Related Documents:
33-8534
09-Feb-2005
Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(e) and 203(k) of the Investment Advisers Act of 1940 and Sections 9(b) and 9(f) of the Investment Company Act of 1940
On February 9, 2005, the SEC instituted settled administrative and cease-and-desist proceedings against Columbia Management Advisors, Inc. and Columbia Funds Distributor, Inc. According to the SEC: "From at least 1998 through October 2003, Columbia Advisors and some of its predecessor entities ('Columbia Advisors'), the investment adviser to over 140 of the mutual funds in the Columbia mutual fund complex (the 'Columbia Funds'), and Columbia Distributor, the principal underwriter and distributor of those funds, violated antifraud provisions of the securities laws by allowing certain preferred customers to engage in short-term or excessive trading, contrary to the restrictions and/or representations set forth in the Columbia Funds' prospectuses, that was detrimental to Columbia Funds but benefited respondents without disclosing these trading arrangements to fund shareholders or to fund trustees."
34-56857
28-Nov-2007
Administrative Proceeding
Order Directing Disbursement of Fair Fund
The SEC stated: "it is ORDERED that the Commission staff shall transfer $35,649,884.11 of the Fair Fund to Deutsche Bank and the Plan Administrator shall distribute such monies to investors, as provided for in the Plan of Distribution."
34-57422
03-Mar-2008
Administrative Proceeding
Order Directing Disbursement of Fair Fund
34-58939
13-Nov-2008
Administrative Proceeding
Order Directing Disbursement of Fair Fund
The SEC stated: "[I]t is ORDERED that the Commission staff shall transfer $37,674,192.60 of the Fair Fund to Deutsche Bank and the Plan Administrator shall distribute such monies to investors, as provided for in the Plan of Distribution"
34-62058
06-May-2010
Administrative Proceeding
Order Directing Disbursement of Fair Fund
On May 6, 2010, the SEC ordered that "the Plan Administrator shall distribute to investors $19,999,962.62 in funds held at Deutsche Bank, as provided for in the Plan of Distribution."
34-65122
12-Aug-2011
Administrative Proceeding
Order Directing Disbursement of Fair Fund
On May 6, 2010, the SEC ordered that "the Commission staff shall transfer $6,731,994.53 of the Fair Fund to Deutsche Bank and the Plan Administrator shall distribute such monies to investors, along with $4,183,792.03 in funds held at Deutsche Bank, as provided for in the Plan of Distribution."
34-81961
26-Oct-2017
Administrative Proceeding
Order Directing Disbursement
"Accordingly, it is ORDERED that A. the Commission staff shall transfer $116,179.71 to Deutsche Bank and the Fund Administrator shall distribute this sum, along with $2,888,954.32 in funds held at Deutsche Bank for a total distribution of $3,005,134.03, in accordance with the Plan; and B. the remaining funds in the amount of $29,071.75 shall be sent to the U.S. Treasury."
