Defendant Name: Strong Investor Services, Inc.

Defendant Type: Other

Document Reference: 34-49741

Document 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
Document Name 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
Document Date 20-May-2004
Document Format Administrative Proceeding
File Number 3-11498
Allegation Type Investment Advisers/Investment Companies
Document Summary

Disgorgement & Penalty Information

Resolutions
Cease and Desist Order
Censured
Compliance Related Independent Consultant
Other Compliance Related Undertaking
Various undertakings

Related Documents:

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."
34-60406-pdp 30-Jul-2009 Administrative Proceeding
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
34-81064_3-11498 30-Jun-2017 Administrative Proceeding
Notice of Name Change of Appointed Tax Administrator

Related Actions:

In the Matter of Strong Capital Management, Inc.
Strong Capital Management, Inc.