Defendant Name: Strong Capital Management, Inc.

Defendant Type: Other

Initial Case Details

Legal Case Name In the Matter of Strong Capital Management, Inc.
First Document Date 29-Sep-2006
Initial Filing Format Administrative Action
File Number 3-12448
Allegation Type Investment Advisers/Investment Companies

Violations Alleged

Other
• Section 34(b) Investment Company Act

Related Violations Alleged

Strong Capital Management, Inc. is alleged to have caused Strong High-Yield Municipal Bond Fund, Inc.'s violation of Section 30(e), Rule 30e-1 Investment Company Act.

Resolutions

First Resolution Date 29-Sep-2006
Headline Total Penalty and Disgorgement $2,185,928

Related Documents:

IA-2560 29-Sep-2006 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions Pursuant to Section 203(e) of the Investment Advisers Act of 1940 and Sections 9(b) and 9(f) of the Investment Company Act of 1940
34-65022 03-Aug-2011 Administrative Proceeding
Order Appointing Fund Administrator and Waiving Bond Requirement
34-65023 03-Aug-2011 Administrative Proceeding
Notice of Proposed Plan of Distribution and Opportunity for Comment
34-65023-pdp 03-Aug-2011 Administrative Proceeding
Proposed Plan of Distribution
34-65465 03-Oct-2011 Administrative Proceeding
Order Approving Plan of Distribution
34-66496 01-Mar-2012 Administrative Proceeding
Order Directing Disbursement of Fair Fund
34-70003 18-Jul-2013 Administrative Proceeding
Order Authorizing the Transfer of Remaining Funds and Any Future Fund to the U.S. Treasury, Discharging the Fund Administrator, and Terminating the Fair Fund

Related Actions:

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
Strong Capital Management, Inc.
Strong Investor Services, Inc.
Strong Investments, Inc.
Thomas A. Hooker, Jr.
Richard S. Strong
Anthony J. D'Amato