Defendant Name: Strong Capital Management, Inc.

Defendant Type: Other

Document Reference: IA-2560

Document Details

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

Disgorgement & Penalty Information

Resolutions
Censured
Various undertakings
Fair Funds
Plan of Distribution
Monetary Penalties:

Disgorgement

Individual:     $1,004,371.50 Shared:    

Civil Penalty

Individual:     $1,000,000.00 Shared:    

Pre-Judgment Interest

Individual:     $181,556.10 Shared:    

Related Documents:

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