Related Documents:
33-9116
07-Apr-2010
Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 4C, 15(b) And 21C of the Securities Exchange Act of 1934, Sections 9(b) and 9(f) of the Investment Company Act of 1940, Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940 and Rule 102(e)(1)(iii) of the Commission's Rules of Practice
Order Declining to Issue Five Subpoenas
Order Addressing Issues Under Rule of Practice 230(G)
Order Denying Motion to Disqualify Attorneys for Respondents
Order Granting in Part and Denying in Part Motion to Quash Subpoena
Order Addressing the Division of Enforcement's Renewed Motion in Limine
Order Amending July 12, 2010, Order Addressing Issues Under Rule of Practice 230(G)
Protective Order
Order on Respondents' Motion to Compel
34-64720
22-Jun-2011
Administrative Proceeding
Corrected Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order 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, and Imposing Suspension Pursuant to Section 4C of the Securities Exchange Act of 1934 and Rule 102(e)(1)(iii) of the Commission's Rules of Practice
2011-132
22-Jun-2011
Press Release--Administrative Proceeding
Morgan Keegan to Pay $200 Million to Settle Fraud Charges Related to Subprime Mortgage-Backed Securities
34-64917
19-Jul-2011
Administrative Proceeding
Order Appointing Tax Administrator
34-65227
30-Aug-2011
Administrative Proceeding
Order Appointing Fund Administrator
34-65919
08-Dec-2011
Administrative Proceeding
Order Granting Extension of Time to Submit Proposed Plan of Distribution
Proposed Plan of Distribution
34-70016
22-Jul-2013
Administrative Proceeding
Extension Order
34-70222
16-Aug-2013
Administrative Proceeding
Order Approving Modified Plan and Setting Fund Administrator Bond Amount
34-72599
11-Jul-2014
Administrative Proceeding
Order Directing Disbursement of Fair Fund
34-78541
11-Aug-2016
Administrative Proceeding
Second Order Directing Disbursement of Fair Fund
34-80048
15-Feb-2017
Administrative Proceeding
Order Setting Fund Administrator's Bond Amount
Notice of Name Change of Appointed Tax Administrator
34-86602
08-Aug-2019
Administrative Proceeding
Order Authorizing the Transfer to U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, Canceling Fund Administrator's Bond, and Terminating the Fair Fund
The SEC stated: "[I]t is ORDERED that: A. The remaining Fair Fund balance of $171,387.07 and any funds returned to the Fair Fund in the future, shall be transferred to the U.S. Treasury...; B. The Fund Administrator, A.B. Data, Ltd., is discharged; C. The Fund Administrator's bond is canceled; and D. The Fair Fund is terminated."
