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 Denying Reconsideration, Certification, and a Stay
Order Addressing the Division of Enforcement's Renewed Motion in Limine
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
On April 3, 2013, the SEC announced that the SEC Division of Enforcement submitted a Proposed Plan of Distribution to the Commission. The Plan of Distribution proposes a distribution of funds paid by Morgan Asset Management, Inc., Morgan Keegan & Co., Inc., James C. Kelsoe, Jr., and Joseph Thompson Weller, CPA, "as a result of Respondents' fraudulent valuation of certain subprime mortgage-backed securities in the portfolios of five (5) funds managed by Morgan..., pursuant to a Commission order issued on June 22, 2011."
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
On August 16, 2013, the SEC issued an Order Approving Modified Plan and Setting Fund Administrator Bond Amount. Under the Order, the fund administrator, A.B. Data, obtained a bond in the approved amount of $100,300,000.
34-72599
11-Jul-2014
Administrative Proceeding
Order Directing Disbursement of Fair Fund
On July 11, 2014, the SEC ordered "that the Commission staff shall transfer $100,398,383.91 from the Morgan Asset Fair Fund to Huntington Bank, and that the Fund Administrator shall distribute such monies to investors as provided for in the Modified Plan."
34-78541
11-Aug-2016
Administrative Proceeding
Second Order Directing Disbursement of Fair Fund
On August 11, 2016 the SEC published an order directing the disbursement of $301,092 from the Fair Fund to 28 eligible claimants.
34-80048
15-Feb-2017
Administrative Proceeding
Order Setting Fund Administrator's Bond Amount
The Commission stated that "on August 30, 2011, the Commission issued an order appointing A.B. Data, Ltd. as the fund administrator in this matter." "In accordance with Rule 1105(c) of the Commission's Rules on Fair Fund and Disgorgement Plans, 17 C.F.R. § 201.1105(c), it is hereby ORDERED that the bond amount required for A.B. Data, Ltd. going forward is $162,000."
Notice of Name Change of Appointed Tax Administrator
On June 30, 2017, the SEC announced a Name Change of Appointed Tax Administrator, and amended the Omnibus Order, beginning June 2017 and for calendar year 2018, to replace all references to Damasco with "Miller Kaplan Arase LLP which acquired Damasco & Associates LLP" in order to reflect Damasco's name change.
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."
