" type="hidden" value="Proposed Distribution Plan"></form>
			</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution<br>
			<i>Comments received are available for this plan.</i></td>
		</tr>
		<tr>
			<td class="nobreak">34-95801</td>
			<td class="nobreak">Sep. 16, 2022</td>
			<td>Order Appointing Fund Administrator and Setting Administrator's Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-95429</td>
			<td class="nobreak">Aug. 4, 2022</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-95293</td>
			<td class="nobreak">Jul. 15, 2022</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-94927</td>
			<td class="nobreak">May 17, 2022</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(B) and 21c of the Securities Exchange Act of 1934 and Sections 203(E) and 203(K) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order </td>
		</tr>
	</tbody>
</table>

<hr>
<h3><a id="amexpresscorp"></a>Ameriprise Financial, Inc. (formerly American Express Financial Corporation)</h3>

<p>File No. 3-12114</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-85641</td>
			<td class="nobreak">Apr. 15, 2019</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-82231</td>
			<td class="nobreak">Dec. 7, 2017</td>
			<td>Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses</td>
		</tr>
		<tr>
			<td class="nobreak">34-81064</td>
			<td class="nobreak">June 30, 2017</td>
			<td>Notice of Name Change of Appointed Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-77816</td>
			<td class="nobreak">May. 12, 2016</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-77498</td>
			<td class="nobreak">Apr. 1, 2016</td>
			<td>Order Appointing Fund Administrator and Setting Administrator Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-77497</td>
			<td class="nobreak">Apr. 1, 2016</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">IA-2452<br>
			IC-27171</td>
			<td class="nobreak">Dec. 1, 2005</td>
			<td>Order Directing Appointment of Tax Administrtor</td>
		</tr>
		<tr>
			<td class="nobreak">IA-2451<br>
			IC-27170</td>
			<td class="nobreak">Dec. 1, 2005</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p><b><i>See also</i></b>, American Express Financial Corporation, Now Known as Ameriprise Financial, Inc., to Pay $15 Million to Settle Market Timing Charges (Press Release No. 2005-169, December 1, 2005)</p>

<p></p>

<hr>
<h3 id="belesis">Anastasios P. "Tommy" Belesis</h3>

<p>File No. 3-18088</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-86181</td>
			<td class="nobreak">Jun. 24, 2019</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">33-10395<br>
			34-81276<br>
			IC-32772</td>
			<td class="nobreak">Aug. 1, 2017</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<hr>
<h3 id="aon">Aon Investments USA Inc. Fka Aon Hewitt Investment Consulting, Inc.</h3>

<p>File No. 3-21837</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-99886</td>
			<td class="nobreak">Apr. 2, 2024</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">IA-6536</td>
			<td class="nobreak">Jan. 25, 2024</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act Of 1940, Making Findings, And Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr><!--------Anthony Coronati and Bidtoask LLC------------>
<h3><a id="coronati"></a>Anthony Coronati and Bidtoask LLC</h3>

<p>File No. 3-16203</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-83179</td>
			<td class="nobreak">May 7, 2018</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-81064</td>
			<td class="nobreak">June 30, 2017</td>
			<td>Notice of Name Change of Appointed Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-80469</td>
			<td class="nobreak">Apr. 17, 2017</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-80087</td>
			<td class="nobreak">Feb. 22, 2017</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-73475</td>
			<td class="nobreak">Oct. 30, 2014</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">33-9666<br>
			34-73381<br>
			IA-3954<br>
			IC-31293</td>
			<td class="nobreak">Oct. 17, 2014</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr><!-- Augustine Capital Management, LLC, (f/k/a Augustine Capital Management, Inc.), et al. -->
<h3 id="augustine">Augustine Capital Management, LLC, (f/k/a Augustine Capital Management, Inc.), et al.</h3>

<p>File No. 3-17740</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-88510</td>
			<td class="nobreak">Mar. 30, 2020</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-85340</td>
			<td class="nobreak">Mar. 18, 2019</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-84675</td>
			<td class="nobreak">Nov. 29, 2018</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-82590</td>
			<td class="nobreak">Jan. 26, 2018</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-82330</td>
			<td class="nobreak">Dec. 14, 2017</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">IA-4800</td>
			<td class="nobreak">Oct. 26, 2017</td>
			<td>Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to 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 and Instituting Public Administrative Proceedings, and Imposing Sanctions Pursuant to Rule 102(E) of the Commission’s Rules of Practice as to Thomas F. Duszynski, CPA</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr><!--------Bayerische Motoren Werke Aktiengesellschaft, BMW of North America, LLC and BMW US Capital, LLC------------>
<h3><a id="bmw"></a>Bayerische Motoren Werke Aktiengesellschaft, BMW of North America, LLC and BMW US Capital, LLC</h3>

<p>File Nos. 3-20060</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-99016</td>
			<td class="nobreak">Nov. 23, 2023</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-97668</td>
			<td class="nobreak">Jun. 8, 2023</td>
			<td>Order Extending Time to Enter Order Approving or Disapproving Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-97345</td>
			<td class="nobreak">Apr. 21, 2023</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment
			<form action="/cgi-bin/ruling-comments" class="margin-0" method="post"><input name="ruling" type="hidden" value="3-20060"> <input name="action" type="hidden" value="Show_Form"> <input name="rule_path" type="hidden" value="/comments/3-20060"> <input name="file_num" type="hidden" value="3-20060"> <input name="title" type="hidden" value="Proposed Distribution Plan"></form>
			</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>
			<p>Proposed Distribution Plan</p>

			<p><i></i><i>Comments received are available for this plan.</i></p>
			</td>
		</tr>
		<tr>
			<td class="nobreak">34-95766</td>
			<td class="nobreak">Sep. 14, 2022</td>
			<td>Order Appointing Fund Administrator and Setting Administrator's Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-95427</td>
			<td class="nobreak">Aug. 4, 2022</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-94623</td>
			<td class="nobreak">Apr. 7, 2022</td>
			<td>Order Establishing a Fair Fund</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr><!--------Bankrate, Inc.------------>
<h3><a id="bankrate"></a>Bankrate, Inc. and Hyunjin Lerner, CPA</h3>

<p>File Nos. 3-16786 and 3-16787</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-94979</td>
			<td class="nobreak">May 25, 2022</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-90188</td>
			<td class="nobreak">Oct. 15, 2020</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-89711</td>
			<td class="nobreak">Aug. 28, 2020</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-82535</td>
			<td class="nobreak">Jan. 18, 2018</td>
			<td>Order Appointing Fund Administrator and Setting Administrator Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-81064</td>
			<td class="nobreak">June 30, 2017</td>
			<td>Notice of Name Change of Appointed Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-80626</td>
			<td class="nobreak">May 8, 2017</td>
			<td>Order Establishing a Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-77924</td>
			<td class="nobreak">May 26, 2016</td>
			<td><a href="/litigation/admin/2016/34-77924.pdf

">Order Appointing Tax Administrator</a></td>
		</tr>
		<tr>
			<td class="nobreak">34-77016</td>
			<td class="nobreak">Feb. 2, 2016</td>
			<td><a href="/litigation/admin/2016/34-77016.pdf">Omnibus Order Directing the Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution<br>
			Funds</a></td>
		</tr>
		<tr>
			<td class="nobreak">33-9902<br>
			34-75850<br>
			AAER-3684</td>
			<td class="nobreak">Sep. 8, 2015</td>
			<td>Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
		<tr>
			<td class="nobreak">33-9901<br>
			34-75849<br>
			AAER-3683</td>
			<td class="nobreak">Sep. 8, 2015</td>
			<td>Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Cease-and-Desist Order and Civil Penalty</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr><!--------Bankrate, Inc.------------>
<h3><a id="barclays"></a>Barclays PLC and Barclays Bank PLC</h3>

<p>File Nos. 3-21181</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-99038</td>
			<td class="nobreak">Nov. 29, 2023</td>
			<td><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="bb0d8382-6bbc-4325-a3f0-2b34bd57fb34" href="/files/litigation/admin/2023/34-99038.pdf" title="34-99038">Second Extension Order</a></td>
		</tr>
		<tr>
			<td class="nobreak">34-98918</td>
			<td class="nobreak">Nov. 13, 2023</td>
			<td>Order Appointing Fund Administrator, Setting Administrator's Bond Amount, and Authorizing Payment of Fees and Expenses</td>
		</tr>
		<tr>
			<td class="nobreak">34-97874</td>
			<td class="nobreak">Jul. 11, 2023</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-97632</td>
			<td class="nobreak">Jun. 1, 2023</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-97221</td>
			<td class="nobreak">Mar. 30, 2023</td>
			<td>Order Establishing a Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">33-11110</td>
			<td class="nobreak">Sep. 29, 2022</td>
			<td>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</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr><!--------Baxter International Inc.------------>
<h3><a id="baxter"></a>Baxter International Inc., Jeffrey Schaible, and Scott Bohaboy</h3>

<p>File No. 3-20781, 3-20782, and 3-20783</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-97208</td>
			<td class="nobreak">Sept. 25, 2023</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-97208</td>
			<td class="nobreak">Mar, 27, 2023</td>
			<td>Order Extending Time to Enter Order Approving or Disapproving Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-96898</td>
			<td class="nobreak">Feb. 13, 2023</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Distribution Plan<br>
			<i>Comments received are available for this plan.</i></td>
		</tr>
		<tr>
			<td class="nobreak">34-96778</td>
			<td class="nobreak">Jan. 31, 2023</td>
			<td>Second Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-95192</td>
			<td class="nobreak">Jul. 1, 2022</td>
			<td>Order Appointing Fund Administrator and Setting Administrator's Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-95043</td>
			<td class="nobreak">Jun. 6, 2022</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-94755</td>
			<td class="nobreak">Apr. 19, 2022</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-94754</td>
			<td class="nobreak">Apr. 19, 2022</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-94753</td>
			<td class="nobreak">Apr. 19, 2022</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">33-11034</td>
			<td class="nobreak">Feb. 22, 2022</td>
			<td>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 </td>
		</tr>
		<tr>
			<td class="nobreak">33-11033</td>
			<td class="nobreak">Feb. 22, 2022</td>
			<td>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 </td>
		</tr>
		<tr>
			<td class="nobreak">33-11032</td>
			<td class="nobreak">Feb. 22, 2022</td>
			<td>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 </td>
		</tr>
	</tbody>
</table>

<p></p>

<p></p>

<hr><!--------Bethany Liou------------>
<h3><a id="liou"></a>Bethany Liou</h3>

<p>File No. 3-19597</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-94627</td>
			<td class="nobreak">Apr. 7, 2022</td>
			<td>Order Authorizing the Disposition of Funds Remaining in the Distribution Fund and Any Funds Returned to the Distribution Fund in the Future, Discharging the Fund Administrator, Cancelling the Administrator's Bond, and Terminating the Distribution Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-91815</td>
			<td class="nobreak">May 10, 2020</td>
			<td>Order Directing Disbursement of Distribution Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-90625</td>
			<td class="nobreak">Dec. 10, 2020</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Distribution Plan (Corrected)</td>
		</tr>
		<tr>
			<td class="nobreak">34-90285</td>
			<td class="nobreak">Oct. 29, 2020</td>
			<td>Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-89755</td>
			<td class="nobreak">Sep. 2, 2020</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Distribution Plan<br>
			<i>Comments received are available for this plan.</i></td>
		</tr>
		<tr>
			<td class="nobreak">34-88442</td>
			<td class="nobreak">Mar. 20, 2020</td>
			<td>Order Appointing Fund Administrator and Setting Administrator Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-87644</td>
			<td class="nobreak">Dec. 2, 2019</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">33-10725</td>
			<td class="nobreak">Nov. 4, 2019</td>
			<td>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</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="bitclave"></a>BitClave PTE, Ltd.</h3>

<p>File No. 3-19816</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-96869</td>
			<td class="nobreak">Feb. 9, 2023</td>
			<td>Order Approving Corrected Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Corrected Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-96423</td>
			<td class="nobreak">Dec. 1, 2022</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Distribution Plan <!--<ul class="bullet-1 margin-0">
				<li>
				<form action="/cgi-bin/ruling-comments" class="margin-0" method="post"><a href="javascript:;" onclick="parentNode.submit();">Submit Comments on 3-19816</a> <input name="ruling" type="hidden" value="3-19816" /> <input name="action" type="hidden" value="Show_Form" /> <input name="rule_path" type="hidden" value="/comments/3-19816" /> <input name="file_num" type="hidden" value="3-19816" /> <input name="title" type="hidden" value="" /></form>
				</li>
			</ul>--></td>
		</tr>
		<tr>
			<td class="nobreak">34-94381</td>
			<td class="nobreak">Mar. 8, 2022</td>
			<td>Order Setting Administrator's Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-91647</td>
			<td class="nobreak">Apr. 22, 2021</td>
			<td>Order Appointing Fund Administrator and Setting Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-90545</td>
			<td class="nobreak">Dec. 1, 2020</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">33-10788</td>
			<td class="nobreak">May 28, 2020</td>
			<td>Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="bks"></a>BKS Advisors, LLC and Roger T. Denha</h3>

<p>File Nos. 3-18648 and 3-18649</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-94845</td>
			<td class="nobreak">May 4, 2022</td>
			<td>Omnibus Order Directing the Engagement of Two Tax Administrators for Appointment on a Case-By-Case Basis in Administrative Proceedings that Establish Distribution Funds</td>
		</tr>
		<tr>
			<td class="nobreak">34-89113</td>
			<td class="nobreak">Jun. 22, 2020</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-86472</td>
			<td class="nobreak">Jul. 25, 2019</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-85997</td>
			<td class="nobreak">May 31, 2019</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-84452</td>
			<td class="nobreak">Oct. 18, 2018</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">IA-4987</td>
			<td class="nobreak">Aug. 17, 2018</td>
			<td>Order Instituting Administrative and Cease-And-Desist Proceedings, Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-83873</td>
			<td class="nobreak">Aug. 17, 2018</td>
			<td>Order Instituting Administrative and Cease-And-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities 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</td>
		</tr>
		<tr>
			<td class="nobreak">34-84230</td>
			<td class="nobreak">Sep. 20, 2018</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="block"></a>Blockchain Credit Partners d/b/a DeFi Money Market, Gregory Keough, and Derek Acree</h3>

<p>File Nos. 3-20453</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-96977</td>
			<td class="nobreak">Feb, 24, 2023</td>
			<td>Order Appointing Fund Administrator and Setting Administrator's Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-96664</td>
			<td class="nobreak">Jan 13, 2023</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">33-10961</td>
			<td class="nobreak">Aug. 6, 2021</td>
			<td>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</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="BlueCrest"></a>BlueCrest Capital Management Limited</h3>

<p>File No. 3-20162</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-99464</td>
			<td class="nobreak">Feb. 05, 2024</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-94285</td>
			<td class="nobreak">Feb. 18, 2022</td>
			<td>Corrected Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-94221</td>
			<td class="nobreak">Feb. 10, 2022</td>
			<td>Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses</td>
		</tr>
		<tr>
			<td class="nobreak">34-93871</td>
			<td class="nobreak">Dec. 29, 2021</td>
			<td>Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-93508</td>
			<td class="nobreak">Nov. 2, 2021</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment
			<ul class="bullet-1 margin-0">
				<li>
				<form action="/cgi-bin/ruling-comments" class="margin-0" method="post"><a href="javascript:;" onclick="parentNode.submit();">Submit Comments on 3-20162</a> <input name="ruling" type="hidden" value="3-20162"> <input name="action" type="hidden" value="Show_Form"> <input name="rule_path" type="hidden" value="/comments/3-20162"> <input name="file_num" type="hidden" value="3-20162"> <input name="title" type="hidden" value="Proposed  Plan of Distribution: BlueCrest Capital Management Limited"></form>
				<br>
				<i>Comments received are available for this proposal.</i></li>
			</ul>
			</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-92782</td>
			<td class="nobreak">Aug. 27, 2021</td>
			<td>Second Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-92097</td>
			<td class="nobreak">Jun. 3, 2021</td>
			<td>Order Appointing Fund Administrator and Setting Administrator's Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-91588</td>
			<td class="nobreak">Apr. 16, 2021</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-91102</td>
			<td class="nobreak">Feb. 11, 2021</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">33-10896</td>
			<td class="nobreak">Dec 8, 2020</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933 and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>
<!--------The Boeing Company------------>

<p></p>

<hr>
<h3><a id="boeing"></a>The Boeing Company and Dennis A. Muilenburg</h3>

<p>File Nos. 3-21140 and 3-21141</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-99467</td>
			<td class="nobreak">Feb. 5, 2024</td>
			<td>Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses</td>
		</tr>
		<tr>
			<td class="nobreak">34-99146</td>
			<td class="nobreak">Dec. 12, 2023</td>
			<td>Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-98735</td>
			<td class="nobreak">Oct. 12, 2023</td>
			<td>
			<p>Notice of Proposed Plan of Distribution and Opportunity for Comment</p>

			<ul>
				<li><a data-entity-substitution="canonical" data-entity-type="node" data-entity-uuid="cee1abad-8ccb-40e6-8ae8-0a84512a0af7" href="/comments/3-21140/3-21140-notice-proposed-plan-distribution-and-opportunity-comment" title="Notice of Proposed Plan of Distribution and Opportunity for Comment">Submit Comments on 3-21140</a></li>
				<li><i>Comments received are available for this proposed plan.</i></li>
			</ul>
			</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-97469</td>
			<td class="nobreak">May 10, 2023</td>
			<td>Order Appointing Fund Administrator and Setting Administrator's Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-96655</td>
			<td class="nobreak">Jan. 12, 2023</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-96425</td>
			<td class="nobreak">Dec. 1, 2022</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">33-11106</td>
			<td class="nobreak">Sep. 22, 2022</td>
			<td>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 </td>
		</tr>
		<tr>
			<td class="nobreak">33-11105</td>
			<td class="nobreak">Sep. 22, 2022</td>
			<td>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 </td>
		</tr>
	</tbody>
</table>
<!--------Brooge Energy Limited, Nicolaas Lammert Paardenkooper, and Lina Saheb ------------>

<p></p>

<hr>
<h3><a id="brooge"></a>Brooge Energy Limited, Nicolaas Lammert Paardenkooper, and Lina Saheb</h3>

<p>File No. 3-21816</p>

<table class="fflist" style="width: 388px;">
	<thead>
		<tr>
			<th style="width: 57px;">Release</th>
			<th style="width: 106px;">Date</th>
			<th style="width: 198px;">Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak" style="width: 57px;">34-99901</td>
			<td class="nobreak" style="width: 106px;">Apr. 3, 2024</td>
			<td style="width: 198px;"><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="997e5459-5a64-4cfd-8ed1-5702e6c55304" href="/files/litigation/admin/2024/34-99901.pdf" title="34-99901">Order Appointing Tax Administrator</a></td>
		</tr>
		<tr>
			<td class="nobreak" style="width: 57px;">34-99589</td>
			<td class="nobreak" style="width: 106px;">Feb. 23, 2024</td>
			<td style="width: 198px;">Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak" style="width: 57px;">33-11260, 34-99228, AAER-4480</td>
			<td class="nobreak" style="width: 106px;">Dec. 22, 2024</td>
			<td style="width: 198px;"><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="595dadf2-ab91-4ac9-91dd-7f1d13ea0347" href="/files/litigation/admin/2023/33-11260.pdf" title="33-11260">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,<br>
			Making Findings, and Imposing a Cease-and-Desist Order</a></td>
		</tr>
	</tbody>
</table>

<p></p>

<hr><!--------Centaur Management Co. LLC------------>
<h3><a id="centaur"></a>Centaur Management Co. LLC</h3>

<p>File No. 3-14950</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-81064</td>
			<td class="nobreak">June 30, 2017</td>
			<td>Notice of Name Change of Appointed Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-74802</td>
			<td class="nobreak">April 23, 2015</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-70015</td>
			<td class="nobreak">July 22, 2013</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-69604</td>
			<td class="nobreak">May 17, 2013</td>
			<td>Notice of Proposed Planof Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-69150</td>
			<td class="nobreak">Mar. 15, 2013</td>
			<td>Order Appointing Fund Administrator and Approving Fund Administrator Bond</td>
		</tr>
		<tr>
			<td class="nobreak">34-67824</td>
			<td class="nobreak">Sep. 11, 2012</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-67783</td>
			<td class="nobreak">Sep. 5, 2012</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">IA-3432</td>
			<td class="nobreak">Jul. 17, 2012</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings Making Findings, and Imposing Remedial Sanctions and a Ceaseand-Desist Order</td>
		</tr>
	</tbody>
</table>

<hr>
<h3><a id="centaurus"></a>Centaurus Financial, Inc., Ricky A. Mantei, and Atul Makharia</h3>

<p>File No. 3-21295</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-99966</td>
			<td class="nobreak">Apr. 16, 2024</td>
			<td><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="962cf26e-74d8-4e4c-beae-46938e6bf711" href="/files/litigation/admin/2024/34-99966.pdf" title="34-99966">Notice of Proposed Plan of Distribution and Opportunity for Comment</a></td>
		</tr>
		<tr>
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="f3cbdabf-cb88-46c3-b802-5f7d57a4c64b" href="/files/litigation/admin/2024/34-99966-pdp.pdf" title="34-99966-pdp">Proposed Distribution of Plan</a></td>
		</tr>
		<tr>
			<td class="nobreak">34-99590</td>
			<td class="nobreak">Feb. 23, 2024</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-99054</td>
			<td class="nobreak">Nov. 30, 2023</td>
			<td>Exension Order</td>
		</tr>
		<tr>
			<td class="nobreak">33-11153</td>
			<td class="nobreak">Feb. 6, 2023</td>
			<td><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="c8a265f3-2d02-4f2c-a557-828b60e9fe09" href="/files/litigation/admin/2023/33-11153.pdf" title="33-11153.pdf">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, and Sections 203(e) and 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order</a></td>
		</tr>
	</tbody>
</table>

<hr>
<h3><a id="rizzo3-14641"></a>Charles L. Rizzo and Gina M. Hornbogen</h3>

<p>File No. 3-14641</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-81064</td>
			<td class="nobreak">June 30, 2017</td>
			<td>Notice of Name Change of Appointed Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-78230</td>
			<td class="nobreak">Jul. 5, 2016</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-74566</td>
			<td class="nobreak">Mar. 23, 2015</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-72667</td>
			<td class="nobreak">Jul. 24, 2014</td>
			<td>Order Approving Amended Plan of Distribution </td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Amended Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-72429</td>
			<td class="nobreak">Jun. 18, 2014</td>
			<td>Notice of Amended Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Amended Proposed Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-71831</td>
			<td class="nobreak">Mar. 28, 2014</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-71448</td>
			<td class="nobreak">Jan. 30, 2014</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-70965</td>
			<td class="nobreak">Dec. 3, 2013</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-70573</td>
			<td class="nobreak">Sep. 30, 2013</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment<br>
			<i>Comments received are available for this proposed plan.</i></td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-68264</td>
			<td class="nobreak">Nov. 19, 2012</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-68264<br>
			IA-3436</td>
			<td class="nobreak">Jul. 20, 2012</td>
			<td>Order Making Findings and Imposing Remedial Sanctions</td>
		</tr>
		<tr>
			<td class="nobreak">34-65829<br>
			IA-3321</td>
			<td class="nobreak">Nov. 28, 2011</td>
			<td>Order Instituting Administrative Proceedings</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr><!--------Charles W. Crouse and Norman R. Hess------------>
<h3><a id="crouse"></a>Charles W. Crouse and Norman R. Hess</h3>

<p>File No. 3-11515</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-81064</td>
			<td class="nobreak">June 30, 2017</td>
			<td>Notice of Name Change of Appointed Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-65999</td>
			<td class="nobreak">Dec. 16, 2011</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-57607</td>
			<td class="nobreak">Apr. 2, 2008</td>
			<td>Order Approving and Ratifying Prior Disbursement and Approving Future Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-53432</td>
			<td class="nobreak">Mar. 7, 2006</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-52678</td>
			<td class="nobreak">Oct. 26, 2005</td>
			<td>Order Approving Plan of Fund Distribution, Appointing Administrator, and Consolidating Settlement Funds for Administration</td>
		</tr>
		<tr>
			<td class="nobreak">34-52279</td>
			<td class="nobreak">Aug. 17, 2005</td>
			<td>Notice of Proposed Plan of Disgorgement and Fair Fund Distribution and Opportunity for Comment</td>
		</tr>
		<tr>
			<td class="nobreak">33-8563<br>
			34-51480</td>
			<td class="nobreak">Apr. 6, 2005</td>
			<td>Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-51266</td>
			<td class="nobreak">Feb. 25, 2005</td>
			<td>Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-49829</td>
			<td class="nobreak">Jun. 8, 2004</td>
			<td>SEC Institutes Public Administrative Proceedings Against Charles W. Crouse and Norman R. Hess</td>
		</tr>
		<tr>
			<td class="nobreak"></td>
			<td class="nobreak">Jun. 8, 2004</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr><!--------Chatham Asset Management, LLC and Anthony Melchiorre------------>
<h3><a id="chatham"></a>Chatham Asset Management, LLC and Anthony Melchiorre</h3>

<p>File No. 3-21355</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-99895</td>
			<td class="nobreak">Apr. 3, 2024</td>
			<td><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="8514511e-a399-40d9-8ca4-ae58b4d1761c" href="/files/litigation/admin/2024/34-99895.pdf" title="34-99895">Order Appointing Tax Administrator</a></td>
		</tr>
		<tr>
			<td class="nobreak">IA-6270</td>
			<td class="nobreak">Apr. 3, 2023</td>
			<td><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="c352c662-93ff-4730-b645-b3e42dca1d50" href="/files/litigation/admin/2023/ia-6270.pdf" title="IA-6270">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, and Sections 9(b) and 9(f) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order</a></td>
		</tr>
	</tbody>
</table>

<p></p>

<hr><!--------CIHC, Inc., Conseco Services, LLC, and Conseco Equity Sales, Inc.------------>
<h3><a id="cihc"></a>CIHC, Inc., Conseco Services, LLC, and Conseco Equity Sales, Inc.</h3>

<p>File No. 3-11578</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-87523</td>
			<td class="nobreak">Nov. 13, 2019</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-82118</td>
			<td class="nobreak">Nov. 20, 2017</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-81064</td>
			<td class="nobreak">June 30, 2017</td>
			<td>Notice of Name Change of Appointed Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-80452</td>
			<td class="nobreak">Apr. 13, 2017</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-78370</td>
			<td class="nobreak">Jul. 20, 2016</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-74522</td>
			<td class="nobreak">Mar. 17, 2015</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-72999</td>
			<td class="nobreak">Sep. 4, 2014</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-61601</td>
			<td class="nobreak">Feb. 26, 2010</td>
			<td>Order Approving Plan, Appointing a Fund Administrator, and Waiving Bond</td>
		</tr>
		<tr>
			<td class="nobreak">34-61209A</td>
			<td class="nobreak">Jan. 19, 2010</td>
			<td>Amended Notice of Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr>
			<td class="nobreak">34-61209</td>
			<td class="nobreak">Dec. 18, 2009</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-53477</td>
			<td class="nobreak">Mar. 14, 2006</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">33-8455<br>
			34-50165<br>
			IC-26526</td>
			<td class="nobreak">Aug. 9, 2004</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr><!--------Citigroup Alternative Investments LLC and Citigroup Global Markets Inc.------------>
<h3><a id="citigroup"></a>Citigroup Alternative Investments LLC and Citigroup Global Markets Inc.</h3>

<p>File No. 3-16757</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-87000</td>
			<td class="nobreak">Sep. 18, 2019</td>
			<td>Order Directing Disbursement of Distribution Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-83123</td>
			<td class="nobreak">Apr. 27, 2018</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-82680</td>
			<td class="nobreak">Feb. 9, 2018</td>
			<td>Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-82047</td>
			<td class="nobreak">Nov. 9, 2017</td>
			<td>Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-81570</td>
			<td class="nobreak">Sep. 11, 2017</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment<br>
			<i>Comments received are available for this proposed plan.</i></td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-81064</td>
			<td class="nobreak">June 30, 2017</td>
			<td>Notice of Name Change of Appointed Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-77624</td>
			<td class="nobreak">Apr. 14, 2016</td>
			<td>Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-76312</td>
			<td class="nobreak">Oct. 29, 2015</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">33-9894</td>
			<td class="nobreak">Aug. 17, 2015</td>
			<td>Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From Being an Ineligible Issuer</td>
		</tr>
		<tr>
			<td class="nobreak">33-9893<br>
			34-75710<br>
			IA-4174</td>
			<td class="nobreak">Aug. 17, 2015</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Section 15(b)(4) of the Securities Exchange Act of 1934, and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr><!--Citigroup Global Markets, Inc..-->
<h3><a id="citigroupgm"></a>Citigroup Global Markets, Inc. and Morgan Stanley Smith Barney LLC</h3>

<p>File Nos. 3-17808 and 3-17809</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-98940</td>
			<td class="nobreak">Nov. 15, 2023</td>
			<td><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="7a85424b-6181-411d-9cb2-023b53220895" href="/files/litigation/admin/2023/34-98940.pdf" title="34-98940">Order Approving Plan of Distribution</a></td>
		</tr>
		<tr>
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="98ee44e5-20dc-49b2-b929-084598c449f8" href="/files/litigation/admin/2023/34-98940-dp.pdf" title="34-98940-dp">Plan of Distribution</a></td>
		</tr>
		<tr>
			<td class="nobreak">34-98399;</td>
			<td class="nobreak">Sept. 14, 2023</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment
			<ul>
				<li><a data-entity-substitution="canonical" data-entity-type="node" data-entity-uuid="89dea3ea-b319-4361-86a4-f4582e1d7ce8" href="/comments/3-17808/3-17808-notice-proposed-plan-distribution-and-opportunity-comment" title="Notice of Proposed Plan of Distribution and Opportunity for Comment">Submit Comments on 3-17808 and 3-17809</a></li>
			</ul>
			</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-96777</td>
			<td class="nobreak">Jan. 31, 2023</td>
			<td>Order Consolidating Fair Funds</td>
		</tr>
		<tr>
			<td class="nobreak">34-81634</td>
			<td class="nobreak">Sep. 14, 2017</td>
			<td>Corrected Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-81633</td>
			<td class="nobreak">Sep. 14, 2017</td>
			<td><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="6a1e0553-09f1-4bc9-81db-d3dfea6b9290" href="/files/litigation/admin/2017/34-81633.pdf" title="34-81633.pdf">Corrected Order Appointing Tax Administrator</a></td>
		</tr>
		<tr>
			<td class="nobreak">33-10290</td>
			<td class="nobreak">Jan 24, 2017</td>
			<td>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</td>
		</tr>
		<tr>
			<td class="nobreak">33-10288</td>
			<td class="nobreak">Jan. 24, 2017</td>
			<td>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</td>
		</tr>
	</tbody>
</table>

<hr>
<p><!--{C}%3C!%2D%2DClayborne%20Group%2C%20LLC%20and%20Dean%20A.%20Heinemann%2D%2D%3E--></p>

<h3><a id="claire"></a>Claire P. Shaughnessy</h3>

<p>File No. 3-21836</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th style="width: 83px;">Date</th>
			<th style="width: 246px;">Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-99900</td>
			<td class="nobreak" style="width: 83px;">Apr. 3, 2024</td>
			<td style="width: 246px;">Extension Order</td>
		</tr>
	</tbody>
</table>

<hr><!--Clayborne Group, LLC and Dean A. Heinemann-->
<h3><a id="clayborne"></a>Clayborne Group, LLC and Dean A. Heinemann</h3>

<p>File No. 3-18423</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-93707</td>
			<td class="nobreak">Dec. 2, 2021</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-85968</td>
			<td class="nobreak">May 30, 2019</td>
			<td>Order Directing Payment of Certain Funds Received by the Commission and Directing the Transfer of Remaining Funds to Treasury</td>
		</tr>
		<tr>
			<td class="nobreak">IA-4875</td>
			<td class="nobreak">Apr. 5, 2018</td>
			<td>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 and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr><!--Columbia Management Advisors, Inc. and Columbia Funds Distributor, Inc.-->
<h3><a id="columbia"></a>Columbia Management Advisors, Inc. and Columbia Funds Distributor, Inc.</h3>

<p>File No. 3-11814</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-81961</td>
			<td class="nobreak">Oct. 26, 2017</td>
			<td>Order Directing Disbursement</td>
		</tr>
		<tr>
			<td class="nobreak">34-81064</td>
			<td class="nobreak">June 30, 2017</td>
			<td>Notice of Name Change of Appointed Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-65122</td>
			<td class="nobreak">Aug. 12, 2011</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-62058</td>
			<td class="nobreak">May 6, 2010</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-58939</td>
			<td class="nobreak">Nov. 13, 2008</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-57422</td>
			<td class="nobreak">Mar. 3, 2008</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-56857</td>
			<td class="nobreak">Nov. 28, 2007</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-56216</td>
			<td class="nobreak">Aug. 7, 2007</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-55922</td>
			<td class="nobreak">Jun. 18, 2007</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-55598</td>
			<td class="nobreak">Apr. 6, 2007</td>
			<td>Order Approving a Distribution Plan</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-55332</td>
			<td class="nobreak">Feb. 22, 2007</td>
			<td>Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-55059</td>
			<td class="nobreak">Jan. 8, 2007</td>
			<td>Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-54474</td>
			<td class="nobreak">Sep. 20, 2006</td>
			<td>Order Extending Time to Enter an Order Approving or Disapproving Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-54175</td>
			<td class="nobreak">Jul. 19, 2006</td>
			<td>Notice Of Proposed Distribution Plan and Opportunity for Comment<br>
			<i>Comments received are available for this proposal.</i></td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-51341</td>
			<td class="nobreak">Mar. 9, 2005</td>
			<td>Order Directing Appointment of Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">33-8536</td>
			<td class="nobreak">Feb. 9, 2005</td>
			<td>Order Under Rule 602(e) Under the Securities Act of 1933, Granting a Waiver of the Disqualification Provisions of Rule 602(c)(3)</td>
		</tr>
		<tr>
			<td class="nobreak">33-8534<br>
			34-51164<br>
			IA-2351<br>
			IC-26752</td>
			<td class="nobreak">Feb. 9, 2005</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p><b><i>See also</i></b>, 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)</p>

<p></p>

<hr><!--------Computer Sciences Corporation, Michael Laphen, Michael Mancuso,
Wayne Banks, Claus Zilmer, and Paul Wakefield------------>
<h3><a id="csc"></a>Computer Sciences Corporation, Michael Laphen, Michael Mancuso, Wayne Banks, Claus Zilmer, and Paul Wakefield</h3>

<p>File No. 3-16575</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-96718</td>
			<td class="nobreak">Jan. 19, 2023</td>
			<td>Order Directing Second Distribution of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-90487</td>
			<td class="nobreak">Nov. 23, 2020</td>
			<td>Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses</td>
		</tr>
		<tr>
			<td class="nobreak">34-86046</td>
			<td class="nobreak">Jun. 6, 2019</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-81064</td>
			<td class="nobreak">June 30, 2017</td>
			<td>Notice of Name Change of Appointed Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-80559</td>
			<td class="nobreak">Apr. 28, 2017</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-80233</td>
			<td class="nobreak">Mar. 13, 2017</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-79058</td>
			<td class="nobreak">Oct. 6, 2016</td>
			<td>Third Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-78133</td>
			<td class="nobreak">Jun. 22, 2016</td>
			<td>Order Appointing Fund Plan Administrator and Setting Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-77985</td>
			<td class="nobreak">Jun. 2, 2016</td>
			<td>Second Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-77223</td>
			<td class="nobreak">Feb. 24, 2016</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-75573</td>
			<td class="nobreak">Jul. 30, 2015</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">33-9804</td>
			<td class="nobreak">Jun. 5, 2015</td>
			<td>Order Instituting Public Administrative And Cease-And desist Proceedings Pursuant to Section 8a Of The Securities Act Of 1933, Sections 4c And 21c of the Securities Exchange Act Of 1934, and Rule 102(E) of the Commission's Rules Of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order ("Order")</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3 id="sergematta">Compass Minerals International, Inc.</h3>

<p>File No. 3-21145</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-99076</td>
			<td class="nobreak">Dec. 4, 2023</td>
			<td>Extension Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3 id="sergematta">Comscore, Inc. and Serge Matta</h3>

<p>File No. 3-19499 and 3-19500</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-99246</td>
			<td class="nobreak">Dec. 27, 2023</td>
			<td>Order Appointing Fund Administrator, Setting Administrator’s Bond Amount, and Authorizing Payment of Fees and Expenses </td>
		</tr>
	</tbody>
	<tbody>
		<tr>
			<td class="nobreak">34-97467</td>
			<td class="nobreak">May 10, 2023</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-97389</td>
			<td class="nobreak">Apr. 27, 2023</td>
			<td>Order Consolidating Fair Funds</td>
		</tr>
		<tr>
			<td class="nobreak">34-87815</td>
			<td class="nobreak">Dec. 20, 2019</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">33-10693<br>
			34-87070<br>
			AAER-4092</td>
			<td class="nobreak">Sep. 24, 2019</td>
			<td>Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order</td>
		</tr>
		<tr>
			<td class="nobreak">33-10692<br>
			34-87069<br>
			AAER-4091</td>
			<td class="nobreak">Sep. 24, 2019</td>
			<td>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</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr><!--------Cornerstone Capital and Laura Jean Kent------------>
<h3><a id="cornerstone"></a>Cornerstone Capital and Laura Jean Kent</h3>

<p>File No. 3-13199</p>

<p>F</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-81064</td>
			<td class="nobreak">June 30, 2017</td>
			<td>Notice of Name Change of Appointed Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-69057</td>
			<td class="nobreak">Mar. 7, 2013</td>
			<td>Order Directing Disbursement of Distribution Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-62936</td>
			<td class="nobreak">Sep. 17, 2010</td>
			<td>Corrected Order Directing Disbursement of Disgorgement Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-61653</td>
			<td class="nobreak">Mar. 5, 2010</td>
			<td>Order Approving Plan and Appointing a Plan Administrator</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-61208</td>
			<td class="nobreak">Dec. 18, 2009</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-60848</td>
			<td class="nobreak">Oct. 20, 2009</td>
			<td>Order Granting Extension of Time to File Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-60675</td>
			<td class="nobreak">Sep. 15, 2009</td>
			<td>Order Granting Extension of Time to File Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-60327</td>
			<td class="nobreak">Jul. 17, 2009</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-59951</td>
			<td class="nobreak">May 20, 2009</td>
			<td>Order Granting Extension of Time to File Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">IA-2855</td>
			<td class="nobreak">Mar. 20, 2009</td>
			<td>Order Making Findings and Imposing Remedial Sanctions and a Cease and Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="Covia"></a>Covia Holdings Corp. and Fairmount Santrol Holdings Inc. Now Known as Bison Merger Sub I, LLC</h3>

<p>File No. 3-20163</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-98844</td>
			<td class="nobreak">Nov. 1, 2023</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-93981</td>
			<td class="nobreak">Jan. 13, 2022</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-93579</td>
			<td class="nobreak">Nov. 16, 2021</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment <!--<ul class="bullet-1 margin-0">
				<li>
				<form action="/cgi-bin/ruling-comments" class="margin-0" method="post"><a href="javascript:;" onclick="parentNode.submit();">Submit Comments on 3-20163</a> <input name="ruling" type="hidden" value="3-20163" /> <input name="action" type="hidden" value="Show_Form" /> <input name="rule_path" type="hidden" value="/comments/3-20163" /> <input name="file_num" type="hidden" value="3-20163" /> <input name="title" type="hidden" value="Proposed Plan of Distribution: Covia Holdings Corp. and Fairmount Santrol Holdings Inc. Now Known as Bison Merger Sub I, LLC" /></form>
				</li>
			</ul>--></td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-92846</td>
			<td class="nobreak">Sept. 1, 2021</td>
			<td>Second Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-92211</td>
			<td class="nobreak">Jun. 21, 2021</td>
			<td>Order Appointing Fund Administrator and Setting Administrator’s Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-91187</td>
			<td class="nobreak">Feb. 23, 2021</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-91103</td>
			<td class="nobreak">Feb. 11, 2021</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">33-10897</td>
			<td class="nobreak">Dec 8, 2020</td>
			<td>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</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr><!--------Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.), Credit Suisse Asset Management, LLC, and Samir H. Bhatt------------>
<h3><a id="csac"></a>Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.), Credit Suisse Asset Management, LLC, and Samir H. Bhatt</h3>

<p>File No. 3-14594</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-81064</td>
			<td class="nobreak">June 30, 2017</td>
			<td>Notice of Name Change of Appointed Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-79997</td>
			<td class="nobreak">Feb. 9, 2017</td>
			<td>Order Approving Plan of Distribution and Directing Disbursement of Fair Fund</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-78659</td>
			<td class="nobreak">Aug. 24, 2016</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td><a href="/litigation/admin/2016/34-78659-pdp.pdf
">Proposed Plan of Distribution</a><!-- <br/>
<i>Comments received are available for this notice</i> --></td>
		</tr>
		<tr>
			<td class="nobreak">34-77046</td>
			<td class="nobreak">Feb. 3, 2016</td>
			<td>Order Granting Extension of Time to Submit Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-75506</td>
			<td class="nobreak">Jul. 22, 2015</td>
			<td>Order Granting Extension of Time to Submit Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-74768</td>
			<td class="nobreak">Apr. 20, 2015</td>
			<td>Order Granting Extension of Time to Submit Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-73401</td>
			<td class="nobreak">Oct. 21, 2014</td>
			<td>Order Granting Extension of Time to Submit Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-71752</td>
			<td class="nobreak">Mar. 19, 2014</td>
			<td>Order Granting Extension of Time to Submit Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-70390</td>
			<td class="nobreak">Sep. 13, 2013</td>
			<td>Order Granting Extension of Time to Submit Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-69624</td>
			<td class="nobreak">May 22, 2013</td>
			<td>Order Granting Extension of Time to Submit Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-67341</td>
			<td class="nobreak">Jul. 3, 2012</td>
			<td>Order Granting Extension of Time to Submit Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-65908</td>
			<td class="nobreak">Dec. 7, 2011</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">33-9268<br>
			IA-3302</td>
			<td class="nobreak">Oct. 19, 2011</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders</td>
		</tr>
	</tbody>
</table>

<p><b><i>See also</i></b> the following Press Release:</p>

<ul>
	<li>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)</li>
</ul>

<p></p>

<hr><!--------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------------>
<p></p>

<hr>
<h3><a id="crews"></a>Crews & Associates, Inc.</h3>

<p>File No. 3-20480</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-93766</td>
			<td class="nobreak">Dec. 13, 2021</td>
			<td>Order Appointing Tax Administrator and Directing Payment of Certain Funds Received by the Commission</td>
		</tr>
	</tbody>
</table>
<!--------D------------>

<hr>
<h3><a id="daniel">Daniel Investments Associates, LLC and Gregory D. Van Wyk</a></h3>

<p>File No. 3-20211</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-99711</td>
			<td class="nobreak">Mar., 11, 2024</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
	</tbody>
</table>

<hr>
<h3><a id="bandimere">David F. Bandimere</a></h3>

<p>File No. 3-15124</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-97122</td>
			<td class="nobreak">Mar, 13, 2023</td>
			<td>Order Directing  Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-93425</td>
			<td class="nobreak">Oct. 26, 2021</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-92825</td>
			<td class="nobreak">Aug. 31, 2021</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment
			<ul class="bullet-1 margin-0">
				<li>
				<form action="/cgi-bin/ruling-comments" class="margin-0" method="post"><a href="javascript:;" onclick="parentNode.submit();">Submit Comments on 3-15124</a> <input name="ruling" type="hidden" value="3-15124"> <input name="action" type="hidden" value="Show_Form"> <input name="rule_path" type="hidden" value="/comments/3-15124"> <input name="file_num" type="hidden" value="3-15124"> <input name="title" type="hidden" value="Proposed  Plan of Distribution: David F. Bandimere"></form>
				</li>
			</ul>
			</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-90349</td>
			<td class="nobreak">Nov. 5, 2020</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-89896</td>
			<td class="nobreak">Sep. 16, 2020</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">33-10728<br>
			34-87605</td>
			<td class="nobreak">Nov. 22, 2019</td>
			<td>Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="devere"></a>DeVere USA, Inc.</h3>

<p>File No. 3-18527</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-97153</td>
			<td class="nobreak">Mar. 16, 2023</td>
			<td>Order Directing Second Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-93020</td>
			<td class="nobreak">Sep. 16, 2021</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-89588</td>
			<td class="nobreak">Aug. 17, 2020</td>
			<td>Order Approving Modified Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Modified Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-88919</td>
			<td class="nobreak">May 21, 2020</td>
			<td>Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-88452</td>
			<td class="nobreak">Mar. 23, 2020</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment<br>
			<i>Comments received are available for this proposed plan.</i></td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-84607</td>
			<td class="nobreak">Nov. 16, 2018</td>
			<td>Order Appointing Fund Administrator and Setting Administrator Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-83769</td>
			<td class="nobreak">Aug. 3, 2018</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-83443</td>
			<td class="nobreak">Jun. 14, 2018</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">IA-4933</td>
			<td class="nobreak">Jun. 4, 2018</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant To Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr><!-- Derik J. Todd, et al. -->
<h3><a id="deriktodd"></a>Derik J. Todd, et al.</h3>

<p>File No. 3-17672</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-85175</td>
			<td class="nobreak">Feb. 22, 2019</td>
			<td>Order Appointing Fund Administrator and Setting Administrator Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-83503</td>
			<td class="nobreak">Jun. 25, 2018</td>
			<td>Second Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-82768</td>
			<td class="nobreak">Feb. 23, 2018</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-82329</td>
			<td class="nobreak">Dec. 14, 2017</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">33-10250</td>
			<td class="nobreak">Nov. 10, 2016</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8a Of The Securities Act of 1933, Section 21C of The Securities Exchange Act Of 1934, Sections 203(e), 203(e) 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</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr><!--------E------------>
<h3><a id="eagle"></a>Eagle Bancorp, Inc.</h3>

<p>File No. 3-20963</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th style="width: 63px;">Date</th>
			<th style="width: 600px;">Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-99465</td>
			<td class="nobreak" style="width: 63px;">Apr. 3, 2024</td>
			<td style="width: 600px;">
			<p><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="3414eb13-5ae3-4b16-bbe9-185a320e0dba" href="/files/litigation/admin/2024/34-99899.pdf" title="34-99899">Order Approving Plan of Distribution</a></p>
			</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="09f75420-440d-4460-89c3-9c1ec9f2480d" href="/files/litigation/admin/2024/34-99899-dp.pdf" title="34-99899-dp">Plan of Distribution</a><br>
			<!--<i>Comments received are available for this plan.</i>--></td>
		</tr>
		<tr>
			<td class="nobreak">34-99465</td>
			<td class="nobreak" style="width: 63px;">Feb. 5, 2024</td>
			<td style="width: 600px;">
			<p>Notice of Proposed Plan of Distribution and Opportunity for Comment</p>

			<ul>
				<li>Submit Comments on 3-20963</li>
			</ul>
			</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution<br>
			<!--<i>Comments received are available for this plan.</i>--></td>
		</tr>
		<tr>
			<td class="nobreak">34-98922</td>
			<td class="nobreak" style="width: 63px;">Nov. 14, 2023</td>
			<td style="width: 600px;"><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="dcd583f7-2e8e-4fd0-a586-a9a3b4f9a492" href="/files/litigation/admin/2023/34-98922.pdf" title="34-98922">Order Appointing Fund Administrator, Setting Administrator's Bond Amount, and Authorizing Payment of Fees and Expenses</a></td>
		</tr>
		<tr>
			<td class="nobreak">34-97774</td>
			<td class="nobreak" style="width: 63px;">Jun. 21, 2023</td>
			<td style="width: 600px;">Second Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-97515</td>
			<td class="nobreak" style="width: 63px;">May 17, 2023</td>
			<td style="width: 600px;">Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-96115</td>
			<td class="nobreak" style="width: 63px;">Oct. 20, 2022</td>
			<td style="width: 600px;">Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">33-11092</td>
			<td class="nobreak" style="width: 63px;">Aug. 16, 2022</td>
			<td style="width: 600px;">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</td>
		</tr>
	</tbody>
</table>

<p></p>

<h3><a id="ETF"></a>Exchange Traded Managers Group LLC, et al.</h3>

<p>File No. 3-21542</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-99958</td>
			<td class="nobreak">Apr. 15, 2024</td>
			<td><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="3ee82733-98ae-4b8a-b6fb-db1eb5d34e3e" href="/files/litigation/admin/2024/34-99958.pdf" title="34-99958">Order Directing Second Payment of Certain Funds Received by the Commission</a></td>
		</tr>
		<tr>
			<td class="nobreak">34-98426</td>
			<td class="nobreak">Sept. 18, 2023</td>
			<td>Order Appointing Tax Administrator and Directing Payment of Certain Funds Received by the Commission and Transferring of Remaining Funds to the U.S. Treasury</td>
		</tr>
		<tr>
			<td class="nobreak">34-98034, IA-6362, IC-34979</td>
			<td class="nobreak">Aug. 1, 2023</td>
			<td><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="13cbd1c4-ff18-4ca9-9448-fdc4ac1330a8" href="/files/litigation/admin/2023/34-98034.pdf" title="34-98034">Order Instituting Administrative And Cease-and-Desist Proceedings, Pursuant To Section 15(b) Of The Securities Exchange Act Of 1934, Sections 203(e), 203(f) And 203(k) Of The Investment Advisers Act Of 1940, And Sections 9(b) And 9(f) Of The Investment Company Act Of 1940, Making Findings, And Imposing Remedial Sanctions And A Cease-and-Desist Order</a></td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="exelon"></a>Exelon Corporation and Commonwealth Edison Company</h3>

<p>File No. 3-21761</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-99039</td>
			<td class="nobreak">Nov. 29, 2023</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">33-11248</td>
			<td>Sept. 28, 2023</td>
			<td>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</td>
		</tr>
	</tbody>
</table>

<hr>
<h3><a>EZTD, Inc.</a></h3>

<p>File No. 3-17673</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-97856</td>
			<td class="nobreak">Jul. 7, 2023</td>
			<td><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="ab82e566-877f-4b6f-b134-a4d6e1dcb03a" href="/files/litigation/admin/2023/34-97856.pdf" title="34-97856">Order Approving Plan of Distribution</a></td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-97468</td>
			<td class="nobreak">May 10, 2023</td>
			<td>
			<p>Notice of Proposed Plan of Distribution and Opportunity for Comment<br>
			<b><i>Comments due:</i></b> <i>30 days from date of this Notice</i></p>

			<ul class="bullet-1 margin-0">
				<li>
				<form action="/cgi-bin/ruling-comments" class="margin-0" method="post"><a href="javascript:;" onclick="parentNode.submit();">Submit Comments on 3-17673</a> <input name="ruling" type="hidden" value="3-17673"> <input name="action" type="hidden" value="Show_Form"> <input name="rule_path" type="hidden" value="/comments/3-17673"> <input name="file_num" type="hidden" value="3-17673"> <input name="title" type="hidden" value="Proposed Distribution Plan"></form>
				</li>
			</ul>
			</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-88454</td>
			<td class="nobreak">Mar. 23, 2020</td>
			<td>Order Appointing Fund Administrator and Setting Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-82195</td>
			<td class="nobreak">Dec. 1, 2017</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">33-10251</td>
			<td class="nobreak">Nov. 10, 2016</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<hr><!--------F------------>
<h3><a id="fcaus"></a>FCA US LLC and Fiat Chrysler Automobiles N.V.</h3>

<p>File No. 3-19541</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-99967</td>
			<td class="nobreak">Apr. 16, 2024 </td>
			<td><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="df2aa6c2-177b-470f-9fba-3fea833c4967" href="/files/litigation/admin/2024/34-99967.pdf" title="34-99967">Order Approving Application of Fund Administrator For Payment of Fees and Expenses and Authorizing Approval and Payment of Fees and Expenses of Administration </a></td>
		</tr>
		<tr>
			<td class="nobreak">34-98425</td>
			<td class="nobreak">Sept. 18, 2023</td>
			<td>Order Directing  Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-95261</td>
			<td class="nobreak">Jul. 12, 2022</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-94948</td>
			<td class="nobreak">May 19, 2022</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment <!--<ul class="bullet-1 margin-0">
				<li>
				<form action="/cgi-bin/ruling-comments" class="margin-0" method="post"><a href="javascript:;" onclick="parentNode.submit();">Submit Comments on 3-19541</a> <input name="ruling" type="hidden" value="3-19541" /> <input name="action" type="hidden" value="Show_Form" /> <input name="rule_path" type="hidden" value="/comments/3-19541" /> <input name="file_num" type="hidden" value="3-19541" /> <input name="title" type="hidden" value="Proposed Distribution Plan" /></form>
				</li>
			</ul>--></td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-91997</td>
			<td class="nobreak">May 25, 2021</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-91642</td>
			<td class="nobreak">Apr. 22, 2021</td>
			<td>Order Appointing Fund Administrator and Setting Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-87851</td>
			<td class="nobreak">Dec. 23, 2019</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">33-10706<br>
			34-87134<br>
			AAER-4095</td>
			<td class="nobreak">Sep. 27, 2019</td>
			<td>Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="fiatnv"></a>Fiat Chrysler Automobiles N.V.</h3>

<p>File No. 3-20092</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-98417</td>
			<td class="nobreak">Sept. 18, 2023</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-93663</td>
			<td class="nobreak">Nov. 23, 2021</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-93106</td>
			<td class="nobreak">Sep. 23, 2021</td>
			<td>Notice Of Proposed Plan Of Distribution And Opportunity For Comment
			<form action="/cgi-bin/ruling-comments" class="margin-0" method="post"><a href="javascript:;" onclick="parentNode.submit();">Submit Comments on 3-20092</a> <input name="ruling" type="hidden" value="3-20092"> <input name="action" type="hidden" value="Show_Form"> <input name="rule_path" type="hidden" value="/comments/3-20092"> <input name="file_num" type="hidden" value="3-20092"> <input name="title" type="hidden" value="Proposed  Plan of Distribution: Fiat Chrysler Automobiles N.V."></form>
			</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-91572</td>
			<td class="nobreak">Apr. 15, 2021</td>
			<td>Order Appointing Fund Administrator and Setting Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-91571</td>
			<td class="nobreak">Apr. 15, 2021</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-90031</td>
			<td class="nobreak">Sep. 28, 2020</td>
			<td>Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="fidelity"></a>Fidelity National Capital Investors, Inc.</h3>

<p>File No. 3-11514</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-81064</td>
			<td class="nobreak">June 30, 2017</td>
			<td>Notice of Name Change of Appointed Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-57606</td>
			<td class="nobreak">Apr. 2, 2008</td>
			<td>Order Approving and Ratifying Prior Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-50801</td>
			<td class="nobreak">Dec. 7, 2004</td>
			<td>Order Approving Plan of Fund Distribution and Appointing Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-50493</td>
			<td class="nobreak">Oct. 5, 2004</td>
			<td>Notice of Proposed Plan of Disgorgement and Fair Fund Distribution and Opportunity for Comment</td>
		</tr>
		<tr>
			<td class="nobreak">34-49824</td>
			<td class="nobreak">Jun. 8, 2004</td>
			<td>Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions as to Fidelity National Capital Investors, Inc.</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="fieldman"></a>Fieldman Rolapp & Associates, Inc. and Anna Sarabian</h3>

<p>File No. 3-21717</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-99897</td>
			<td class="nobreak">Apr. 3, 2024</td>
			<td><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="7fc61564-c095-48c5-88ed-22aa458582a8" href="/files/litigation/admin/2024/34-99897.pdf" title="34-99897">Order Appointng Tax Administrator</a></td>
		</tr>
		<tr>
			<td class="nobreak">34-98510</td>
			<td class="nobreak">Sept. 25, 2023</td>
			<td><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="c2689c05-e573-4601-96be-8050eee7840d" href="/files/litigation/admin/2023/34-98510.pdf" title="34-98510">Order Instituting Administrative And Cease-and-Desist Proceedings, Pursuant To Sections 15B(c) And 21C of the Securities Exchange Act Of 1934, Making Findings, And Imposing Remedial Sanctions And a Cease-and-Desist Order</a></td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="fieldstone"></a>Fieldstone Financial Management Group, LLC and Kristofor R. Behn</h3>

<p>File No. 3-19227</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-88964</td>
			<td class="nobreak">May 28, 2020</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-88249</td>
			<td class="nobreak">Feb. 20, 2020</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-87854</td>
			<td class="nobreak">Dec. 23, 2019</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-87218</td>
			<td class="nobreak">Oct. 3, 2019</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">33-10655</td>
			<td class="nobreak">Jul. 1, 2019</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Section 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</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="fifth-third1"></a>Fifth Street Management, LLC</h3>

<p>File No. 3-18909</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-91509</td>
			<td class="nobreak">Apr. 8, 2021</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-89024</td>
			<td class="nobreak">Jun. 5, 2020</td>
			<td>Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses</td>
		</tr>
		<tr>
			<td class="nobreak">34-86551</td>
			<td class="nobreak">Aug. 1, 2019</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-86190</td>
			<td class="nobreak">Jun. 24, 2019</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity to Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-85742</td>
			<td class="nobreak">Apr. 29, 2019</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-85684</td>
			<td class="nobreak">Apr. 18, 2019</td>
			<td>Order Appointing Fund Administrator and Setting Administrator Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-85232</td>
			<td class="nobreak">Mar. 1, 2019</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">33-10581</td>
			<td class="nobreak">Dec. 3, 2018</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Sections 203(e) and 203(k) of the Investment Advisers Act of 1940 and Section 9(f) of the Investment Company Act of 1940 Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="fifth-third"></a>Fifth Third Bancorp and Daniel Poston</h3>

<p>File No. 3-15635</p>

<p></p>

<p></p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-95988</td>
			<td class="nobreak">Oct. 6, 2022</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-95418</td>
			<td class="nobreak">Aug. 4, 2022</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment
			<form action="/cgi-bin/ruling-comments" class="margin-0" method="post"><input name="ruling" type="hidden" value="3-15635"> <input name="action" type="hidden" value="Show_Form"> <input name="rule_path" type="hidden" value="/comments/3-15635"> <input name="file_num" type="hidden" value="3-15635"> <input name="title" type="hidden" value="Proposed Distribution Plan"></form>
			</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-93875</td>
			<td class="nobreak">Dec. 29, 2021</td>
			<td>Order Appointing Fund Administrator and Setting Administrator's Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-93110</td>
			<td class="nobreak">Sep. 23, 2021</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-92511</td>
			<td class="nobreak">Jul. 28, 2021</td>
			<td>Order Establishing a Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-71515</td>
			<td class="nobreak">Feb. 10, 2014</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">33-9490</td>
			<td class="nobreak">Dec. 4, 2013</td>
			<td>Order Instituting Public Administrative and Cease-and Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders and Penalties</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="first-southwest"></a>First Southwest Company, LLC</h3>

<p>File No. 3-17154</p>

<table class="fflist">
	<thead>
		<tr>
			<th style="width: 91px;">Release</th>
			<th style="width: 62px;">Date</th>
			<th style="width: 779px;">Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak" style="width: 91px;">34-77300</td>
			<td class="nobreak" style="width: 62px;">Mar. 7, 2016</td>
			<td style="width: 779px;">Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b), 15B(c)(2) and 21C Of The Securities Exchange Act Of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
		<tr>
			<td class="nobreak" style="width: 91px;">34-85433</td>
			<td class="nobreak" style="width: 62px;">Mar. 28, 2019</td>
			<td style="width: 779px;">Order Establishing Fair Fund and Directing Payment of Funds</td>
		</tr>
	</tbody>
</table>

<hr>
<h3><a id="fluor-corp"></a></h3>

<h3>Fluor Corporation, Jon Eric Best, James F. Brittain, Robin K. Chopra, CA, Bradley R. Scott, Kent N. Smith</h3>

<p>File Nos. 3-21610, 3-21612, 3-21613, 3-21614, 3-21615, and 3-21616</p>

<table>
	<thead>
		<tr>
			<th style="width: 82px;">Release</th>
			<th style="width: 99px;">Date</th>
			<th style="width: 751px;">Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td style="width: 82px;">34-99617</td>
			<td style="width: 99px;">Feb. 28, 2024</td>
			<td style="width: 751px;">Order Appointing Fund Administrator, Setting Administrator's Bond Amount, and Authorizing Payment of Fees and Expenses</td>
		</tr>
		<tr>
			<td style="width: 82px;">34-99144</td>
			<td style="width: 99px;">Dec. 12, 2023</td>
			<td style="width: 751px;">Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td style="width: 82px;">34-98914</td>
			<td style="width: 99px;">Nov. 13 2023</td>
			<td style="width: 751px;"><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="3c7418af-a718-49fb-a722-8b08d3b219ff" href="/files/litigation/admin/2023/34-98914.pdf" title="34-98914">Extension Order</a></td>
		</tr>
		<tr>
			<td style="width: 82px;">34-98297</td>
			<td style="width: 99px;">Sept. 6, 2023</td>
			<td>Order Instituting Cease-and-Desist Proceedings, Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order</td>
		</tr>
		<tr>
			<td style="width: 82px;">34-98296</td>
			<td style="width: 99px;">Sept. 6, 2023</td>
			<td>Order Instituting Cease-and-Desist Proceedings, Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order</td>
		</tr>
		<tr>
			<td style="width: 82px;">34-98295</td>
			<td style="width: 99px;">Sept. 6, 2023</td>
			<td>Order Instituting Cease-and-Desist Proceedings, Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order</td>
		</tr>
		<tr>
			<td style="width: 82px;">34-98294</td>
			<td style="width: 99px;">Sept. 6, 2023</td>
			<td>Order Instituting Cease-and-Desist Proceedings, Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order</td>
		</tr>
		<tr>
			<td style="width: 82px;">34-98293</td>
			<td style="width: 99px;">Sept. 6, 2023</td>
			<td>Order Instituting Cease-and-Desist Proceedings, Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order</td>
		</tr>
		<tr>
			<td style="width: 82px;">34-98292</td>
			<td style="width: 99px;">Sept. 6, 2023</td>
			<td style="width: 751px;"><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="5c4efd53-ef46-4569-940b-2119c4966beb" href="/files/litigation/admin/2023/34-98292.pdf" title="34-98292">Order Instituting Cease-and-Desist Proceedings, Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order</a></td>
		</tr>
	</tbody>
</table>

<hr>
<h3><a id="focus-media"></a>Focus Media Holding Limited and Jason Jiang</h3>

<p>File No. 3-16852</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-100073</td>
			<td class="nobreak">May 7, 2024</td>
			<td><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="abaca349-9997-4138-a6a7-a237f9eeb999" href="/files/litigation/admin/2024/34-100073.pdf" title="34-100073">Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Authorizing the Approval and Payment of Fees and Expenses of Administration</a></td>
		</tr>
		<tr>
			<td class="nobreak">34-88963</td>
			<td class="nobreak">May 28, 2020</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-82411</td>
			<td class="nobreak">Dec. 27, 2017</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-82002</td>
			<td class="nobreak">Nov. 2, 2017</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-81064</td>
			<td class="nobreak">June 30, 2017</td>
			<td>Notice of Name Change of Appointed Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-80544</td>
			<td class="nobreak">Apr. 27, 2017</td>
			<td>Third Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-80436</td>
			<td class="nobreak">Apr. 11, 2017</td>
			<td>Order Appointing Fund Plan Administrator and Setting Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-79166</td>
			<td class="nobreak">Oct. 26, 2016</td>
			<td>Second Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-78028</td>
			<td class="nobreak">Jun. 9, 2016</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-78006</td>
			<td class="nobreak">Jun. 7, 2016</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">33-9933</td>
			<td class="nobreak">Sep. 30, 2015</td>
			<td>Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="fortress"></a>Fortress Investment Management, LLC, and William M. Malloy, III</h3>

<p>File No. 3-19715</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-91508</td>
			<td class="nobreak">Apr. 8, 2021</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-90924</td>
			<td class="nobreak">Jan. 14, 2021</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-90483</td>
			<td class="nobreak">Nov. 23, 2020</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-88597</td>
			<td class="nobreak">Apr. 8, 2020</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-88588</td>
			<td class="nobreak">Apr. 8, 2020</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">IA-5452<br>
			IC-33807</td>
			<td class="nobreak">Feb. 27, 2020</td>
			<td>Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<h3><a id="foundations"></a>Foundations Asset Management, LLC, Michael W. Shamburger, and Rob E. Wedel</h3>

<p>File No. 3-19266</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-97000</td>
			<td class="nobreak">Mar. 1, 2023</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-95255</td>
			<td class="nobreak">Jul. 12, 2022</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-94877</td>
			<td class="nobreak">May 9, 2022</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment<br>
			<b>See also:</b> Proposed Distribution Plan
			<ul class="bullet-1 margin-0">
				<li>
				<form action="/cgi-bin/ruling-comments" class="margin-0" method="post"><a href="javascript:;" onclick="parentNode.submit();">Submit Comments on 3-19266</a> <input name="ruling" type="hidden" value="3-19266"> <input name="action" type="hidden" value="Show_Form"> <input name="rule_path" type="hidden" value="/comments/3-19266"> <input name="file_num" type="hidden" value="3-19266"> <input name="title" type="hidden" value="Proposed Distribution Plan"></form>
				</li>
			</ul>
			</td>
		</tr>
		<tr>
			<td class="nobreak">34-89521</td>
			<td class="nobreak">Aug. 11, 2020</td>
			<td>Order Appointing Tax Administrator<br>
			<b>See also:</b> Proposed Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-86446<br>
			IA-5306</td>
			<td class="nobreak">Jul. 24, 2019</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<h3><a id="frontier"></a>Frontier Wealth Management, LLC and Shawn Sokolosky</h3>

<p>File No. 3-20526</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th style="width: 66px;">Date</th>
			<th style="width: 860px;">Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-99145</td>
			<td class="nobreak" style="width: 66px;">Dec. 12, 2023</td>
			<td style="width: 860px;">Order Approving Plan of Distribution<br>
			<strong>See also:</strong> Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-98762</td>
			<td class="nobreak" style="width: 66px;">Oct. 17, 2023</td>
			<td style="width: 860px;">
			<p>Notice of Proposed Plan of Distribution and Opportunity for Comment<br>
			<strong>See also:</strong> Proposed Distribution Plan</p>
			</td>
		</tr>
		<tr>
			<td class="nobreak">34-96692</td>
			<td class="nobreak" style="width: 66px;">Jan. 18, 2023</td>
			<td style="width: 860px;">Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-96663</td>
			<td class="nobreak" style="width: 66px;">Jan. 13, 2023</td>
			<td style="width: 860px;">Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">33-10978</td>
			<td class="nobreak" style="width: 66px;">Sep. 3, 2021</td>
			<td style="width: 860px;">Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to 8A of the Securities Act of 1933, Sections 203(E), 203(F) And203(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 </td>
		</tr>
	</tbody>
</table>

<p></p>

<hr><!--------G------------>
<hr>
<h3><a id="geluk-fathers"></a>Geluk Capital Management Ltd and Douglas Gerald Fathers</h3>

<p>File No. 3-20906</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-100100</td>
			<td class="nobreak">May 10, 2024</td>
			<td>
			<p>Order Approving Plan of Distribution</p>
			</td>
		</tr>
		<tr>
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-99720</td>
			<td class="nobreak">Mar. 12, 2024</td>
			<td><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="47e470fe-c40d-402c-bdc4-d414e23f6e61" href="/files/litigation/admin/2024/34-99720.pdf" title="34-99720">Notice of Proposed Plan of Distribution and Opportunity for Comment</a><br>
			<b><i>Comments due:</i></b> <i>30 days from date of this Notice</i>
			<p><a data-entity-substitution="canonical" data-entity-type="node" data-entity-uuid="d141bfc9-db8d-4a18-84f7-e5e06a855690" href="/comments/3-20906/notice-proposed-plan-distribution-and-opportunity-comment" title="Notice of Proposed Plan of Distribution and Opportunity for Comment">Submit Comments on 3-20906</a></p>
			</td>
		</tr>
		<tr>
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>
			<p><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="80f0df85-2637-48b6-914f-843b734ffc0c" href="/files/litigation/admin/2024/34-99720-pdp.pdf" title="34-99720-dpd">Proposed Distribution Plan</a></p>
			</td>
		</tr>
		<tr>
			<td class="nobreak">34-97916</td>
			<td class="nobreak">Jul. 17, 2023</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">33-11077</td>
			<td class="nobreak">Jun. 24, 2022</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings</td>
		</tr>
	</tbody>
</table>

<p></p>

<h3><a id="gemini"></a>Gemini Fund Services, LLC</h3>

<p>File No. 3-18348</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-83070</td>
			<td class="nobreak">Apr. 19, 2018</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-83069</td>
			<td class="nobreak">Apr. 19, 2018</td>
			<td>Order Directing Payment of Certain Funds Received by the Commission and Directing Transfer of Remaining Funds to the U.S. Treasury </td>
		</tr>
		<tr>
			<td class="nobreak">IA-4847</td>
			<td class="nobreak">Jan. 22, 2018</td>
			<td>Order Instituting Cease-and-Desist Proceedings, Pursuant to Section 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="general-electric"></a>General Electric Company</h3>

<p>File No. 3-20165</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-96436</td>
			<td class="nobreak">Dec. 1, 2022</td>
			<td>Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of the Payment of Future Fees and Expenses</td>
		</tr>
		<tr>
			<td class="nobreak">34-94856</td>
			<td class="nobreak">May 5, 2022</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-94323</td>
			<td class="nobreak">Feb. 28, 2022</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment <!--<ul class="bullet-1 margin-0">
				<li>
				<form action="/cgi-bin/ruling-comments" class="margin-0" method="post"><a href="javascript:;" onclick="parentNode.submit();">Submit Comments on 3-20165</a> <input name="ruling" type="hidden" value="3-20165" /> <input name="action" type="hidden" value="Show_Form" /> <input name="rule_path" type="hidden" value="/comments/3-20165" /> <input name="file_num" type="hidden" value="3-20165" /> <input name="title" type="hidden" value="Proposed Distribution Plan" /></form>
				</li>
			</ul>--></td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-93029</td>
			<td class="nobreak">Sep. 16, 2021</td>
			<td>Order Appointing Fund Administrator and Setting Administrator Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-92784</td>
			<td class="nobreak">Aug. 27, 2021</td>
			<td>Second Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-91606</td>
			<td class="nobreak">Apr. 16, 2021</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-9124</td>
			<td class="nobreak">Mar. 2, 2021</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">33-10899<br>
			34-90620<br>
			AAER-4194</td>
			<td class="nobreak">Dec. 9, 2020</td>
			<td>Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="georgefranz"></a>George B. Franz III and Ruby Corporation</h3>

<p>File No. 3-15526</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-81064</td>
			<td class="nobreak">Jun. 30, 2017</td>
			<td>Notice of Name Change of Appointed Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-72334</td>
			<td class="nobreak">Jun. 5, 2014</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-72058</td>
			<td class="nobreak">Apr. 30, 2014</td>
			<td>Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 203(e), (f), and (k) of the Investment Advisers Act of 1940, Section 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940</td>
		</tr>
		<tr>
			<td class="nobreak">34-70533</td>
			<td class="nobreak">Sep. 26, 2013</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e), (f), and (k) of the Investment Advisers Act of 1940, Section 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="gmb"></a>GMB Capital Management LLC (currently known as "Clearstream Investments LLC"); GMB Capital Partners LLC; Gabriel Bitran and Marco Bitran</h3>

<p>File No. 3-14854</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-81064</td>
			<td class="nobreak">June 30, 2017</td>
			<td>Notice of Name Change of Appointed Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-79440</td>
			<td class="nobreak">Dec. 1, 2016</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td><a href="/litigation/admin/2016/34-79440-dp.pdf
">Plan of Distribution</a></td>
		</tr>
		<tr>
			<td class="nobreak">34-79139</td>
			<td class="nobreak">Oct. 21, 2016</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td><a href="/litigation/admin/2016/34-79139-ppd.pdf
">Proposed Plan of Distribution </a></td>
		</tr>
		<tr>
			<td class="nobreak">34-70591</td>
			<td class="nobreak">Oct. 1, 2013</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-68869</td>
			<td class="nobreak">Feb. 8, 2013</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-68774</td>
			<td class="nobreak">Jan. 30, 2013</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">33-9315<br>
			34-66837<br>
			IA-3399<br>
			IC-30040</td>
			<td class="nobreak">Apr. 20, 2012</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<hr>
<h3><a id="lorenzo"></a>Gregg C. Lorenzo, Francis V. Lorenzo, and Charles Vista, LLC</h3>

<p>File No. 3-15211</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-83502</td>
			<td class="nobreak">Jun. 25, 2018</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-82677</td>
			<td class="nobreak">Feb. 9, 2018</td>
			<td>Order Approving Amended Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-81064</td>
			<td class="nobreak">June 30, 2017</td>
			<td>Notice of Name Change of Appointed Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-76837</td>
			<td class="nobreak">Jan. 5, 2016</td>
			<td>Notice of Amended Proposed Plan of Distribution and Opportunity for Comment<br>
			<i>Comments received are available for this notice</i>.</td>
		</tr>
		<tr class="gray">
			<td></td>
			<td></td>
			<td>Proposed Amended Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-75059</td>
			<td class="nobreak">May 28, 2015</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-74607</td>
			<td class="nobreak">Mar. 30, 2015</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment<br>
			<i>Comments received are available for this notice</i>.</td>
		</tr>
		<tr class="gray">
			<td></td>
			<td></td>
			<td>Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-72856</td>
			<td class="nobreak">Aug. 15, 2014</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">33-9480<br>
			34-70904</td>
			<td class="nobreak">Nov. 20, 2013</td>
			<td>Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Respondents Gregg C. Lorenzo and Charles Vista, LLC</td>
		</tr>
		<tr>
			<td class="nobreak">33-9385<br>
			34-68943</td>
			<td class="nobreak">Feb. 15, 2013</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="g-trade"></a>G-Trade Services LLC, ConvergEx Global Markets Limited, and ConvergEx Execution Solutions LLC</h3>

<p>File No. 3-15654</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-87123</td>
			<td class="nobreak">Sep. 26, 2019</td>
			<td>Order Directing Sixth Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-81695</td>
			<td class="nobreak">Sep. 25, 2017</td>
			<td>Order Directing Fifth Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-81571</td>
			<td class="nobreak">Sep. 11, 2017</td>
			<td>Order Directing Fourth Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-80232</td>
			<td class="nobreak">Mar. 13, 2017</td>
			<td>Order Directing Third Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-80078</td>
			<td class="nobreak">Feb. 22, 2017</td>
			<td>Order Directing Second Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-79235</td>
			<td class="nobreak">Nov. 3, 2016</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-75519</td>
			<td class="nobreak">Jul. 24, 2015</td>
			<td>Order Approving a Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Plan of Distribution </td>
		</tr>
		<tr>
			<td class="nobreak">34-74614</td>
			<td class="nobreak">Mar. 31, 2015</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-73865</td>
			<td class="nobreak">Dec. 17, 2014</td>
			<td>Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-73795</td>
			<td class="nobreak">Dec. 9, 2014</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-72800</td>
			<td class="nobreak">Aug. 8, 2014</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-72487</td>
			<td class="nobreak">Jun. 27, 2014</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-72146</td>
			<td class="nobreak">May 9, 2014</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment<br>
			<em>Comments received are available for this proposal.</em></td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-71558</td>
			<td class="nobreak">Feb. 18, 2014</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-71128</td>
			<td class="nobreak">Dec. 18, 2013</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<hr>
<h3><a id="gtv"></a>GTV Media Group, Inc., Saraca Media Group, Inc. and Voice of Guo Media, Inc.</h3>

<p>File No. 3-20537</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-98415</td>
			<td class="nobreak">Sep. 18, 2023</td>
			<td>Order Directing Second Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-95732</td>
			<td class="nobreak">Sep. 12, 2022</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-95149</td>
			<td class="nobreak">Jun. 24, 2022</td>
			<td>Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses</td>
		</tr>
		<tr>
			<td class="nobreak">34-94628</td>
			<td class="nobreak">Apr. 7, 2022</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-94424</td>
			<td class="nobreak">Mar. 15, 2022</td>
			<td>Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-94107</td>
			<td class="nobreak">Jan. 31, 2022</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment<br>
			<i>Comments received are available for this proposed plan.</i>
			<ul class="bullet-1 margin-0">
				<li>
				<form action="/cgi-bin/ruling-comments" class="margin-0" method="post"><a href="javascript:;" onclick="parentNode.submit();">Submit Comments on 3-20537</a> <input name="ruling" type="hidden" value="3-20537"> <input name="action" type="hidden" value="Show_Form"> <input name="rule_path" type="hidden" value="/comments/3-20537"> <input name="file_num" type="hidden" value="3-20537"> <input name="title" type="hidden" value="Proposed Distribution Plan"></form>
				</li>
			</ul>
			</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-93666</td>
			<td class="nobreak">Nov. 23, 2021</td>
			<td>Order Appointing Fund Administrator and Setting Administrator's Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-93313</td>
			<td class="nobreak">Oct. 14, 2021</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr><!--------H------------>
<h3><a id="haidar"></a>Haidar Capital Management, LLC, Haidar Capital Advisors, LLC, and Said N. Haidar</h3>

<p>File No. 3-12678</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-81064</td>
			<td class="nobreak">June 30, 2017</td>
			<td>Notice of Name Change of Appointed Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-79803</td>
			<td class="nobreak">Jan. 13, 2017</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-62200</td>
			<td class="nobreak">Jun. 1, 2010</td>
			<td>Order Approving Plan, Appointing a Fund Administrator, and Waiving Bond</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Final Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-61897</td>
			<td class="nobreak">Apr. 13, 2010</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution </td>
		</tr>
		<tr>
			<td class="nobreak">34-56909</td>
			<td class="nobreak">Dec. 5, 2007</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">33-8820<br>
			IA-2617<br>
			IC-27883</td>
			<td class="nobreak">Jul. 6, 2007</td>
			<td>Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, Imposing a Cease-and-Desist Order, and Imposing Remedial Sanctions</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="hcr"></a>HCR Wealth Advisors</h3>

<p>File No. 3-19494</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-98939</td>
			<td class="nobreak">Nov. 14, 2023</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-98408</td>
			<td class="nobreak">Sept. 15, 2023</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Plan of Distribution </td>
		</tr>
		<tr>
			<td class="nobreak">34-97921</td>
			<td class="nobreak">Jul. 17, 2023</td>
			<td>Notice Of Proposed Plan Of Distribution And Opportunity For Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-95641</td>
			<td class="nobreak">Aug. 31, 2022</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-93706</td>
			<td class="nobreak">Dec. 2, 2021</td>
			<td>Order Establishing a Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">IA-5361</td>
			<td class="nobreak">Sept. 23, 2019</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(E) and 203(K) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="health"></a>Health Insurance Innovations, Inc., now named Benefytt Technologies, Inc., and Gavin D. Southwell</h3>

<p>File No. 3-20932</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-98936</td>
			<td class="nobreak">Nov. 14, 2023</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-98493</td>
			<td class="nobreak">Sept. 25, 2023</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-98416</td>
			<td class="nobreak">Sep. 18, 2023</td>
			<td><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="a5ed190a-ff05-4860-8744-d0bd924a797d" href="/files/litigation/admin/2023/34-98416.pdf" title="34-98416">Order Appointing Fund Administrator, Setting Administrator's Bond Amount, and Authorizing Payment of Fees and Expenses</a></td>
		</tr>
		<tr>
			<td class="nobreak">34-97811</td>
			<td class="nobreak">Jun. 27, 2023</td>
			<td>Second Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-96435</td>
			<td class="nobreak">Dec. 1, 2022</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-95805</td>
			<td class="nobreak">Sep. 16, 2022</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">33-11084<br>
			34-95323</td>
			<td class="nobreak">Jul. 20, 2022</td>
			<td>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</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="houston"></a>Houston American Energy Corp., John F. Terwilliger, Jr., Undiscovered Equities Inc., and Kevin T. McKnight</h3>

<p>File No. 3-16000</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-98486</td>
			<td class="nobreak">Sept. 22, 2023</td>
			<td>Order Directing  Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-95432</td>
			<td class="nobreak">Aug. 5, 2022</td>
			<td>Order Approving Corrected Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-95044</td>
			<td class="nobreak">Jun. 6, 2022</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment
			<ul class="bullet-1 margin-0">
				<li>
				<form action="/cgi-bin/ruling-comments" class="margin-0" method="post"><a href="javascript:;" onclick="parentNode.submit();">Submit Comments on 3-16000</a> <input name="ruling" type="hidden" value="3-16000"> <input name="action" type="hidden" value="Show_Form"> <input name="rule_path" type="hidden" value="/comments/3-16000"> <input name="file_num" type="hidden" value="3-16000"> <input name="title" type="hidden" value="Proposed Distribution Plan"></form>
				</li>
			</ul>
			</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-85185</td>
			<td class="nobreak">Feb. 25, 2019</td>
			<td>Corrected Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-83636</td>
			<td class="nobreak">Jul. 16, 2018</td>
			<td>Order Establishing a Fair Fund, Appointing a Fund Administrator, and Setting Administrator's Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">33-9621<br>
			34-72749</td>
			<td class="nobreak">Aug. 4, 2014</td>
			<td>Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8a of the Securities Act of 1933 and 21C of the Securities Exchange Act of 1934</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="richardsh"></a>Howard Richards; James Goodland, and Securus Wealth Management, LLC</h3>

<p>File Nos. 3-16877 and 3-16878</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-96064</td>
			<td class="nobreak">Oct. 13, 2022</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-93980</td>
			<td class="nobreak">Jan. 13, 2022</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Plan of Distribution </td>
		</tr>
		<tr>
			<td class="nobreak">34-93664</td>
			<td class="nobreak">Nov. 23, 2021</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment  <!--<ul class="bullet-1 margin-0">
				<li>
				<form action="/cgi-bin/ruling-comments" class="margin-0" method="post"><a href="javascript:;" onclick="parentNode.submit();">Submit Comments on 3-16877 and 3-16878</a> <input name="ruling" type="hidden" value="3-16877" /> <input name="action" type="hidden" value="Show_Form" /> <input name="rule_path" type="hidden" value="/comments/3-16877" /> <input name="file_num" type="hidden" value="3-16877" /> <input name="title" type="hidden" value="Proposed Plan of Distribution: Howard Richards; James Goodland, and Securus Wealth Management, LLC" /></form>
				</li>
			</ul>--></td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution </td>
		</tr>
		<tr>
			<td class="nobreak">34-82902</td>
			<td class="nobreak">Mar. 16, 2018</td>
			<td>Order Appointing Fund Administrator and Waiving Bond</td>
		</tr>
		<tr>
			<td class="nobreak">34-82835</td>
			<td class="nobreak">Mar. 8, 2018</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-82184</td>
			<td class="nobreak">Nov. 30, 2017</td>
			<td>Third Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-80842</td>
			<td class="nobreak">Jun. 1, 2017</td>
			<td>Second Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-79449</td>
			<td class="nobreak">Dec. 1, 2016</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">IA-4213</td>
			<td class="nobreak">Sep. 30, 2015</td>
			<td>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)</td>
		</tr>
		<tr>
			<td class="nobreak">34-76058</td>
			<td class="nobreak">Sep. 30, 2015</td>
			<td>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)</td>
		</tr>
	</tbody>
</table>

<hr><!--------I------------>
<h3><a id="ifs"></a>IFS Securities</h3>

<p>File No. 3-19220</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-87269</td>
			<td class="nobreak">Oct. 10, 2019</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-87175</td>
			<td class="nobreak">Sep. 30, 2019</td>
			<td>Order Directing Payment of Certain Funds Received by the Commission and Directing the Transfer of Remaining Funds to Treasury</td>
		</tr>
		<tr>
			<td class="nobreak">34-86210</td>
			<td class="nobreak">Jun. 27, 2019</td>
			<td>Order Instituting Administrative Proceedings Pursuant to Sections 15(b) and 15B(c) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="impact"></a>Impact Theory, LLC</h3>

<p>File No. 3-21585</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-99278</td>
			<td class="nobreak">Jan. 5, 2024</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-98803</td>
			<td class="nobreak">Oct. 27, 2023</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">33-11226</td>
			<td class="nobreak">Aug. 28, 2023</td>
			<td>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</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<hr>
<h3><a id="institutional"></a>Institutional Investors Advisory Company</h3>

<p>File No. 3-18114</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-81627</td>
			<td class="nobreak">Sep. 14, 2017</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">IA-4747</td>
			<td class="nobreak">Aug. 16, 2017</td>
			<td>Order Instituting Cease-and-Desist Proceedings Pursuant to Section 203(K) of the Investment Advisers Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr><!--------J------------>
<h3><a id="licht"></a>Jeremy A. Licht d/b/a JL Capital Management</h3>

<p>File No. 3-18171</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-89025</td>
			<td class="nobreak">Jun. 5, 2020</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-87283</td>
			<td class="nobreak">Oct. 10, 2019</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-86733</td>
			<td class="nobreak">Aug. 22, 2019</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-84554</td>
			<td class="nobreak">Nov. 8, 2018</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-83068</td>
			<td class="nobreak">Apr. 19, 2018</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-81584</td>
			<td class="nobreak">Sep. 12, 2017</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 21C Of the Securities 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</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="johnpaulharnish"></a>John Paul Harnish d/b/a KM Advisory Services</h3>

<p>File No. 3-20882</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-97646</td>
			<td class="nobreak">Jun, 5, 2023</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-96217</td>
			<td class="nobreak">Nov. 03, 2022</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-95047</td>
			<td class="nobreak">Jun. 6, 2022</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 15(B) Of the Securities Exchange Act of 1934 and 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</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="jpmorganchase"></a>JPMorgan Chase & Co.</h3>

<p>File No. 3-15507</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-86727</td>
			<td class="nobreak">Aug. 22, 2019</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-84532</td>
			<td class="nobreak">Nov. 5, 2018</td>
			<td>Order Setting Fund Administrator's Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak"></td>
			<td class="nobreak">Feb. 7, 2017</td>
			<td>Motion to Amend Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-81383</td>
			<td class="nobreak">Aug. 11, 2017</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-81064</td>
			<td class="nobreak">June 30, 2017</td>
			<td>Notice of Name Change of Appointed Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-74266</td>
			<td class="nobreak">Feb. 12, 2015</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-73824</td>
			<td class="nobreak">Dec. 11, 2014</td>
			<td>Notice of Proposed Distribution Plan and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Distribution Plan<br>
			<!-- <i>Comments received are available for this proposed plan.</i> --></td>
		</tr>
		<tr>
			<td class="nobreak">34-72181</td>
			<td class="nobreak">May 16, 2014</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-71825</td>
			<td class="nobreak">Mar. 27, 2014</td>
			<td>Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-71654</td>
			<td class="nobreak">Mar. 5, 2014</td>
			<td>Order Establishing a Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-70780</td>
			<td class="nobreak">Oct. 30, 2013</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-70615</td>
			<td class="nobreak">Oct. 4, 2013</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-70458<br>
			AAER-3490</td>
			<td class="nobreak">Sep. 19, 2013</td>
			<td>Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="jpturner"></a>JP Turner & Company, LLC, and William L. Mello</h3>

<p>File No. 3-15014</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-81064</td>
			<td class="nobreak">June 30, 2017</td>
			<td>Notice of Name Change of Appointed Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-75294</td>
			<td class="nobreak">Jun. 24, 2014</td>
			<td>Order Directing Disbursement of Distribution Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-73679</td>
			<td class="nobreak">Nov. 25, 2014</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Final Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-73322</td>
			<td class="nobreak">Oct. 8, 2014</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-72486</td>
			<td class="nobreak">Jun. 26, 2014</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-68172</td>
			<td class="nobreak">Nov. 6, 2012</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-67958</td>
			<td class="nobreak">Oct. 2, 2012</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-67808<br>
			IA-3460</td>
			<td class="nobreak">Sep. 10, 2012</td>
			<td>Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="jwbarclay"></a>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</h3>

<p>File No. 3-10765</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-51341</td>
			<td class="nobreak">Mar. 9, 2005</td>
			<td>Order Directing Appointment of Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">33-8436<br>
			34-49970</td>
			<td class="nobreak">Jul. 6, 2004</td>
			<td>Opinion in the Matter of Edgar B. Alacan</td>
		</tr>
		<tr>
			<td class="nobreak">ID-239</td>
			<td class="nobreak">Oct. 23, 2003</td>
			<td>Initial Decision as to Edgar B. Alacan</td>
		</tr>
		<tr>
			<td class="nobreak">33-8279<br>
			34-48443</td>
			<td class="nobreak">Sep. 4, 2003</td>
			<td>Notice That Initial Decision Has Become Final: Mayer Dallal</td>
		</tr>
		<tr>
			<td class="nobreak">ID-233</td>
			<td class="nobreak">Jul. 23, 2003</td>
			<td>Initial Decision as to Mayer Dallal</td>
		</tr>
		<tr>
			<td class="nobreak">33-8218<br>
			34-47611</td>
			<td class="nobreak">Apr. 1, 2003</td>
			<td>Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Michael B. Scott</td>
		</tr>
		<tr>
			<td class="nobreak">33-8215<br>
			34-47581</td>
			<td class="nobreak">Mar. 27, 2003</td>
			<td>Order Making Findings and Imposing Remedial Sanctions by Default Against John A. Bruno</td>
		</tr>
		<tr>
			<td class="nobreak">33-8211<br>
			34-47544</td>
			<td class="nobreak">Mar. 20, 2003</td>
			<td>Order Making Findings and Imposing Remedial Sanctions by Default Against Danoo Noor, Sr.</td>
		</tr>
		<tr>
			<td class="nobreak">33-8203<br>
			34-47506</td>
			<td class="nobreak">Mar. 14, 2003</td>
			<td>Order Making Findings and Imposing Remedial Sanctions by Default Against J.W. Barclay & Co., Inc.</td>
		</tr>
		<tr>
			<td class="nobreak">33-8202<br>
			34-47498</td>
			<td class="nobreak">Mar. 13, 2003</td>
			<td>Order Making Findings and Imposing Remedial Sanctions as to Michael J. Wills</td>
		</tr>
		<tr>
			<td class="nobreak">33-8201<br>
			34-47497</td>
			<td class="nobreak">Mar. 13, 2003</td>
			<td>Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Emmanuel P. Cube</td>
		</tr>
		<tr>
			<td class="nobreak">33-8200<br>
			34-47496</td>
			<td class="nobreak">Mar. 13, 2003</td>
			<td>Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Emanuele A. Scarso</td>
		</tr>
		<tr>
			<td class="nobreak">33-8094<br>
			34-45815</td>
			<td class="nobreak">Apr. 24, 2002</td>
			<td>In the Matter of J.W. Barclay & Co., Inc., et al.</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="kahn"></a>Kahn Brothers Advisors, LLC and Thomas Kahn</h3>

<p>File No. 3-20880</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-98714</td>
			<td class="nobreak">Oct. 10, 2023</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-98119</td>
			<td class="nobreak">Aug. 14, 2023</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-96996</td>
			<td class="nobreak">Feb. 28, 2023</td>
			<td>Second Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-96434</td>
			<td class="nobreak">Dec. 1, 2022</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-95506</td>
			<td class="nobreak">Aug. 16, 2022</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-95045</td>
			<td class="nobreak">Jun. 6, 2022</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant To Section 15(B) Of The Securities Exchange Act Of 1934 And 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</td>
		</tr>
	</tbody>
</table>

<hr>
<h3><a id="kathrynjanemeredith"></a>Kathryn Jane Meredith d/b/a KM Advisory Services</h3>

<p>File No. 3-20881</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-98594</td>
			<td class="nobreak">Sept. 28, 2023</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-98049</td>
			<td class="nobreak">Aug. 3, 2023</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-98024</td>
			<td class="nobreak">Jul. 31, 2023</td>
			<td><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="b70dc78a-d430-41d0-9345-7d9731c7e755" href="/files/litigation/admin/2022/34-98024.pdf" title="34-98024">Order Appointing Fund Administrator, Setting Bond Amount, and Authorizing Payment of Fees and Expenses</a></td>
		</tr>
		<tr>
			<td class="nobreak">34-97802</td>
			<td class="nobreak">Jun. 27, 2023</td>
			<td>Second Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-97646</td>
			<td class="nobreak">Jun. 5, 2023</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-96217</td>
			<td class="nobreak">Nov. 03, 2022</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-95046</td>
			<td class="nobreak">Jun. 6, 2022</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 15(B) Of the Securities Exchange Act of 1934 and 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</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="summers"></a>Keith MacDonald Summers</h3>

<p>File No. 3-16014</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-81064</td>
			<td class="nobreak">June 30, 2017</td>
			<td>Notice of Name Change of Appointed Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-75679</td>
			<td class="nobreak">Aug. 12, 2015</td>
			<td>Order Directing Disbursement of Disgorgement Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-74812</td>
			<td class="nobreak">Apr. 27, 2015</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-74461</td>
			<td class="nobreak">March 10, 2015</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-73400</td>
			<td class="nobreak">Oct. 21, 2014</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak" height="27">34-73073</td>
			<td class="nobreak">Sep. 11, 2014</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">33-9630<br>
			34-72836<br>
			IA-3895<br>
			IC-31210</td>
			<td class="nobreak">Aug. 13, 2014</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="groom"></a>Kendall J. Groom, CPA</h3>

<p>File No. 3-19301</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-86764</td>
			<td class="nobreak">Aug. 26, 2019</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-86541</td>
			<td class="nobreak">August 1, 2019</td>
			<td>Order Directing Payment of Certain Funds Received by Commission</td>
		</tr>
		<tr>
			<td class="nobreak">34-86540</td>
			<td class="nobreak">August 1, 2019</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 15(b) of the Securities 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</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="kpmg"></a>KPMG LLP and John Riordan, CPA</h3>

<p>File No. 3-16729</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-99904</td>
			<td class="nobreak">Apr. 3, 2024</td>
			<td>
			<p><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="83d8f179-0e7f-4371-806f-2c66837c71c2" href="/files/litigation/admin/2024/34-99904.pdf" title="34-99904">Order Approving Plan of Distribution</a></p>
			</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="183a46d2-34d8-4d93-8df9-e47427b874e9" href="/files/litigation/admin/2024/34-99904-pd.pdf" title="34-99904-pd">Plan of Distribution</a></td>
		</tr>
		<tr>
			<td class="nobreak">34-99469</td>
			<td class="nobreak">Feb. 5, 2024</td>
			<td>
			<p>Notice of Proposed Plan of Distribution and Opportunity for Comment</p>
			</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-95941</td>
			<td class="nobreak">Sep. 29, 2022</td>
			<td>Order Appointing Fund Administrator and Setting Administrator's Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-95642</td>
			<td class="nobreak">Aug. 31, 2022</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-94300</td>
			<td class="nobreak">Feb. 23, 2022</td>
			<td>Order Establishing A Fair Fund</td>
		</tr>
	</tbody>
</table>

<hr>
<h3><a id="kraft"></a>The Kraft Heinz Co. and Eduardo Pelleissone</h3>

<p>File No. 3-20523</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-98398</td>
			<td class="nobreak">Sept.14, 2023</td>
			<td>Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Payment of Fees and Expenses</td>
		</tr>
		<tr>
			<td class="nobreak">34-96578</td>
			<td class="nobreak">Dec. 23, 2022</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-95702</td>
			<td class="nobreak">Sep. 8, 2022</td>
			<td>Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-95277</td>
			<td class="nobreak">Jul. 14, 2022</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment <i>Comments received are available </i></td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-94380</td>
			<td class="nobreak">Mar. 8, 2022</td>
			<td>Order Appointing Fund Administrator and Setting Administrator's Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-93878</td>
			<td class="nobreak">Dec. 29, 2021</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-93703</td>
			<td class="nobreak">Dec. 2, 2021</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">33-10977</td>
			<td class="nobreak">Sep. 3, 2021</td>
			<td>Corrected 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 </td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="kbra"></a>Kroll Bond Rating Agency, LLC</h3>

<p>File No. 3-20097</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-90348</td>
			<td class="nobreak">Nov. 5, 2020</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-90037</td>
			<td class="nobreak">Sep. 29, 2020</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-90038</td>
			<td class="nobreak">Sep. 29, 2020</td>
			<td>Order Directing Payment of Certain Funds Received by the Commission</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr><!--------L------------>
<h3><a id="balter"></a>Laurence I. Balter d/b/a Oracle Investment Research</h3>

<p>File No. 3-17614</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-99944</td>
			<td class="nobreak">Apr. 11, 2024</td>
			<td><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="89a83398-db66-4b26-bd13-59cb16f4f5a6" href="/files/litigation/admin/2024/34-99944_0.pdf" title="34-99944">Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Authorizing the Approval and Payment of Fees and Expenses of Administration</a></td>
		</tr>
		<tr>
			<td class="nobreak">34-97083</td>
			<td class="nobreak">Mar. 8, 2023</td>
			<td>Order Directing  Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-94857</td>
			<td class="nobreak">May 5, 2022</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-94312</td>
			<td class="nobreak">Feb. 25, 2022</td>
			<td>Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-93872</td>
			<td class="nobreak">Dec. 29, 2021</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution <!--<i>Comments received are available for this proposed plan.</i><br>--> <!--<ul class="bullet-1 margin-0">
				<li>
				<form action="/cgi-bin/ruling-comments" class="margin-0" method="post"><a href="javascript:;" onclick="parentNode.submit();">Submit Comments on 3-17614</a> <input name="ruling" type="hidden" value="3-17614" /> <input name="action" type="hidden" value="Show_Form" /> <input name="rule_path" type="hidden" value="/comments/3-17614" /> <input name="file_num" type="hidden" value="3-17614" /> <input name="title" type="hidden" value="Distribution Plan" /></form>
				</li>
			</ul>--></td>
		</tr>
		<tr>
			<td class="nobreak">34-93317</td>
			<td class="nobreak">Oct. 14, 2021</td>
			<td>Second Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-91738</td>
			<td class="nobreak">Apr. 30, 2021</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-91570</td>
			<td class="nobreak">Apr. 15, 2021</td>
			<td>Order Appointing Fund Administrator and Setting Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-81445</td>
			<td class="nobreak">Aug. 21, 2017</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">33-10367<br>
			34-80801<br>
			IC-32664<br>
			IA-4710</td>
			<td class="nobreak">May 26, 2017</td>
			<td>Order Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="cornide"></a>Leonardo Cornide and Jorge Falcon</h3>

<p>File No. 3-19511</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-90006</td>
			<td class="nobreak">Sep. 25, 2020</td>
			<td>Order Directing Fourth Payment of Certain Funds Received by the Commission</td>
		</tr>
		<tr>
			<td class="nobreak">34-89390</td>
			<td class="nobreak">Jul. 23, 2020</td>
			<td>Order Directing Third Payment of Certain Funds Received by the Commission</td>
		</tr>
		<tr>
			<td class="nobreak">34-88777</td>
			<td class="nobreak">Apr. 30, 2020</td>
			<td>Order Directing Second Payment of Certain Funds Received by the Commission</td>
		</tr>
		<tr>
			<td class="nobreak">34-88145</td>
			<td class="nobreak">Feb. 7, 2020</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-88144</td>
			<td class="nobreak">Feb. 7, 2020</td>
			<td>Order Directing Payment of Certain Funds Received by the Commission</td>
		</tr>
		<tr>
			<td class="nobreak">IA-5366A</td>
			<td class="nobreak">Jan. 24, 2020</td>
			<td>Amended Order Instituting Cease-And- Desist Proceedings Pursuant to Section 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="linkbrokers"></a>Linkbrokers Derivatives LLC and Aaron Nowak</h3>

<p>File Nos. 3-16017 and 3-16999</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-84712</td>
			<td class="nobreak">Dec. 3, 2018</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-84407</td>
			<td class="nobreak">Oct. 11, 2018</td>
			<td>Order Directing Payment of Fund Administrator Fees, and Approval of Future Fees and Expenses</td>
		</tr>
		<tr>
			<td class="nobreak">34-81064</td>
			<td class="nobreak">June 30, 2017</td>
			<td>Notice of Name Change of Appointed Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-79248</td>
			<td class="nobreak">Nov. 4, 2016</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-78577</td>
			<td class="nobreak">Aug. 15, 2016</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-76815</td>
			<td class="nobreak">Dec. 31, 2015</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">33-9988<br>
			34-76628<br>
			IC-31934</td>
			<td class="nobreak">Dec. 11, 2015</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Nowak)</td>
		</tr>
		<tr>
			<td class="nobreak">34-75784</td>
			<td class="nobreak">Aug. 28, 2015</td>
			<td>Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-75341</td>
			<td class="nobreak">Jul. 1, 2015</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-73651</td>
			<td class="nobreak">Nov. 20, 2014</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-73012</td>
			<td class="nobreak">Sep. 5, 2014</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-72846</td>
			<td class="nobreak">Aug. 14, 2014</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant To Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3 id="logitech">Logitech International, S.A., Michael Doktorczyk, and Sherralyn Bolles, CPA</h3>

<p>File No. 3-17212</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-97729</td>
			<td class="nobreak">Jun. 15, 2023</td>
			<td>Order Directing Second Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-93062</td>
			<td class="nobreak">Sep. 20, 2021</td>
			<td>Order Approving Second Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Second Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-92498</td>
			<td class="nobreak">Jul. 26, 2021</td>
			<td>Notice of Proposed Second Plan of Distribution and Opportunity to Comment
			<ul class="bullet-1 margin-0">
				<li>
				<form action="/cgi-bin/ruling-comments" class="margin-0" method="post"><a href="javascript:;" onclick="parentNode.submit();">Submit Comments on 3-17212</a> <input name="ruling" type="hidden" value="3-17212"> <input name="action" type="hidden" value="Show_Form"> <input name="rule_path" type="hidden" value="/comments/3-17212"> <input name="file_num" type="hidden" value="3-17212"> <input name="title" type="hidden" value="Proposed Second Plan of Distribution: Logitech International, S.A., Michael Doktorczyk, and Sherralyn Bolles, CPA"></form>
				</li>
			</ul>
			</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Second Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-90347</td>
			<td class="nobreak">Nov. 5, 2020</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-85530</td>
			<td class="nobreak">Apr. 5, 2019</td>
			<td>Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses</td>
		</tr>
		<tr>
			<td class="nobreak">34-84493</td>
			<td class="nobreak">Oct. 26, 2018</td>
			<td>Order Approving Corrected Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Corrected Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-84044</td>
			<td class="nobreak">Sep. 6, 2018</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity to Comment <!--<i>Comments received are available for this proposed plan.</i><br>--></td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-82972</td>
			<td class="nobreak">Mar. 30, 2018</td>
			<td>Order Appointing Fund Administrator and Setting Administrator Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-82783</td>
			<td class="nobreak">Feb. 27, 2018</td>
			<td>Order Establishing a Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-82187</td>
			<td class="nobreak">Nov. 30, 2017</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-77644<br>
			AAER-3765</td>
			<td class="nobreak">Apr. 19, 2016</td>
			<td>Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Cease-and-Desist Orders and Penalties</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="lovelock"></a>Lovelock & Lewes, Price Waterhouse, Bangalore, Price Waterhouse & Co., Bangalore, Price Waterhouse, Calcutta, and Price Waterhouse & Co., Calcutta</h3>

<p>File No. 3-14321</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-64184</td>
			<td class="nobreak">Apr. 5, 2011</td>
			<td>Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="lpl"></a>LPL Financial LLC</h3>

<p>File No. 3-20612</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-93708</td>
			<td class="nobreak">Dec. 2, 2021</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-93667</td>
			<td class="nobreak">Nov. 24, 2021</td>
			<td>Order Directing Payment of Certain Funds Received by Commission</td>
		</tr>
		<tr>
			<td class="nobreak">33-10992</td>
			<td class="nobreak">Sep. 30, 2021</td>
			<td>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, and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<hr><!--------M------------>
<h3><a id="magnachip"></a>MagnaChip Semiconductor Corporation and Margaret Hye-Ryoung Sakai, CPA</h3>

<p>File No. 3-17956</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-99941</td>
			<td class="nobreak">Apr. 11, 2024</td>
			<td><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="57ae676b-f25b-4c88-8050-1479cea8a2e5" href="/files/litigation/admin/2024/34-99941.pdf" title="34-99941">Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Fees and Expenses</a></td>
		</tr>
		<tr>
			<td class="nobreak">34-97470</td>
			<td class="nobreak">May 10, 2023</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-96709</td>
			<td class="nobreak">Jan. 19, 2023</td>
			<td>Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-96095</td>
			<td class="nobreak">Oct. 17, 2022</td>
			<td>Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-95511</td>
			<td class="nobreak">Aug. 17, 2022</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-88430</td>
			<td class="nobreak">Mar. 19, 2020</td>
			<td>Order Appointing Fund Administrator and Setting Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-83437</td>
			<td class="nobreak">Jun. 14, 2018</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-83433</td>
			<td class="nobreak">June 14, 2018</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">33-10352</td>
			<td class="nobreak">May 1, 2017</td>
			<td>Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of The Securities Act Of 1933, Sections 4C and 21C of The Securities Exchange Act Of 1934, And Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders</td>
		</tr>
	</tbody>
</table>

<hr>
<p></p>

<h3><a id="Mancera"></a>Mancera, S.C., Alejandro Valdez Mendoza, C.P., and Angel Radames Corral Nieblas, C.P.</h3>

<p>File No, 3-20173</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-96437</td>
			<td class="nobreak">Dec. 1, 2022</td>
			<td>Order Appointing Fund Administrator and Setting Administrator Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-92841</td>
			<td class="nobreak">Sept. 1, 2021</td>
			<td>Second Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-91792</td>
			<td class="nobreak">May 7, 2021</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-91104</td>
			<td class="nobreak">Feb. 11, 2021</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">33-90699</td>
			<td class="nobreak">Dec. 17, 2020</td>
			<td>Order Instituting Public Administrative and Cease- And-Desist Proceedings Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<hr>
<p></p>

<h3><a id="grahm"></a>Mark Grahm, Blue Capital., et al.</h3>

<p>File No. 3-18724</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">IA-5000</td>
			<td class="nobreak">Sep. 6, 2018</td>
			<td>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, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-84043</td>
			<td class="nobreak">Sep. 6, 2018</td>
			<td>Order Directing Payment of Certain Funds Received by Commission</td>
		</tr>
		<tr>
			<td class="nobreak">34-84443</td>
			<td class="nobreak">Oct. 17, 2018</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="mergenet"></a>Mergenet Medical, Inc., Bruce Matthew Sher, Shara Anne Hernandez, and Peter Anthony DeCicco, Jr.</h3>

<p>File No. 3-18253</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-88847</td>
			<td class="nobreak">May 11, 2020</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">33-10426</td>
			<td class="nobreak">Oct. 16, 2017</td>
			<td>Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing A Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="wilson"></a>Michael S. Wilson, CPA and Cotterman-Wilson, CPAs, Inc.; James T. Budden and Alexander W. Budden</h3>

<p>File Nos. 3-16652 and 3-16892</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-79427</td>
			<td class="nobreak">Nov. 29, 2016</td>
			<td>Order Approving Plan of Distribution and Directing Disbursement of Fair Funds</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-78848</td>
			<td class="nobreak">Sep. 15, 2016</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity For Comment<br>
			<b><i>Comments due:</i></b> <i>30 days from date of this Notice</i></td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">IA-4225</td>
			<td class="nobreak">Oct. 13, 2015</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (James T. Budden and Alexander W. Budden)</td>
		</tr>
		<tr>
			<td class="nobreak">34-75298<br>
			IA-4130<br>
			AAER-3665</td>
			<td class="nobreak">Jun. 25, 2015</td>
			<td>Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Michael S. Wilson, CPA and Cotterman-Wilson CPAs, Inc.)</td>
		</tr>
	</tbody>
</table>

<hr>
<h3><a id="middlecove"></a>MiddleCove Capital, LLC, and Noah L. Myers</h3>

<p>File Nos. 3-14993</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-83669</td>
			<td class="nobreak">Jul. 19, 2018</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-83364</td>
			<td class="nobreak">Jun. 4, 2018</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment<br>
			<b><i>Comments due:</i></b> <i>30 days from date of this Notice</i><br>
			<!--<i>Comments received are available for this proposed plan.</i><br>--> <!-- <ul class="bullet-1 margin-0">
  <li>
    <form action="/cgi-bin/ruling-comments" method="post" class="margin-0">
      <a href="javascript:;" onClick="parentNode.submit();">Submit Comments on 3-14993</a>
      <input type="hidden" name="ruling" value="3-14993">
      <input type="hidden" name="action" value="Show_Form">
      <input type="hidden" name="rule_path" value="/comments/3-14993">
      <input type="hidden" name="file_num" value="3-14993">
      <input type="hidden" name="title" value="Proposed Distribution Plan">
    </form>
  </li></ul> --></td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-81287</td>
			<td class="nobreak">Aug. 2, 2017</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-68669<br>
			IA-3534<br>
			IC-30351</td>
			<td class="nobreak">Jan. 16, 2013</td>
			<td>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</td>
		</tr>
	</tbody>
</table>

<hr>
<h3><a id="miller"></a>Miller Energy Resources, Inc., Paul W. Boyd, CPA, David M. Hall, And Carlton W Vogt, Iii, CPA</h3>

<p>File No. 3-18110</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-99904</td>
			<td class="nobreak">Apr. 3, 2024</td>
			<td>
			<p><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="83d8f179-0e7f-4371-806f-2c66837c71c2" href="/files/litigation/admin/2024/34-99904.pdf" title="34-99904">Order Approving Plan of Distribution</a></p>
			</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="183a46d2-34d8-4d93-8df9-e47427b874e9" href="/files/litigation/admin/2024/34-99904-pd.pdf" title="34-99904-pd">Plan of Distribution</a></td>
		</tr>
		<tr>
			<td class="nobreak">34-99469</td>
			<td class="nobreak">Feb. 5, 2024</td>
			<td>
			<p>Notice of Proposed Plan of Distribution and Opportunity for Comment</p>
			</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-95642</td>
			<td class="nobreak">Aug. 31, 2022</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-94300</td>
			<td class="nobreak">Feb. 23, 2022</td>
			<td>Order Establishing A Fair Fund</td>
		</tr>
	</tbody>
</table>

<hr>
<h3><a id="mmr"></a>MMR Investment Bankers, LLC (d/b/a MMR, INC.), William G. Martin, Jr., Eugene R. Rankin, John A. Hubert, and Aaron D. Fimreite</h3>

<p>File No. 3-14163</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-85832</td>
			<td class="nobreak">May 10, 2019</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">33-9221<br>
			34-64626</td>
			<td class="nobreak">Jun. 8, 2011</td>
			<td>Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Respondent Aaron D. Fimreite</td>
		</tr>
		<tr>
			<td class="nobreak">33-9220<br>
			34-64625</td>
			<td class="nobreak">Jun. 8, 2011</td>
			<td>Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Respondent John A. Hubert</td>
		</tr>
		<tr>
			<td class="nobreak">33-9219<br>
			34-64624</td>
			<td class="nobreak">Jun. 8, 2011</td>
			<td>Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Respondent Eugene R. Rankin</td>
		</tr>
		<tr>
			<td class="nobreak">33-9218<br>
			34-64623</td>
			<td class="nobreak">Jun. 8, 2011</td>
			<td>Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Respondent William G. Martin, Jr.</td>
		</tr>
		<tr>
			<td class="nobreak">33-9217<br>
			34-64623</td>
			<td class="nobreak">Jun. 8, 2011</td>
			<td>Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Respondent MMR Investment Bankers, LLC (d/b/a MMR, Inc.)</td>
		</tr>
		<tr>
			<td class="nobreak">33-9163<br>
			34-64543</td>
			<td class="nobreak">Jun. 8, 2011</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="momentus"></a>Momentus, Inc., et al.</h3>

<p>File No. 3-20393</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-99688</td>
			<td class="nobreak">Mar. 7, 2024</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-98209</td>
			<td class="nobreak">Aug. 24, 2023</td>
			<td><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="970c14ce-dbad-4355-b49a-f9e4e2d3a494" href="/files/litigation/admin/2023/34-98209.pdf" title="34-98209">Order Extending Time to Enter Order Approving or Disapproving Plan of Distribution</a></td>
		</tr>
		<tr>
			<td class="nobreak">34-97801</td>
			<td class="nobreak">Jun. 27, 2023</td>
			<td>
			<p>Notice of Proposed Plan of Distribution and Opportunity for Comment<br>
			<i>Comments received are available for this proposed plan.</i></p>

			<ul class="bullet-1 margin-0">
				<li>
				<form action="/cgi-bin/ruling-comments" class="margin-0" method="post"><a href="javascript:;" onclick="parentNode.submit();">Submit Comments on 3-20393</a> <input name="ruling" type="hidden" value="3-20393"> <input name="action" type="hidden" value="Show_Form"> <input name="rule_path" type="hidden" value="/comments/3-20393"> <input name="file_num" type="hidden" value="3-20393"> <input name="title" type="hidden" value="Proposed Distribution Plan"></form>
				</li>
			</ul>
			</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-97187</td>
			<td class="nobreak">Mar. 23, 2023</td>
			<td>Second Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-96981</td>
			<td class="nobreak">Feb. 24, 2023</td>
			<td>Order Appointing Fund Administrator and Setting Administrator's Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-96733</td>
			<td class="nobreak">Jan. 23, 2023</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-95653</td>
			<td class="nobreak">Sep. 1, 2022</td>
			<td>Extension Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="morganstanley15982"></a>Morgan Stanley, Co. LLC; Morgan Stanley ABS Capital I Inc.; and Morgan Stanley Mortgage Capital Holdings LLC</h3>

<p>File No. 3-15982</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-93022</td>
			<td class="nobreak">Sep. 16, 2021</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-89201</td>
			<td class="nobreak">Jun. 30, 2020</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-86474</td>
			<td class="nobreak">Jul. 25, 2019</td>
			<td>Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-85998</td>
			<td class="nobreak">May 31, 2019</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment<br>
			<i>Comments received are available for this proposed plan.</i></td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-81064</td>
			<td class="nobreak">June 30, 2017</td>
			<td>Notice of Name Change of Appointed Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-77063</td>
			<td class="nobreak">Feb. 4, 2016</td>
			<td>Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-74231</td>
			<td class="nobreak">Feb. 6, 2015</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">33-9618</td>
			<td class="nobreak">Jul. 24, 2014</td>
			<td>Order Granting Waivers of the Disqualification Provisions</td>
		</tr>
		<tr>
			<td class="nobreak">33-9617</td>
			<td class="nobreak">Jul. 24, 2014</td>
			<td>Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="morganstanleysb-19793"></a>Morgan Stanley Smith Barney LLC</h3>

<p>File No. 3-19793</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-92096</td>
			<td class="nobreak">Jun. 3, 2021</td>
			<td>Order Appointing Fund Administrator and Setting Administrator's Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-91737</td>
			<td class="nobreak">Apr. 30, 2021</td>
			<td>Second Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-89383</td>
			<td class="nobreak">Jul. 23, 2020</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-88969</td>
			<td class="nobreak">May 28, 2020</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-88856<br>
			IA-5499</td>
			<td class="nobreak">May 12, 2020</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="mvpmanager"></a>MVP Manager LLC</h3>

<p>File No. 3-19334</p>

<p><input name="ruling" type="hidden" value="3-19334"> <input name="action" type="hidden" value="Show_Form"> <input name="rule_path" type="hidden" value="/comments/3-19334"> <input name="file_num" type="hidden" value="3-19334"> <input name="title" type="hidden" value="Proposed Distribution Plan"></p>

<p></p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-94510</td>
			<td class="nobreak">Mar. 24, 2022</td>
			<td>Order Approving Modified Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-94035</td>
			<td class="nobreak">Jan. 24, 2022</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment<br>
			<!--<b><i>Comments due:</i></b> <i>30 days from date of this Notice</i><br />
			<i>Comments received are available for this proposed plan.</i><br>
			<ul class="bullet-1 margin-0">
				<li>
				<form action="/cgi-bin/ruling-comments" class="margin-0" method="post"><a href="javascript:;" onclick="parentNode.submit();">Submit Comments on 3-19334</a> <input name="ruling" type="hidden" value="3-19334" /> <input name="action" type="hidden" value="Show_Form" /> <input name="rule_path" type="hidden" value="/comments/3-19334" /> <input name="file_num" type="hidden" value="3-19334" /> <input name="title" type="hidden" value="Proposed Distribution Plan" /></form>
				</li>
			</ul>--></td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-90187</td>
			<td class="nobreak">Oct. 15, 2020</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-87396</td>
			<td class="nobreak">Oct. 24, 2019</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">IA-5319</td>
			<td class="nobreak">Aug. 13, 2019</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="newell"></a>Newell Brands Inc. and Michael B. Polk</h3>

<p>File No. 3-21766</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-99618</td>
			<td class="nobreak">Feb. 28, 2024</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-99077</td>
			<td class="nobreak">Dec. 4, 2023</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">33-11251</td>
			<td class="nobreak">Sept. 29, 2023</td>
			<td>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 Remedial Sanctions and a Cease-and-desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="nikola"></a>Nikola Corporation</h3>

<p>File No. 3-20687</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-96998</td>
			<td class="nobreak">Mar. 1, 2023</td>
			<td>Order Appointing Fund Administrator and Setting Administrator's Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-96736</td>
			<td class="nobreak">Jan. 23, 2023</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">33-11018</td>
			<td class="nobreak">Dec. 21, 2021</td>
			<td>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 Remedial Sanctions and a Cease-and-desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="necapital"></a>North East Capital, LLC and Anthony T. Vicidomine</h3>

<p>File No. 3-15429</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-81064</td>
			<td class="nobreak">June 30, 2017</td>
			<td>Notice of Name Change of Appointed Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-78173</td>
			<td class="nobreak">Jun. 28, 2016</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-78100</td>
			<td class="nobreak">Jun. 17, 2016</td>
			<td>Order Approving Amended Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Amended Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-77712</td>
			<td class="nobreak">Apr. 26, 2016</td>
			<td>Notice of Proposed Amended Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Amended Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-75753</td>
			<td class="nobreak">Aug. 25, 2015</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-74808</td>
			<td class="nobreak">Apr. 24, 2015</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-74355</td>
			<td class="nobreak">Feb. 24, 2015</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-73921</td>
			<td class="nobreak">Dec. 23, 2014</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment<br>
			<i>Comments received are available for this proposed plan.</i></td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-72419</td>
			<td class="nobreak">Jun. 18, 2014</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">33-9442<br>
			34-70223<br>
			IA-3651<br>
			IC-30651</td>
			<td class="nobreak">Aug. 16, 2013</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="northern"></a>Northern Trust Hedge Fund Services LLC and Northern Trust Global Fund Services Cayman Limited</h3>

<p>File No. 3-20030</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-96310</td>
			<td class="nobreak">Nov. 14, 2022</td>
			<td>Order Approving Plan Of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-96000</td>
			<td class="nobreak">Oct. 6, 2022</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity to Comment <!--<ul class="bullet-1 margin-0">
				<li>
				<form action="/cgi-bin/ruling-comments" class="margin-0" method="post"><a href="javascript:;" onclick="parentNode.submit();">Submit Comments on 3-20030</a> <input name="ruling" type="hidden" value="3-20030" /> <input name="action" type="hidden" value="Show_Form" /> <input name="rule_path" type="hidden" value="/comments/3-20030" /> <input name="file_num" type="hidden" value="3-20030" /> <input name="title" type="hidden" value="Proposed Distribution Plan" /></form>
				</li>
			</ul>--></td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-91818</td>
			<td class="nobreak">May 10, 2021</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">IA-5585</td>
			<td class="nobreak">Sept. 18, 2020</td>
			<td>Order Instituting Cease-and-Desist Proceedings Pursuant to Section 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr><!--------O------------>
<h3><a id="oppenheimer"></a>Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc.</h3>

<p>File No. 3-14909</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-81064</td>
			<td class="nobreak">June 30, 2017</td>
			<td>Notice of Name Change of Appointed Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-79247</td>
			<td class="nobreak">Nov. 4, 2016</td>
			<td>Order Directing Disbursement For Second Distribution, Payment of Fund Administrator Fees, and Approval of Future Fees And Expenses</td>
		</tr>
		<tr>
			<td class="nobreak">34-78224</td>
			<td class="nobreak">Jul. 1, 2016</td>
			<td>Order Approving Application of Fund Administrator for Payment of Fees and Expenses</td>
		</tr>
		<tr>
			<td class="nobreak">34-75551</td>
			<td class="nobreak">Jul. 29, 2015</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-74005</td>
			<td class="nobreak">Jan. 6, 2015</td>
			<td>Order Approving Application of Fund Administrator for Payment of Fees and Expenses</td>
		</tr>
		<tr>
			<td class="nobreak">34-71493</td>
			<td class="nobreak">Feb. 5, 2014</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-71119</td>
			<td class="nobreak">Dec. 18, 2013</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-70244</td>
			<td class="nobreak">Aug. 21, 2013</td>
			<td>Order Granting Extension of Time to Submit Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-69873</td>
			<td class="nobreak">Jun. 27, 2013</td>
			<td>Order Granting Extension of Time to Submit Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-69418</td>
			<td class="nobreak">Apr. 19, 2013</td>
			<td>Order Granting Extension of Time to Submit Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-69138</td>
			<td class="nobreak">Mar. 14, 2013</td>
			<td>Order Appointing Fund Administrator and Approving Fund Administrator Bond</td>
		</tr>
		<tr>
			<td class="nobreak">34-67363</td>
			<td class="nobreak">Jul. 6, 2012</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">33-9329<br>
			34-67142<br>
			IA-3417<br>
			IC-30099</td>
			<td class="nobreak">Jun. 6, 2012</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="orthofix"></a>Orthofix International N.V.; Jeffrey Hammel, CPA; Brian McCollum; Kenneth Mack and Bryan McMillan</h3>

<p>File Nos. 3-17791, 3-17792, 3-17793, 3-17794</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-96737</td>
			<td class="nobreak">Jan. 23, 2023</td>
			<td>Order Authorizing the Transfer to the U.S. Treasury of Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, Cancelling the Administrator’s Bond, and Terminating the Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-89223</td>
			<td class="nobreak">Jul. 6, 2020</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-86100</td>
			<td class="nobreak">Jun. 13, 2019</td>
			<td>Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses</td>
		</tr>
		<tr>
			<td class="nobreak">34-83497</td>
			<td class="nobreak">Jun. 22, 2018</td>
			<td>Order Approving Distribution Plan</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-83133</td>
			<td class="nobreak">Apr. 30, 2018</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-82933</td>
			<td class="nobreak">Mar. 22, 2017</td>
			<td>Third Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-82410</td>
			<td class="nobreak">Dec. 27, 2017</td>
			<td>Order Consolidating Fair Funds, Appointing Fund Administrator, and Setting Administrator Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-81623</td>
			<td class="nobreak">Sept. 14, 2017</td>
			<td>Second Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-81624</td>
			<td class="nobreak">Sept. 14, 2017</td>
			<td>Second Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-81622</td>
			<td class="nobreak">Sept. 14, 2017</td>
			<td>Second Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-81620</td>
			<td class="nobreak">Sept. 14, 2017</td>
			<td>Second Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-81273</td>
			<td class="nobreak">Jul. 31, 2017</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-81272</td>
			<td class="nobreak">Jul. 31, 2017</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-81271</td>
			<td class="nobreak">Jul. 31, 2017</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-81257</td>
			<td class="nobreak">Jul. 31, 2017</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-80354</td>
			<td class="nobreak">Mar. 31, 2017</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-80353</td>
			<td class="nobreak">Mar. 31, 2017</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-80352</td>
			<td class="nobreak">Mar. 31, 2017</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-80351</td>
			<td class="nobreak">Mar. 31, 2017</td>
			<td><a href="/litigation/admin/2017/34-80351.pdf
">Extension Order</a></td>
		</tr>
		<tr>
			<td class="nobreak">34-79820<br>
			AAER-3848</td>
			<td class="nobreak">Jan. 18, 2017</td>
			<td>Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Cease-and-Desist Orders and Penalties</td>
		</tr>
		<tr>
			<td class="nobreak">34-79819<br>
			AAER-3847</td>
			<td class="nobreak">Jan. 18, 2017</td>
			<td>Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Cease-and-Desist Orders and Remedies</td>
		</tr>
		<tr>
			<td class="nobreak">33-10282<br>
			34-79817<br>
			AAER-3846</td>
			<td class="nobreak">Jan. 18, 2017</td>
			<td>Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 4C and 21C of the Securities Exchange Act of 1934, and Rule 102(e) of the Commission's Rules of Practice, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
		<tr>
			<td class="nobreak">33-10281<br>
			34-79815<br>
			AAER-3845</td>
			<td class="nobreak">Jan. 18, 2017</td>
			<td>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 Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<hr>
<h3><a id="oxford"></a>Oxford Investment Partners, LLC and Walter J. Clarke</h3>

<p>File No. 3-14899</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-81064</td>
			<td class="nobreak">June 30, 2017</td>
			<td>Notice of Name Change of Appointed Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-68993</td>
			<td class="nobreak">Feb. 27, 2013</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">IA-3554<br>
			IC-30385</td>
			<td class="nobreak">Feb. 15, 2013</td>
			<td>Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Walter J. Clarke</td>
		</tr>
		<tr>
			<td class="nobreak">IA-3553<br>
			IC-30384</td>
			<td class="nobreak">Feb. 15, 2013</td>
			<td>Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Oxford Investment Partners, LLC</td>
		</tr>
		<tr>
			<td class="nobreak">IA-3412<br>
			IC-30086</td>
			<td class="nobreak">May 30, 2012</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr><!--------P------------>
<h3 id="paragon">Paragon Coin, Inc.</h3>

<p>File No. 3-18897</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-96512</td>
			<td class="nobreak">Dec. 15, 2022</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-96428</td>
			<td class="nobreak">Dec. 1, 2022</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-95965</td>
			<td class="nobreak">Oct. 3, 2022</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Distribution Plan<br>
			 
			<p></p>

			<ul>
				<li>
				<form action="/cgi-bin/ruling-comments" class="margin-0" method="post">
				<p><a href="javascript:;" onclick="parentNode.submit();">Submit Comments on 3-18897</a> <input name="ruling" type="hidden" value="3-18897"> <input name="action" type="hidden" value="Show_Form"> <input name="rule_path" type="hidden" value="/comments/3-18897"> <input name="file_num" type="hidden" value="3-18897"> <input name="title" type="hidden" value="Proposed Distribution Plan"></p>
				</form>
				</li>
			</ul>
			</td>
		</tr>
		<tr>
			<td class="nobreak">34-92276</td>
			<td class="nobreak">Jun. 28, 2021</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-91522</td>
			<td class="nobreak">Apr. 9, 2021</td>
			<td>Order Establishing Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">33-10574</td>
			<td class="nobreak">Nov. 16, 2018</td>
			<td>Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of The Securities Act of 1933, Making Findings, and Imposing Penalties and a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3 id="pennant">Pennant Management, Inc.</h3>

<p>File No. 3-18884</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-88804</td>
			<td class="nobreak">May 4, 2020</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-85089</td>
			<td class="nobreak">Feb. 11, 2019</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">IA-5061</td>
			<td class="nobreak">Feb 11, 2019</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="kuperman"></a>Peter Kuperman and QED Benchmark Management LLC</h3>

<p>File No. 3-17075</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-81064</td>
			<td class="nobreak">June 30, 2017</td>
			<td>Notice of Name Change of Appointed Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-77262</td>
			<td class="nobreak">Mar. 1, 2016</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">33-10009<br>
			34-76991<br>
			IA-4323<br>
			IC-31973</td>
			<td class="nobreak">Jan. 28, 2016</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="petroleo"></a>Petróleo Brasileiro S.A. - Petrobras</h3>

<p>File No. 3-18843</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-98423</td>
			<td class="nobreak">Sep. 18, 2023</td>
			<td><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="d0df7393-3eaa-406f-959e-df8ed91ca699" href="/files/litigation/admin/2023/34-98423.pdf" title="34-98423">Order Directing  Disbursement of Fair Fund</a></td>
		</tr>
		<tr>
			<td class="nobreak">34-92787</td>
			<td class="nobreak">Aug. 27, 2021</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-92274</td>
			<td class="nobreak">Jun. 28, 2021</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Distribution Plan<br>
			 
			<ul>
				<li><a href="javascript:;" onclick="parentNode.submit();">Submit Comments on 3-18843</a> <input name="ruling" type="hidden" value="3-18843"> <input name="action" type="hidden" value="Show_Form"> <input name="rule_path" type="hidden" value="/comments/3-18843"> <input name="file_num" type="hidden" value="3-18843"> <input name="title" type="hidden" value="Proposed Distribution Plan: Petróleo Brasilerio and S.A. - Petrobras"></li>
			</ul>
			</td>
		</tr>
		<tr>
		</tr>
		<tr>
			<td class="nobreak">34-90465</td>
			<td class="nobreak">Nov. 20, 2020</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-87889</td>
			<td class="nobreak">Jan. 6, 2020</td>
			<td>Order Appointing Fund Administrator and Setting Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-87889</td>
			<td class="nobreak">Sep. 27, 2018</td>
			<td>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</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="poloniex"></a>Poloniex, LLC</h3>

<p>File No. 3-20455</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-99517</td>
			<td class="nobreak">Feb. 12, 2024</td>
			<td>Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses</td>
		</tr>
		<tr>
			<td class="nobreak">34-96779</td>
			<td class="nobreak">Jan. 31, 2023</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Plan of Distribution​​​​​</td>
		</tr>
		<tr>
			<td class="nobreak">34-96429</td>
			<td class="nobreak">Dec. 1, 2022</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Distribution Plan​​​​​</td>
		</tr>
		<tr>
			<td class="nobreak">34-95172</td>
			<td class="nobreak">Jun. 28, 2022</td>
			<td>Order Removing and Appointing Fund Administrator, Setting Bond, and Related Relief</td>
		</tr>
		<tr>
			<td class="nobreak">34-94752</td>
			<td class="nobreak">Apr. 19, 2022</td>
			<td>Second Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-93634</td>
			<td class="nobreak">Nov. 22, 2021</td>
			<td>Order Appointing Fund Administrator and Setting Administrator's Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-93083</td>
			<td class="nobreak">Sep. 21, 2021</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-93050</td>
			<td class="nobreak">Sep. 17, 2021</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-92607</td>
			<td class="nobreak">Aug. 9, 2021</td>
			<td>Order Instituting Cease-and-Desist Proceedings Pursuant To Section 21c Of The Securities Exchange Act Of 1934, Making Findings, And Imposing a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<hr>
<h3><a id="prime"></a>Prime Group Holdings, LLC</h3>

<p>File No. 3-21602</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th style="width: 69px;">Date</th>
			<th style="width: 853px;">Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-99466</td>
			<td class="nobreak" style="width: 69px;">Feb. 5, 2024</td>
			<td style="width: 853px;">Order Appointing Fund Administrator, Setting Administrator's Bond Amount, and Authorizing Payment of Fees and Expenses</td>
		</tr>
		<tr>
			<td class="nobreak">34-99055</td>
			<td class="nobreak" style="width: 69px;">Nov. 30, 2023</td>
			<td style="width: 853px;">Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-98916</td>
			<td class="nobreak" style="width: 69px;">Nov. 13, 2023</td>
			<td style="width: 853px;">Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">33-11228</td>
			<td class="nobreak" style="width: 69px;">Sept. 5, 2023</td>
			<td style="width: 853px;">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</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr><!--------Q------------>
<h3><a id="quantek"></a>Quantek Asset Management, LLC, et al.</h3>

<p>File No. 3-14893</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th style="width: 84px;">Date</th>
			<th style="width: 876px;">Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-86050</td>
			<td class="nobreak" style="width: 84px;">Jun. 6, 2019</td>
			<td style="width: 876px;">Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak" style="width: 84px;"></td>
			<td style="width: 876px;">Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-85473</td>
			<td class="nobreak" style="width: 84px;">Mar. 29, 2019</td>
			<td style="width: 876px;">Notice of Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak" style="width: 84px;"></td>
			<td style="width: 876px;">Proposed Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">33-9326</td>
			<td class="nobreak" style="width: 84px;">May 29, 2012</td>
			<td style="width: 876px;">Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, 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 Cease-and-Desist Orders</td>
		</tr>
	</tbody>
</table>

<hr><!--------R------------>
<p><a id="reliance"></a> <!--{C}%3C!%2D%2D%2D%2D%2D%2D%2D%2DQ%2D%2D%2D%2D%2D%2D%2D%2D%2D%2D%2D%2D%3E--></p>

<h3><a id="quantstamp"></a>Quantstamp, Inc.</h3>

<p>File No. 3-21535</p>

<table class="fflist" style="width: 731.222px;">
	<thead>
		<tr>
			<th>Release</th>
			<th style="width: 67px;">Date</th>
			<th style="width: 575px;">Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-98705</td>
			<td class="nobreak" style="width: 67px;">Oct. 10, 2023</td>
			<td style="width: 575px;"><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="0eb7f0fe-444e-4d75-b9b7-80e60974dc11" href="/files/litigation/admin/2023/34-98705.pdf" title="34-98705">Extension Order</a></td>
		</tr>
		<tr>
			<td class="nobreak">33-11215</td>
			<td class="nobreak" style="width: 67px;">July 21, 2023</td>
			<td style="width: 575px;"><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="fcfaf1ee-7f79-406e-8f09-405420cbf3bc" href="/files/litigation/admin/2023/33-11215.pdf" title="33-11215">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</a></td>
		</tr>
	</tbody>
</table>

<hr>
<h3><a id="fine"></a>Raymond Allan Fine and David Taylor</h3>

<p>File No. 3-20087 and 3-20088</p>

<table class="fflist" style="width: 731.222px;">
	<thead>
		<tr>
			<th>Release</th>
			<th style="width: 67px;">Date</th>
			<th style="width: 575px;">Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-99898</td>
			<td class="nobreak" style="width: 67px;">Apr. 3, 2024</td>
			<td style="width: 575px;"><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="9e0dbb9f-356c-4c43-95e7-140d124acf35" href="/files/litigation/admin/2024/34-99898.pdf" title="34-99898">Order Appointing Tax Administrator</a></td>
		</tr>
		<tr>
			<td class="nobreak">33-10856</td>
			<td class="nobreak" style="width: 67px;">Sept. 28, 2023</td>
			<td style="width: 575px;"><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="900ad7eb-8c29-4074-9b9a-85279b712df5" href="/files/litigation/admin/2020/33-10856.pdf" title="33-10856.pdf">Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order</a></td>
		</tr>
		<tr>
			<td class="nobreak">33-10855</td>
			<td class="nobreak" style="width: 67px;">Sept. 28, 2023</td>
			<td style="width: 575px;"><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="1adb032c-b137-4acf-89e6-2ead81a59f33" href="/files/litigation/admin/2020/33-10855.pdf" title="33-10855.pdf">Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order</a></td>
		</tr>
	</tbody>
</table>

<hr>
<h3><!--{C}%3C!%2D%2D%2D%2D%2D%2D%2D%2DR%2D%2D%2D%2D%2D%2D%2D%2D%2D%2D%2D%2D%3E-->Reliance Financial Advisors, LLC</h3>

<p>File No, 3-16311</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-91793</td>
			<td class="nobreak">May 7, 2021</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">33-9872</td>
			<td class="nobreak">July 31, 2015</td>
			<td>Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order 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 as to Reliance Financial Advisors, LLC and Walter F. Grenda, Jr.</td>
		</tr>
	</tbody>
</table>

<hr>
<h3><a id="resolute"></a>Resolute Capital Partners LTD, LLC, Homebound Resources, LLC, Thomas J. Powell, and Stefan T. Toth</h3>

<p>File No, 3-20597</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-100066</td>
			<td class="nobreak">May 7, 2024</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-94779</td>
			<td class="nobreak">Apr. 22, 2022</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">33-10987</td>
			<td class="nobreak">Sep. 24, 2021</td>
			<td>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, Section 9(b) of the Investment Company Act of 1940, and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order</td>
		</tr>
	</tbody>
</table>

<hr>
<h3><a id="robertson"></a>Richard Keith Robertson and IFP Advisors, LLC</h3>

<p>File No, 3-20954 and 3-20955</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-99389</td>
			<td class="nobreak">Jan. 18, 2024</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-97175</td>
			<td class="nobreak">Mar. 20, 2023</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-95462</td>
			<td class="nobreak">Aug, 10, 2022</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities 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</td>
		</tr>
		<tr>
			<td class="nobreak">IA-6086</td>
			<td class="nobreak">Aug. 10, 2022</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order </td>
		</tr>
	</tbody>
</table>

<hr>
<h3><a id="robinhood"></a>Robinhood Financial, LLC</h3>

<p>File No, 3-20171</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-98289</td>
			<td class="nobreak">Sep. 5, 2023</td>
			<td>Order Directing Third Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-95152</td>
			<td class="nobreak">Jun. 24, 2022</td>
			<td>Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses</td>
		</tr>
		<tr>
			<td class="nobreak">34-94106</td>
			<td class="nobreak">Jan. 31, 2022</td>
			<td>Order Directing Second Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-92705</td>
			<td class="nobreak">Aug. 18, 2021</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-92591</td>
			<td class="nobreak">Aug. 6, 2021</td>
			<td>Order Approving Plan Of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-92115</td>
			<td class="nobreak">Jun. 4, 2021</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment <i>Comments received are available for this plan.</i></td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-91590</td>
			<td class="nobreak">Apr. 16, 2021</td>
			<td>Order Appointing Fund Administrator and Setting Administrator Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-91105</td>
			<td class="nobreak">Feb. 11, 2021</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-91061</td>
			<td class="nobreak">Feb. 4, 2021</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">33-10906</td>
			<td class="nobreak">Dec. 17, 2020</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8a of the Securities Act of 1933 and Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and A Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<hr>
<h3><a id="ross"></a>Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr.</h3>

<p>File No. 3-17315</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td>34-96754</td>
			<td>Jan. 26, 2023</td>
			<td>Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses</td>
		</tr>
		<tr>
			<td>34-88762</td>
			<td>Apr. 28, 2020</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-83436</td>
			<td class="nobreak">Jun. 14, 2018</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-83162</td>
			<td class="nobreak">May 3, 2018</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-82745</td>
			<td class="nobreak">Feb. 21, 2018</td>
			<td>Second Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-81674</td>
			<td class="nobreak">Sep. 21, 2017</td>
			<td>Order Appointing Fund Administrator and Setting Administrator Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-81141</td>
			<td class="nobreak">Jul. 13, 2017</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-80739</td>
			<td class="nobreak">May 23, 2017</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-78147</td>
			<td class="nobreak">Jun. 23, 2016</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant To Sections 15(B) and 21c of the Secutrities Exchange Act of 1934, Sections 203(e) and 203(f) 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</td>
		</tr>
	</tbody>
</table>

<hr><!--------Sandra Dyche------------>
<h3><a id="sandp"></a>S&P Dow Jones Indices LLC</h3>

<p>File No. 3-20310</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-98414</td>
			<td class="nobreak">Sep. 18, 2023</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-94905</td>
			<td class="nobreak">May 12, 2022</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-94480</td>
			<td class="nobreak">Mar. 21, 2022</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment <!--<ul class="bullet-1 margin-0">
				<li>
				<form action="/cgi-bin/ruling-comments" class="margin-0" method="post"><a href="javascript:;" onclick="parentNode.submit();">Submit Comments on 3-20310</a> <input name="ruling" type="hidden" value="3-20310" /> <input name="action" type="hidden" value="Show_Form" /> <input name="rule_path" type="hidden" value="/comments/3-20310" /> <input name="file_num" type="hidden" value="3-20310" /> <input name="title" type="hidden" value="Proposed Distribution Plan" /></form>
				</li>
			</ul>--></td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-93509</td>
			<td class="nobreak">Nov. 2, 2021</td>
			<td>Order Appointing Fund Administrator and Setting Administrator's Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-92425</td>
			<td class="nobreak">Jul. 16, 2021</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-92424</td>
			<td class="nobreak">Jul. 16, 2021</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">33-10943</td>
			<td class="nobreak">May 17, 2021</td>
			<td>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</td>
		</tr>
	</tbody>
</table>

<hr>
<h3><a id="salomon"></a>Salomon Whitney LLC</h3>

<p>File No. 3-21762</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-99896</td>
			<td class="nobreak">April 3, 2024</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-98619</td>
			<td class="nobreak">Sep. 28, 2023</td>
			<td>Order Instituting Administrative Proceedings, Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions</td>
		</tr>
	</tbody>
</table>

<hr>
<h3><a id="dyche"></a>Sandra Dyche</h3>

<p>File No. 3-16398</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-81064</td>
			<td class="nobreak">June 30, 2017</td>
			<td>Notice of Name Change of Appointed Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-79881</td>
			<td class="nobreak">Jan. 26, 2017</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-79866</td>
			<td class="nobreak">Jan. 24, 2016</td>
			<td>Order Approving Distribution Plan</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-78889</td>
			<td class="nobreak">Sep. 20, 2016</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment<br>
			<b><i>Comments due:</i></b> <i>30 days from date of this Notice</i><br>
			<i>Comments received are available for this proposed plan.</i></td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-77980</td>
			<td class="nobreak">Jun. 2, 2016</td>
			<td>Second Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-77208</td>
			<td class="nobreak">Feb. 23, 2016</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-77131</td>
			<td class="nobreak">Feb. 12, 2016</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">33-9729</td>
			<td class="nobreak">Feb. 20, 2015</td>
			<td>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, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>
<!--Scott Doak-->

<h3><a id="doak"></a>Scott Doak</h3>

<p>File No. 3-16941</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-92497</td>
			<td class="nobreak">Jul. 26, 2021</td>
			<td>Order Approving Plan of Distribution and Authorizing Transfer of Fair Fund</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-92202</td>
			<td class="nobreak">Jun. 17, 2021</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-92140</td>
			<td class="nobreak">Jun. 10, 2021</td>
			<td>Order Establishing Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-81154</td>
			<td class="nobreak">Jul. 17, 2017</td>
			<td>Order Approving Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">33-9976<br>
			34-76350<br>
			IA-4256<br>
			IC-31892</td>
			<td class="nobreak">Nov. 4, 2015</td>
			<td>Order Instituting Administrative and Cease-And-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities 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</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3 id="bachman">Scott Eugene Bachman</h3>

<p>File No. 3-20089</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th style="width: 72px;">Date</th>
			<th style="width: 599px;">Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-97522</td>
			<td class="nobreak" style="width: 72px;">May 18, 2023</td>
			<td style="width: 599px;">Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-94326</td>
			<td class="nobreak" style="width: 72px;">Feb. 28, 2022</td>
			<td style="width: 599px;">Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak" style="width: 72px;"></td>
			<td style="width: 599px;">Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-93874</td>
			<td class="nobreak" style="width: 72px;">Dec. 29, 2021</td>
			<td style="width: 599px;">Notice of Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak" style="width: 72px;"></td>
			<td style="width: 599px;">Proposed Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-93315</td>
			<td class="nobreak" style="width: 72px;">Oct. 14, 2021</td>
			<td style="width: 599px;">Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-92143</td>
			<td class="nobreak" style="width: 72px;">Jun. 10, 2021</td>
			<td style="width: 599px;">Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">33-10857</td>
			<td class="nobreak" style="width: 72px;">Sep. 28, 2020</td>
			<td style="width: 599px;">Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3 id="wolfrum">Scott T. Wolfrum and Tyler C. Sadek</h3>

<p>File Nos. 3-20252 and 3-20253</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th style="width: 74px;">Date</th>
			<th style="width: 597px;">Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-99945</td>
			<td class="nobreak" style="width: 74px;">Apr. 11, 2024</td>
			<td style="width: 597px;"><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="0ec4ad0d-12a9-4d04-b401-403a04602fb8" href="/files/litigation/admin/2024/34-99945.pdf" title="34-99945">Order Approving Plan of Distribution</a></td>
		</tr>
		<tr>
			<td class="nobreak"></td>
			<td class="nobreak" style="width: 74px;"></td>
			<td style="width: 597px;"><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="84e616b1-aaa0-4f6c-9661-af3d22ffb1b2" href="/files/litigation/admin/2024/34-99945-pd.pdf" title="34-99945-pd">Plan of Distribution</a></td>
		</tr>
		<tr>
			<td class="nobreak">34-99513</td>
			<td class="nobreak" style="width: 74px;">Feb. 12, 2024</td>
			<td style="width: 597px;"><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="71070c63-bde1-4fce-9a6b-6482c3bd653c" href="/files/litigation/admin/2024/34-99513.pdf" title="34-99513">Notice of Proposed Plan of Distribution and Opportunity for Comment</a>
			<ul>
				<li>Submit Comments on 3-20253</li>
			</ul>
			</td>
		</tr>
		<tr>
			<td class="nobreak"></td>
			<td class="nobreak" style="width: 74px;"></td>
			<td style="width: 597px;"><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="1f8c43fb-8335-4455-b8b5-d3241fd1c2f7" href="/files/litigation/admin/2024/34-99513-pdp.pdf" title="34-99513-pdp">Proposed Plan of Distribution</a></td>
		</tr>
		<tr>
			<td class="nobreak">34-99078</td>
			<td class="nobreak" style="width: 74px;">Dec. 4, 2023</td>
			<td style="width: 597px;">Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-99010</td>
			<td class="nobreak" style="width: 74px;">Nov. 22, 2023</td>
			<td style="width: 597px;">Order Consolidating Fair Funds</td>
		</tr>
		<tr>
			<td class="nobreak">34-98804</td>
			<td class="nobreak" style="width: 74px;">Oct. 27, 2023</td>
			<td style="width: 597px;">Second Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-96813</td>
			<td class="nobreak" style="width: 74px;">Feb. 2, 2023</td>
			<td style="width: 597px;">Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">IA-5707</td>
			<td class="nobreak" style="width: 74px;">Mar. 24, 2021</td>
			<td style="width: 597px;">Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and A Cease-and-Desist Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-91401<br>
			IA-5706</td>
			<td class="nobreak" style="width: 74px;">Mar. 24, 2021</td>
			<td style="width: 597px;">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 a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="securities"></a>Securities America Advisors</h3>

<p>File No. 3-20150</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-96438</td>
			<td class="nobreak">Dec. 1, 2022</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-94360</td>
			<td class="nobreak">Mar. 3, 2022</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-93892</td>
			<td class="nobreak">Jan. 3, 2022</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment
			<ul class="bullet-1 margin-0">
				<li>
				<form action="/cgi-bin/ruling-comments" class="margin-0" method="post"><a href="javascript:;" onclick="parentNode.submit();">Submit Comments on 3-20150</a> <input name="ruling" type="hidden" value="3-20150"> <input name="action" type="hidden" value="Show_Form"> <input name="rule_path" type="hidden" value="/comments/3-20150"> <input name="file_num" type="hidden" value="3-20150"> <input name="title" type="hidden" value="Proposed Distribution Plan"></form>
				</li>
			</ul>
			</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-92426</td>
			<td class="nobreak">Jul. 16, 2021</td>
			<td>Order Appointing Fund Administrator and Setting Administrator's Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-91966</td>
			<td class="nobreak">May 21, 2021</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-91884</td>
			<td class="nobreak">May 13, 2021</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">IA-5627</td>
			<td class="nobreak">Nov. 13, 2020</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e)and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="securitiesamerica"></a>Securities America Advisors</h3>

<p>File No. 3-20381</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-98041</td>
			<td class="nobreak">Aug. 2, 2023</td>
			<td>Order Directing  Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-96738</td>
			<td class="nobreak">Jan. 23, 2023</td>
			<td>Order Approving Amended Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Amended Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-96379</td>
			<td class="nobreak">Nov. 22, 2022</td>
			<td>Notice of Amended Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Amended Proposed Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-95311</td>
			<td class="nobreak">Jul. 18, 2022</td>
			<td>Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-94995</td>
			<td class="nobreak">May 26, 2022</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment
			<ul class="bullet-1 margin-0">
				<li>
				<form action="/cgi-bin/ruling-comments" class="margin-0" method="post"><a href="javascript:;" onclick="parentNode.submit();">Submit Comments on 3-20684</a> <input name="ruling" type="hidden" value="3-20684"> <input name="action" type="hidden" value="Show_Form"> <input name="rule_path" type="hidden" value="/comments/3-20684"> <input name="file_num" type="hidden" value="3-20684"> <input name="title" type="hidden" value="Proposed Distribution Plan"></form>
				</li>
			</ul>
			</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Distribution Plan<br>
			<em>Comments received are available for this proposed plan.</em></td>
		</tr>
		<tr>
			<td class="nobreak">34-93375</td>
			<td class="nobreak">Oct. 18, 2021</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-93373</td>
			<td class="nobreak">Oct. 18, 2021</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">IA-5762</td>
			<td class="nobreak">Jun. 30, 2021</td>
			<td>Order Instituting Proceedings</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="shipchain"></a>ShipChain, Inc</h3>

<p>File No. 3-20185</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-96982</td>
			<td class="nobreak">Feb 24, 2023</td>
			<td>Order Appointing Fund Administrator and Setting Administrator's Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-96547</td>
			<td class="nobreak">Dec. 20, 2022</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-93607</td>
			<td class="nobreak">Nov. 18, 2021</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">33-10909</td>
			<td class="nobreak">Dec. 20, 2020</td>
			<td>Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing Penalties and a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<hr>
<h3><a id="sica"></a>Sica Wealth Management, LLC and Jeffrey C. Sica</h3>

<p>File No. 3-19716</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-97152</td>
			<td class="nobreak">Mar. 16, 2023</td>
			<td>Order Directing Second Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-95110</td>
			<td class="nobreak">Jun. 16, 2022</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-94759</td>
			<td class="nobreak">Apr. 19, 2022</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment <!--<ul class="bullet-1 margin-0">
				<li>
				<form action="/cgi-bin/ruling-comments" class="margin-0" method="post"><a href="javascript:;" onclick="parentNode.submit();">Submit Comments on 3-19716</a> <input name="ruling" type="hidden" value="3-19716" /> <input name="action" type="hidden" value="Show_Form" /> <input name="rule_path" type="hidden" value="/comments/3-19716" /> <input name="file_num" type="hidden" value="3-19716" /> <input name="title" type="hidden" value="Distribution Plan" /></form>
				</li>
			</ul>--></td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-94320</td>
			<td class="nobreak">Feb. 28, 2022</td>
			<td>Second Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-92603</td>
			<td class="nobreak">Aug. 6, 2021</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-88598</td>
			<td class="nobreak">Apr. 8, 2020</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">IA-5453</td>
			<td class="nobreak">Feb. 27, 2020</td>
			<td>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 </td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="signator"></a>Signator Investors, Inc. and Gregory J. Mitchell; Cory D. Williams</h3>

<p>File No. 3-16753 and 3-16754</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-91589</td>
			<td class="nobreak">Apr. 16, 2021</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-91111</td>
			<td class="nobreak">Feb. 11, 2021</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-90836</td>
			<td class="nobreak">Dec. 31, 2020</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-88005</td>
			<td class="nobreak">Jan. 17, 2020</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-75691</td>
			<td class="nobreak">Aug. 13, 2015</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 15(b) of the Securities 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 </td>
		</tr>
		<tr>
			<td class="nobreak">34-75690</td>
			<td class="nobreak">Aug. 13, 2015</td>
			<td>Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(e) and 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions </td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="sixfinancial"></a>Six Financial Information Inc.</h3>

<p>File No. 3-18234</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-81960</td>
			<td class="nobreak">Oct. 26, 2017</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">IA-4780</td>
			<td class="nobreak">Sep. 28, 2017</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to 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</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="sparkster"></a>Sparkster, Ltd. and Sajjad Daya</h3>

<p>File No. 3-21103</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-99942</td>
			<td class="nobreak">Apr. 11, 2024</td>
			<td><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="948e5f5f-027a-4cd7-9958-f2f0b59c706e" href="/files/litigation/admin/2024/34-99942.pdf" title="34-99942">Order Appointing Fund Administrator, Setting Administrator's Bond Amount, and Authorizing Approval and Payment of Fees and Expenses of Administration</a></td>
		</tr>
		<tr>
			<td class="nobreak">34-99441</td>
			<td class="nobreak">Jan. 29, 2024</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">33-11102</td>
			<td class="nobreak">Sept. 19, 2022</td>
			<td><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="5b8dd51d-bbb9-448a-8c19-bd99bd17f477" href="/files/litigation/admin/2022/33-11102.pdf" title="33-11102.pdf">Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order</a> </td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="williams"></a>Steven Durrelle Williams</h3>

<p>File No. 3-16246</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">33-9676</td>
			<td class="nobreak">Nov. 4, 2014</td>
			<td>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 Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-74081</td>
			<td class="nobreak">Jan. 16, 2015</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-68683</td>
			<td class="nobreak">Jan. 17, 2013</td>
			<td>Omnibus Order Directing the Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution Funds</td>
		</tr>
	</tbody>
</table>

<hr>
<h3><a id="stoner"></a>Stoner Cats 2, LLC</h3>

<p>File No. 3-21655</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-98851</td>
			<td class="nobreak">Nov. 3, 2023</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">33-11233</td>
			<td class="nobreak">Sept. 13, 2023</td>
			<td>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</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="strongetal"></a>Strong Capital Management, Inc., Strong Investor Services, Inc., Strong Investments, Inc., Richard S. Strong, Thomas A. Hooker, Jr. and Anthony J. D'Amato</h3>

<p>File No. 3-11498</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-81064</td>
			<td class="nobreak">June 30, 2017</td>
			<td>Notice of Name Change of Appointed Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-79136</td>
			<td class="nobreak">Oct. 21, 2016</td>
			<td><a href="/litigation/admin/2016/34-79136.pdf
">Order Approving Use of Fair Fund to Pay Outstanding and Remaining Fees and Expenses</a></td>
		</tr>
		<tr>
			<td class="nobreak">34-64327</td>
			<td class="nobreak">Apr. 22, 2011</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-63143</td>
			<td class="nobreak">Oct. 21, 2010</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-62475</td>
			<td class="nobreak">Jul. 8, 2010</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-60667</td>
			<td class="nobreak">Sep. 14, 2009</td>
			<td>Order Approving Distribution Plan, Appointing an Administrator, and Waiving Bond</td>
		</tr>
		<tr>
			<td class="nobreak">34-60406</td>
			<td class="nobreak">Jul. 30, 2009</td>
			<td>Notice of Proposed Distribution Plan and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak"></td>
			<td class="nobreak">May 13, 2005</td>
			<td>Order Creating a Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-51694<br>
			IA-2383<br>
			IC-26868</td>
			<td class="nobreak">May 13, 2005</td>
			<td>Order Modifying Prior Order to Extend Period of Time During Which Richard S. Strong May Hold His Ownership Interest in Strong Capital Management, Inc., Strong Investor Services, Inc. and Strong Investments, Inc.</td>
		</tr>
		<tr>
			<td class="nobreak">34-51341</td>
			<td class="nobreak">Mar. 9, 2005</td>
			<td>Order Directing Appointment of Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-49741<br>
			IA-2239<br>
			IC-26448</td>
			<td class="nobreak">May 20, 2004</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="successtrade"></a>Success Trade, Inc., Success Trade Securities, Inc., and Fuad Ahmed</h3>

<p>File No. 3-16755</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-81064</td>
			<td class="nobreak">June 30, 2017</td>
			<td>Notice of Name Change of Appointed Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-75789</td>
			<td class="nobreak">Aug. 28, 2015</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">33-9891</td>
			<td class="nobreak">Aug. 14, 2015</td>
			<td>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, and Section 9(b) of the Investment Company Act of 1940, Making Findings, Imposing Remedial Sanctions and a Cease-and-Desist Order, and Ordering Continuation of Proceedings</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="supermicrocomputer"></a>Super Micro Computer, Inc., Howard Hideshima</h3>

<p>File Nos. 3-19927, 3-19928</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-99237</td>
			<td class="nobreak">Dec. 22, 2023</td>
			<td>Order Directing a Second Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-99215</td>
			<td class="nobreak">
			<p>Dec. 20, 2023</p>
			</td>
			<td>Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses</td>
		</tr>
		<tr>
			<td class="nobreak">34-98487</td>
			<td class="nobreak">Sept. 22, 2023</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-94170</td>
			<td class="nobreak">Feb. 7, 2022</td>
			<td>Order Approving Amended Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Amended Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-91507</td>
			<td class="nobreak">Apr. 8, 2021</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-91046</td>
			<td class="nobreak">Feb. 3, 2021</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-90784</td>
			<td class="nobreak">Dec. 22, 2020</td>
			<td>Order Appointing Fund Administrator and Setting Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-90373</td>
			<td class="nobreak">Nov. 6, 2020</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-90313</td>
			<td class="nobreak">Nov. 2, 2020</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-89657</td>
			<td class="nobreak">Aug. 25, 2020</td>
			<td>Corrected Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order</td>
		</tr>
		<tr>
			<td class="nobreak">33-10822</td>
			<td class="nobreak">Aug. 25, 2020</td>
			<td>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</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="surgalign"></a>Surgalign Holdings, Inc. and Robert P. Jordheim</h3>

<p>File Nos. 3-20945</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-98600</td>
			<td class="nobreak">Sept. 28, 2023</td>
			<td>Order Appointing Fund Administrator, Setting Administrator's Bond Amount, and Authorizing Payment of Fees and Expenses</td>
		</tr>
		<tr>
			<td class="nobreak">34-96997</td>
			<td class="nobreak">Mar. 1, 2023</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-96010</td>
			<td class="nobreak">Oct. 7, 2022</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">33-11088</td>
			<td class="nobreak">Aug. 3, 2022</td>
			<td>Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 4C and 21C of the Securities Exchange Act of 1934, and Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="train"></a>Train and Babcock Advisors LLC</h3>

<p>File No. 3-18324</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-89013</td>
			<td class="nobreak">Jun. 4, 2020</td>
			<td>Order Directing Payment of Certain Funds Received by the Commission and Directing Transfer of Remaining Funds to the U.S. Treasury</td>
		</tr>
		<tr>
			<td class="nobreak">34-83914</td>
			<td class="nobreak">Aug. 23, 2018</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="trinity"></a>Trinity Capital Corporation and William C. Enloe</h3>

<p>File Nos. 3-16837, 3-16838</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-91569</td>
			<td class="nobreak">Apr. 15, 2021</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-89135</td>
			<td class="nobreak">Jun. 23, 2020</td>
			<td>Order Establishing Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">33-9931<br>
			34-75998<br>
			AAER-3707</td>
			<td class="nobreak">Sep. 28, 2015</td>
			<td>Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order and Penalties</td>
		</tr>
		<tr>
			<td class="nobreak">33-9930<br>
			34-75997<br>
			AAER-3706</td>
			<td class="nobreak">Sep. 28, 2015</td>
			<td>Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order and Penalties</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="ubs2">UBS Financial Services Inc. of Puerto Rico and Ramiro L. Colon, III</a></h3>

<p><a id="ubs2"> </a></p>

<p><a id="ubs2">File Nos. 3-16846, 3-16847</a></p>

<table class="fflist">
	<thead>
		<tr>
			<th><a id="ubs2">Release</a></th>
			<th><a id="ubs2">Date</a></th>
			<th><a id="ubs2">Notice, Order, or Plan</a></th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak"><a id="ubs2">34-96964</a></td>
			<td class="nobreak"><a id="ubs2">Feb. 22, 2023</a></td>
			<td><a id="ubs2"></a>Order Authorizing the Disposition of Funds Remaining in the Fair Fund and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, Canceling the Administrator's Bond, and Terminating the Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-92512</td>
			<td class="nobreak">Jul. 28, 2021</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-85891</td>
			<td class="nobreak">May 20, 2019</td>
			<td>Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses</td>
		</tr>
		<tr>
			<td class="nobreak">34-81100</td>
			<td class="nobreak">Jul. 7, 2017</td>
			<td>Order Approving Plan of Distribution and Consolidating Settlement Funds for Administration</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-81064</td>
			<td class="nobreak">June 30, 2017</td>
			<td>Notice of Name Change of Appointed Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-80535</td>
			<td class="nobreak">Apr. 27, 2017</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-79513</td>
			<td class="nobreak">Dec. 8, 2016</td>
			<td>Third Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-79227</td>
			<td class="nobreak">Nov. 3, 2016</td>
			<td>Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-78002</td>
			<td class="nobreak">Jun. 7, 2016</td>
			<td>Second Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-77206</td>
			<td class="nobreak">Feb. 23, 2016</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-77130</td>
			<td class="nobreak">Feb. 12, 2016</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-76014</td>
			<td class="nobreak">Sep. 29, 2015</td>
			<td>Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Ramiro L. Colon, III)</td>
		</tr>
		<tr>
			<td class="nobreak">34-76013</td>
			<td class="nobreak">Sep. 29, 2015</td>
			<td>Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (UBS Financial Services Incorporated of Puerto Rico)</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="ubs2"></a><a id="unik"></a>Unikrn, Inc.</h3>

<p>File No. 3-20003</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-99779</td>
			<td class="nobreak">Mar. 19, 2024</td>
			<td>Notice of Amended Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>
			<p>Amended Proposed Distribution Plan</p>
			</td>
		</tr>
		<tr>
			<td class="nobreak">34-99255</td>
			<td class="nobreak">Dec, 29, 2023</td>
			<td>Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-97855</td>
			<td class="nobreak">Jul.7, 2023</td>
			<td><a data-entity-substitution="media" data-entity-type="media" data-entity-uuid="4689ed5e-d8e3-454f-a6b9-09c29084da2f" href="/files/litigation/admin/2023/34-97855.pdf" title="34-97855">Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution</a></td>
		</tr>
		<tr>
			<td class="nobreak">34-97008</td>
			<td class="nobreak">Mar. 1, 2023</td>
			<td>Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-96665</td>
			<td class="nobreak">Jan. 13, 2023</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment
			<ul class="bullet-1 margin-0">
				<li>
				<form action="/cgi-bin/ruling-comments" class="margin-0" method="post"><a href="javascript:;" onclick="parentNode.submit();">Submit Comments on 3-20003</a> <input name="ruling" type="hidden" value="3-20003"> <input name="action" type="hidden" value="Show_Form"> <input name="rule_path" type="hidden" value="/comments/3-20003"> <input name="file_num" type="hidden" value="3-20003"> <input name="title" type="hidden" value></form>
				</li>
			</ul>
			</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>
			<p>Proposed Distribution Plan<br>
			<i>Comments received are available for this proposed plan.</i></p>
			</td>
		</tr>
		<tr>
			<td class="nobreak">34-94525</td>
			<td class="nobreak">Mar. 28, 2022</td>
			<td>Second Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-93711</td>
			<td class="nobreak">Dec. 2, 2021</td>
			<td>Order Appointing Fund Administrator and Setting Administrator's Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-92205</td>
			<td class="nobreak">Jun. 17, 2021</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-90700</td>
			<td class="nobreak">Dec. 17, 2020</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">33-10841</td>
			<td class="nobreak">Sep. 15, 2020</td>
			<td>Order Instituting Cease-and Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing Penalties and a Cease-and-Desist Order </td>
		</tr>
	</tbody>
</table>

<p></p>
<!--------V------------>

<hr>
<h3><a id="valeant"></a>Valeant Pharmaceuticals International, Inc. n/k/a Bausch Health Companies Inc., J. Michael Pearson, Howard B. Schiller, Tanya R. Carro, CPA</h3>

<p>File Nos. 3-19899, 3-19900, 3-19901, 3-19902</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th style="width: 87px;">Date</th>
			<th style="width: 729px;">Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-99516</td>
			<td class="nobreak" style="width: 87px;">Feb. 12, 2024</td>
			<td style="width: 729px;">Order Appointing Fund Administrator, Setting Administrator's Bond Amount, and Authorizing Payment of Fees and Expenses</td>
		</tr>
		<tr>
			<td class="nobreak">34-99468</td>
			<td class="nobreak" style="width: 87px;">Feb. 5, 2024</td>
			<td style="width: 729px;">Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-99284</td>
			<td class="nobreak" style="width: 87px;">Jan. 7, 2024</td>
			<td style="width: 729px;">Order Consolidating Fair Funds and Setting Deadline to Submit Proposed Plan of Distribution</td>
		</tr>
	</tbody>
</table>

<hr>
<h3><a id="vereit"></a>VEREIT, INC.</h3>

<p>File No. 3-19831</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-97854</td>
			<td class="nobreak">Jul. 7, 2023</td>
			<td>Order Approving Plan of Distribution and Authorizing Transfer of Fair Fund</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-97625</td>
			<td class="nobreak">May 31, 2023</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment
			<form action="/cgi-bin/ruling-comments" class="margin-0" method="post"><input name="ruling" type="hidden" value="3-19831"> <input name="action" type="hidden" value="Show_Form"> <input name="rule_path" type="hidden" value="/comments/3-19831"> <input name="file_num" type="hidden" value="3-19831"> <input name="title" type="hidden" value></form>
			</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-89770</td>
			<td class="nobreak">Sep. 4, 2020</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-89708</td>
			<td class="nobreak">Aug. 28, 2020</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">33-10793<br>
			34-89133<br>
			AAER-4149</td>
			<td class="nobreak">Jun. 23, 2020</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="visium"></a>Visium Asset Management, LP</h3>

<p>File No. 3-18473</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-89112</td>
			<td class="nobreak">Jun. 22, 2020</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-88920</td>
			<td class="nobreak">May 21, 2020</td>
			<td>Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses</td>
		</tr>
		<tr>
			<td class="nobreak">34-86330</td>
			<td class="nobreak">Jul. 8, 2019</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-85827</td>
			<td class="nobreak">May 10, 2019</td>
			<td>Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-85403</td>
			<td class="nobreak">Mar. 25, 2019</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity to Comment<br>
			<i>Comments received are available for this notice</i>.</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-84608</td>
			<td class="nobreak">Nov. 16, 2018</td>
			<td>Order Appointing Fund Administrator and Setting Administrator Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-84004</td>
			<td class="nobreak">Aug. 30, 2018</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-83998</td>
			<td class="nobreak">Aug. 30, 2018</td>
			<td>Order Establishing Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">33-10494</td>
			<td class="nobreak">May 8, 2018</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act Of 1934, and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr><!--------W------------>
<h3><a id="weatherford"></a>Weatherford International PLC, et al. and Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA</h3>

<p>File Nos. 3-17582 and 3-17628</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-98569</td>
			<td class="nobreak">Sept. 27, 2023</td>
			<td>Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-97818</td>
			<td class="nobreak">Jun. 29, 2023</td>
			<td>Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-96687</td>
			<td class="nobreak">Jan. 18, 2023</td>
			<td>Order Extending Time to Enter Order Approving or Disapproving Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-96340</td>
			<td class="nobreak">Nov. 17, 2022</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>
			<p>Proposed Plan of Distribution<br>
			<i>Comments received are available for this plan.</i><i></i></p>
			</td>
		</tr>
		<tr>
			<td class="nobreak">34-89333</td>
			<td class="nobreak">Jul. 16, 2020</td>
			<td>Order Appointing Fund Administrator and Setting Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-83766</td>
			<td class="nobreak">Aug. 2, 2018</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-82185</td>
			<td class="nobreak">Nov. 30, 2017</td>
			<td>Order Consolidating Fair Funds</td>
		</tr>
		<tr>
			<td class="nobreak">34-82121</td>
			<td class="nobreak">Nov. 20, 2017</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-80273</td>
			<td class="nobreak">Mar. 17, 2017</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-79109</td>
			<td class="nobreak">Oct. 18, 2016</td>
			<td>Order Instituting Public Administrative and Cease-and Desist Proceedings Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease and-Desist Order ("Order")</td>
		</tr>
		<tr>
			<td class="nobreak">33-10221<br>
			34-78944<br>
			AAER-3806</td>
			<td class="nobreak">Sep. 27, 2016</td>
			<td>Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<p></p>

<hr>
<h3 id="wellsfargocompany">Wells Fargo & Company</h3>

<p>File No. 3-19704</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-99216</td>
			<td class="nobreak">Dec .20, 2023</td>
			<td>Order Directing Second Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-95733</td>
			<td class="nobreak">Sep. 12, 2022</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-90898</td>
			<td class="nobreak">Jan. 11, 2021</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Plan of Distribution (Corrected)</td>
		</tr>
		<tr>
			<td class="nobreak">34-90095</td>
			<td class="nobreak">Oct. 6, 2020</td>
			<td>Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-89501</td>
			<td class="nobreak">Aug. 6, 2020</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution<br>
			<i>Comments received are available for this plan.</i></td>
		</tr>
		<tr>
			<td class="nobreak">34-88921</td>
			<td class="nobreak">May 21, 2020</td>
			<td>Order Appointing Fund Administrator and Setting Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-88453</td>
			<td class="nobreak">Mar. 23, 2020</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-88353</td>
			<td class="nobreak">Mar. 10, 2020</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-88257</td>
			<td class="nobreak">Feb. 21, 2020</td>
			<td>Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing A Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="wendan"></a>Wendan Bao, Shuo Gu, LendingCar Corp., And H7 Credit, LLC</h3>

<p>File No. 3-20452</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-92704</td>
			<td class="nobreak">Aug. 18, 2021</td>
			<td>Order Appointing Tax Administrator and Directing Payment of Certain Funds Received by the Commission</td>
		</tr>
		<tr>
			<td class="nobreak">33-10960</td>
			<td class="nobreak">Aug. 4, 2021</td>
			<td>Order Instituting Administrative and Cease-and-desist Proceedings, Pursuant To Section 8a Of The Securities Act Of 1933, Section 21c of The Securities 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</td>
		</tr>
	</tbody>
</table>

<hr>
<h3><a id="willfretz"></a>William B. Fretz, Jr., John P. Freeman, Covenant Capital Management Partners, L.P., and Covenant Partners, L.P.</h3>

<p>File No. 3-16829</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody><!--<tr class="gray">






  <td class="nobreak">sss</td><td class="nobreak"> </td>
<td>Proposed Plan of Distribution</td></tr>-->
		<tr>
			<td class="nobreak">34-92781</td>
			<td class="nobreak">Aug. 27, 2021</td>
			<td>Order Directing Third Disbursement of Distribution Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-85536</td>
			<td class="nobreak">Apr. 5, 2019</td>
			<td>Corrected Order Directing Second Disbursement</td>
		</tr>
		<tr>
			<td class="nobreak">34-81858</td>
			<td class="nobreak">Oct. 12, 2017</td>
			<td>Order Directing Disbursement</td>
		</tr>
		<tr>
			<td class="nobreak">34-81064</td>
			<td class="nobreak">June 30, 2017</td>
			<td>Notice of Name Change of Appointed Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-80711</td>
			<td class="nobreak">May 18, 2017</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-80392</td>
			<td class="nobreak">Apr. 6, 2017</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-79511</td>
			<td class="nobreak">Dec. 8, 2016</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">33-9925</td>
			<td class="nobreak">Sep. 23, 2015</td>
			<td>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</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3><a id="willking"></a>William D. King, CPA</h3>

<p>File No. 3-19991</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-97636</td>
			<td class="nobreak">Jun. 1, 2023</td>
			<td>Order Directing Disbursement of Fair Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-95109</td>
			<td class="nobreak">Jun. 16, 2022</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-94758</td>
			<td class="nobreak">Apr. 19, 2022</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment <!--<ul class="bullet-1 margin-0">
				<li>
				<form action="/cgi-bin/ruling-comments" class="margin-0" method="post"><a href="javascript:;" onclick="parentNode.submit();">Submit Comments on 3-19991</a> <input name="ruling" type="hidden" value="3-19991" /> <input name="action" type="hidden" value="Show_Form" /> <input name="rule_path" type="hidden" value="/comments/3-19991" /> <input name="file_num" type="hidden" value="3-19991" /> <input name="title" type="hidden" value="Distribution Plan" /></form>
				</li>
			</ul>--></td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Distribution Plan</td>
		</tr>
		<tr>
			<td class="nobreak">34-93879</td>
			<td class="nobreak">Dec. 29, 2021</td>
			<td>Order Appointing Fund Administrator and Setting Administrator's Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-93321</td>
			<td class="nobreak">Oct. 14, 2021</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34-93320</td>
			<td class="nobreak">Oct. 14, 2021</td>
			<td>Extension Order</td>
		</tr>
		<tr>
			<td class="nobreak">34-89848</td>
			<td class="nobreak">Sept. 11, 2020</td>
			<td>Order Instituting Administrative and Cease-and-Desist Proceedings</td>
		</tr>
	</tbody>
</table>

<hr>
<h3 id="wilmingtontrust">Wilmington Trust Corporation</h3>

<p>File No. 3-16098</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-92779</td>
			<td class="nobreak">Aug. 27, 2021</td>
			<td>Order Directing Disbursement of Distribution Fund</td>
		</tr>
		<tr>
			<td class="nobreak">34-91816</td>
			<td class="nobreak">May 10, 2021</td>
			<td>Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses</td>
		</tr>
		<tr>
			<td class="nobreak">34-89758</td>
			<td class="nobreak">Sep. 3, 2020</td>
			<td>Order Approving Plan of Distribution</td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Final Distribution Plan and Exhibits</td>
		</tr>
		<tr>
			<td class="nobreak">34-89287</td>
			<td class="nobreak">Jul. 10, 2020</td>
			<td>Notice of Proposed Plan of Distribution and Opportunity for Comment<br>
			<i>Comments received are available for this proposed plan.</i></td>
		</tr>
		<tr class="gray">
			<td class="nobreak"></td>
			<td class="nobreak"></td>
			<td>Proposed Plan of Distribution</td>
		</tr>
		<tr>
			<td class="nobreak">34-88779</td>
			<td class="nobreak">Apr. 30, 2020</td>
			<td>Order Appointing Fund Administrator and Setting Administrator Bond Amount</td>
		</tr>
		<tr>
			<td class="nobreak">34-88395</td>
			<td class="nobreak">Mar. 16, 2019</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">33-9646<br>
			34-73076<br>
			AAER-3582</td>
			<td class="nobreak">Sep. 11, 2014</td>
			<td>Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order</td>
		</tr>
	</tbody>
</table>

<p></p>

<hr>
<h3 id="wireline">Wireline, Inc.</h3>

<p>File No. 3-20206</p>

<table class="fflist">
	<thead>
		<tr>
			<th>Release</th>
			<th>Date</th>
			<th>Notice, Order, or Plan</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td class="nobreak">34-91934</td>
			<td class="nobreak">May 19, 2021</td>
			<td>Order Appointing Tax Administrator</td>
		</tr>
		<tr>
			<td class="nobreak">34- 90938</td>
			<td class="nobreak">Jan. 15, 2021</td>
			<td>Order Directing Payment of Certain Funds Received by the Commission and Directing Transfer of Remaining Funds to the U.S. Treasury</td>
		</tr>
		<tr>
			<td class="nobreak">33-10920</td>
			<td class="nobreak">Jan. 15, 2021</td>
			<td>Order Instituting Cease-and-Desist Proceedings, Making Findings and Imposing Penalties and a Cease-and-Desist-Order</td>
		</tr>
	</tbody>
</table>

<p>Fw</p>

<p></p>
<!--------B------------><!--------C------------><!--------D------------><!--------E------------><!--------F------------><script type="text/javascript" src="/js/basic.js">
//<![CDATA[

//]]>
</script><script type="text/javascript">
//<![CDATA[

jQuery(document).ready(function() {
    jQuery('#search5').hideseek();
});

  
//]]>
</script></div>
      
                          </div>

              
                <div class="article-more-topics">
          
        </div>
                              </div>

          <div id="sidebar-second">
		
                <div class="block related-materials">
          
        </div>
              </div>
            </div>

    <div class="article-date modified">
          Modified: May 10, 2024
      </div>
  
</article>

  </div>

  </div>


        </div>
      
        
      
      </div>

      
    </div>
    </div>

          <footer class="page-footer">
                  <div class="page-footer-top">
              <div class="region region-footer-top">
    
<div id="block-globalfooterstayconnectedfooter" class="block stay-connected-footer">
  
    
        <div class="body"><p class="data-exempt" id="stay-connected-footer"><a href="/news/socialmedia.shtml"><span>SOCIAL MEDIA</span></a><br class="new-line" />
<a href="https://twitter.com/SECGov"><span class="fa fa-lg fa-twitter"><span class="visually-hidden">1</span></span> <span class="hide-for-small">Twitter </span></a> <a href="https://www.facebook.com/SECgov"><span class="fa fa-lg fa-facebook"><span class="visually-hidden">2</span></span> <span class="hide-for-small">Facebook</span></a> <a href="https://www.instagram.com/secgov"><span class="fa fa-lg fa-instagram"><span class="visually-hidden">2</span></span> <span class="hide-for-small">Instagram</span></a> <a href="/about/secrss.shtml"><span class="fa fa-lg fa-rss"><span class="visually-hidden">3</span></span><span class="hide-for-small">RSS</span></a> <a href="http://www.youtube.com/user/SECViews"><span class="fa fa-lg fa-youtube-play"><span class="visually-hidden">4</span></span><span class="hide-for-small">YouTube</span></a><br class="hide-for-medium-up" />
<a href="https://www.linkedin.com/company/us-securities-and-exchange-commission?trk=company_name"><span class="fa fa-lg fa-linkedin"><span class="visually-hidden">6</span></span><span class="hide-for-small">LinkedIn</span></a> <!--<a href="//www.pinterest.com/secgov"><span class="fa fa-lg fa-pinterest-p"><span class="visually-hidden">7</span></span> <span class="hide-for-small">Pinterest</span></a>--> <a href="//public.govdelivery.com/accounts/USSEC/subscriber/new"><span class="fa fa-lg fa-envelope"><span class="visually-hidden">8</span></span> <span class="hide-for-small">Email Updates</span> </a></p>
</div>
  </div>

  </div>


          </div>
                <div class="page-footer-cols">
          <div>
    <nav role="navigation" aria-labelledby="block-aboutthesec-menu" id="block-aboutthesec">
            
  <h2 id="block-aboutthesec-menu">About The SEC</h2>
  

        
              <ul class="section-menu menu">
              <li class="menu__item is-active is-leaf leaf item-budget-&-performance">
        <a href="/about/offices/ofm/ofm-documents" class="menu__link" data-drupal-link-system-path="node/111606">Budget & Performance</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-careers">
        <a href="/about/careers" class="menu__link" data-drupal-link-system-path="node/41311">Careers</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-commission-votes">
        <a href="/about/commission-votes" class="menu__link" data-drupal-link-system-path="node/111231">Commission Votes</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-contact">
        <a href="/contact-information/sec-directory" class="menu__link" data-drupal-link-system-path="node/102846">Contact</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-contracts">
        <a href="/page/oacqsectionlanding" class="menu__link" data-drupal-link-system-path="node/3841">Contracts</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-data-resources">
        <a href="/sec-data-resources" class="menu__link" data-drupal-link-system-path="node/191566">Data Resources</a>
              </li>

        </ul>
  





  </nav>
<nav role="navigation" aria-labelledby="block-governmenttransparency-menu" id="block-governmenttransparency">
            
  <h2 id="block-governmenttransparency-menu">Transparency</h2>
  

        
              <ul class="section-menu menu">
              <li class="menu__item is-active is-leaf leaf item-accessibility-&-disability">
        <a href="/disability/sec_access" class="menu__link" data-drupal-link-system-path="node/111766">Accessibility & Disability</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-foia">
        <a href="/foia-services" class="menu__link" data-drupal-link-system-path="node/946556">FOIA</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-inspector-general">
        <a href="/oig" class="menu__link" data-drupal-link-system-path="node/41456">Inspector General</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-no-fear-act-&-eeo-data">
        <a href="/page/eeosectionlanding" class="menu__link" data-drupal-link-system-path="node/3781">No FEAR Act & EEO Data</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-ombuds">
        <a href="/ombuds" title="Ombuds" class="menu__link" data-drupal-link-system-path="node/96081">Ombuds</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-whistleblower-protection">
        <a href="/whistleblower" class="menu__link" data-drupal-link-system-path="node/99851">Whistleblower Protection</a>
              </li>

        </ul>
  





  </nav>
<nav role="navigation" aria-labelledby="block-otherwebsites-menu" id="block-otherwebsites">
            
  <h2 id="block-otherwebsites-menu">Websites</h2>
  

        
              <ul class="section-menu menu">
              <li class="menu__item is-active is-leaf leaf item-investor.gov">
        <a href="https://www.investor.gov" class="menu__link">Investor.gov</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-related-sites">
        <a href="/links" class="menu__link" data-drupal-link-system-path="node/100276">Related Sites</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-usa.gov">
        <a href="https://www.usa.gov" class="menu__link">USA.gov</a>
              </li>

        </ul>
  





  </nav>
<nav role="navigation" aria-labelledby="block-siteinformation-menu" id="block-siteinformation">
            
  <h2 id="block-siteinformation-menu">Site Information</h2>
  

        
              <ul class="section-menu menu">
              <li class="menu__item is-active is-leaf leaf item-plain-writing">
        <a href="/plainwriting" class="menu__link" data-drupal-link-system-path="node/111701">Plain Writing</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-privacy-&-security">
        <a href="/privacy" class="menu__link" data-drupal-link-system-path="node/111706">Privacy & Security</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-site-map">
        <a href="/sitemap" class="menu__link" data-drupal-link-system-path="node/111831">Site Map</a>
              </li>

        </ul>
  





  </nav>

  </div>


        </div>
      </footer>
    
                <script>
        if (typeof dataLayer != "undefined") dataLayer.push({"pageType": "Distributions in Commission Administrative Proceedings: Notices and Orders Pertaining to Disgorgement and Fair Funds"});
      </script>
        </div>
</div>
</div>


  </div>

    

    <a href="#" class="back-to-top"><i class="fa fa-chevron-circle-up" aria-hidden="true"></i>Return to Top</a>

    <div class="overlap">
  <!-- Subscribe link, RSS, Email -->
  <div id="addthis-icons-508" class="visibly-hidden">
    <div class="addthis-wrapper">
      <div class="appIconsDetail hide">
        <div class="addthis_toolbox addthis_default_style hide-for-small">
          <a class="addthis_button_print at300b" title="Print Page" href="#">
            <span class="fa fa-print"></span>
          </a>
          <a class="addthis_button_facebook at300b" title="Share on Facebook" href="#">
            <span class="fa fa-facebook"></span>
          </a>
          <a class="addthis_button_twitter at300b" title="Tweet Page" href="#">
            <span class="fa fa-twitter"></span>
          </a>
          <a class="addthis_button_mailto at300b" target="_blank" title="Email Page" href="#">
            <span class="fa fa-envelope"></span>
          </a>
          <a class="addthis_button_compact at300m" href="#" title="More Sharing Options">
            <span class="fa fa-plus"></span>
          </a>
        <div class="atclear"></div>
      </div>
      <div class="addthis_toolbox hide">
        <a class="addthis_button_facebook at300b" title="Share on Facebook" href="#">
          <span class="fa fa-facebook"></span>
        </a>
        <a class="addthis_button_twitter at300b" title="Tweet Page" href="#">
          <span class="fa fa-twitter"></span>
        </a>
        <a class="addthis_button_mailto at300b" target="_blank" title="Email Page" href="#">
          <span class="fa fa-envelope"></span>
        </a>
      </div>
      <div class="atclear"></div>
      </div>
    </div>
  </div>
</div>

    <script type="application/json" data-drupal-selector="drupal-settings-json">{"path":{"baseUrl":"\/","pathPrefix":"","currentPath":"node\/311441","currentPathIsAdmin":false,"isFront":false,"currentLanguage":"en"},"pluralDelimiter":"\u0003","suppressDeprecationErrors":true,"data":{"extlink":{"extTarget":false,"extTargetNoOverride":false,"extNofollow":false,"extNoreferrer":false,"extFollowNoOverride":false,"extClass":"0","extLabel":"(link is external)","extImgClass":false,"extSubdomains":true,"extExclude":".*\\.gov|http:\/\/www.xbrl.org\/utr\/2013-05-17\/utr.xml|http:\/\/www.xbrl.org\/dtr\/type\/numeric-2009-12-16.xsd|http:\/\/www.xbrl.org\/dtr\/type\/nonNumeric-2009-12-16.xsd|https:\/\/secir.secure.force.com\/ombudsman\/OMMSForm","extInclude":"","extCssExclude":".data-exempt","extCssExplicit":"","extAlert":true,"extAlertText":"You are now leaving the SEC Website. The link you have selected is located on another server. Please click on the OK button below to proceed to the selected site. The SEC does not endorse this web site, its sponsor, or any of the policies, activities, products, or services offered on the site or by any advertiser on the site.","mailtoClass":"0","mailtoLabel":"(link sends email)","extUseFontAwesome":false,"extIconPlacement":"append","extFaLinkClasses":"fa fa-external-link","extFaMailtoClasses":"fa fa-envelope-o","whitelistedDomains":null}},"user":{"uid":0,"permissionsHash":"be93764d3e8de6c48387d9f2c599940f17294deeee6c67667df88d64322d3b56"}}</script>
<script src="/files/js/js_mIXuAYEwDmUa0z4m8pGJvZRv8YrQPyyxhiIOgtVYu68.js?scope=footer&delta=0&language=en&theme=secgov&include=eJxljV0OwiAQhC_UypHIQjcU3XYbZmnE00ujvOjjfPMn1LSaDzXLwsXHCtMtv7i4JBpIZliTvKcJHH1hYQLDjRhZ1h0TGow3F7p35ZKeox2BH3LHvDL1rz8-gB7X6gfx0_r7wy2lHiS3r3wDgW9G2g"></script>
<script src="/themes/custom/secgov/js/third-party/addthis_widget.js?sdd43i" async></script>
<script src="/files/js/js_kgyhkKvsEJc_F08suXf_coAzuVqc6BQYtY8nFRLCflk.js?scope=footer&delta=2&language=en&theme=secgov&include=eJxljV0OwiAQhC_UypHIQjcU3XYbZmnE00ujvOjjfPMn1LSaDzXLwsXHCtMtv7i4JBpIZliTvKcJHH1hYQLDjRhZ1h0TGow3F7p35ZKeox2BH3LHvDL1rz8-gB7X6gfx0_r7wy2lHiS3r3wDgW9G2g"></script>


  </body>
  </html>