Defendant Name:
Strong Investor Services, Inc.
Defendant Type:
Other
Initial Case Details
Legal Case Name
In the Matter of Strong Capital Management, Inc., Strong Investor Services, Inc., Strong Investments, Inc., Richard S. Strong, Thomas A. Hooker, Jr. and Anthony J. D'Amato
First Document Date
20-May-2004
Initial Filing Format
Administrative Action
File Number
3-11498
Allegation Type
Investment Advisers/Investment Companies
Violations Alleged
•
Sections 206(1), 206(2) Investment Advisers Act
Related Violations Alleged
Strong Investor Services, Inc. is alleged to have aided and abetted
Strong Capital Management, Inc.'s violation of Sections 206(1), 206(2) Advisers Act (willfully/knowingly).
Resolutions
First Resolution Date
20-May-2004
Headline Total Penalty and Disgorgement
$80,000,000
Related Documents:
34-49741
20-May-2004
Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders Pursuant to Section 15(b)(4), 15(b)(6), 15B(c)(4), 17A(c)(3) and 17A(c)(4)(C) 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
34-60406
30-Jul-2009
Administrative Proceeding
Notice of Proposed Distribution Plan and Opportunity for Comment
The Commission stated: "The Distribution Plan provides for distribution of the Fair Fund established in this matter, which contains $140,750,000 in disgorgement and civil penalties paid by Respondents Strong Capital Management, Inc. ("SCM"), Richard S. Strong, and Anthony D'Amato, plus accumulated interest, to eligible investors."
Proposed Plan of Distribution
The SEC stated: "This Plan of Distribution outlines a methodology to distribute funds to former shareholders of the Strong Funds (defined herein), formerly advised by Strong Capital Management, Inc. ("SCM"), a wholly-owned subsidiary of Strong Financial Corporation (together with SCM and its other subsidiaries, "Strong"), a Wisconsin corporation."
34-60667
14-Sep-2009
Administrative Proceeding
Order Approving Distribution Plan, Appointing an Administrator, and Waiving Bond
34-79136
21-Oct-2016
Administrative Proceeding
Order Approving Use of Fair Fund to Pay Outstanding and Remaining Fees and Expenses
Notice of Name Change of Appointed Tax Administrator
Other Defendants in Action:
