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CMFI Summary of Investor Distribution Plans
The SEC is in the process of distributing as much as $3.5 billion in restition payments to individual investors who have been harmed by improper market timing and late trading activities. As a public service, CMFI provides a periodic summary of the status of individual Distribution Plans used to implement this restitution payment process. This summary is current as of March 29, 2013.
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SEC Proposed Distribution Plan for Investors Harmed by Market Timing Activities in the Zurich Capital Markets Funds
On April 15, 2010, the SEC released a plan to distribute $16,809,354.42 in disgorgement and civil penalties to eligible investors of the Zurich Capital Markets Funds who were harmed by market timing and other activities.
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SEC Final Distribution Plan for Investors Harmed by Market Timing Activities in the Morgan Stanley Funds
On April 9, 2010, the SEC released its final plan to distribute $17 million in disgorgement and civil penalties to eligible investors of the Morgan Stanley Funds who were harmed by market timing and other activities.
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SEC Orders Approval of Final Distribution Plan for Investors Harmed by Market Timing Activities in the Morgan Stanley Funds
On April 9, 2010, the SEC approved the final plan to distribute $17 million in disgorgement and civil penalties to eligible investors of the Morgan Stanley Funds who were harmed by market timing and other activities.
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SEC Proposed Distribution Plan for Investors Harmed by Market Timing Activities in the Evergreen Funds
On March 19, 2010, the SEC released a plan to distribute $32,653,280.00 in disgorgement and civil penalties to eligible investors of the Evergreen Funds who were harmed by market timing and other activities.
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SEC Final Distribution Plan for Investors Harmed by Market Timing Activities in the CIHC, Conseco Services, and Conseco Equity Funds
On February 26, 2010, the SEC released a final plan to distribute $15 million in disgorgement and civil penalties to eligible investors of the CIHC, Conseco Services, and Conseco Equity Funds who were harmed by market timing and other activities.
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SEC Proposed Distribution Plan for Investors Harmed by Market Timing Activities in the Morgan Stanley Funds
On February 26, 2010, the SEC released a plan to distribute $17 million in disgorgement and civil penalties to eligible investors of the Morgan Stanley Funds who were harmed by market timing and other activities.
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SEC Final Distribution Plan for Investors Harmed by Market Timing Activities in the Canadian Imperial Holdings and CIBC World Markets Funds
On February 23, 2010, the SEC released a final plan to distribute $125 million in disgorgement and civil penalties to eligible investors of the Canadian Imperial Holdings and CIBC World Markets funds who were harmed by market timing and other activities.
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SEC Final Distribution Plan for Investors Harmed by Market Timing Activities in the Prudential Equity Group Funds
On February 4, 2010, the SEC released a final plan to distribute $270 million in disgorgement and civil penalties to eligible investors of the Prudential Equity Group Funds who were harmed by market timing and other activities.
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SEC Final Distribution Plan for Investors Harmed by Market Timing Activities in the Federated Funds
On January 28, 2010, the SEC released a final plan to distribute $72 million in disgorgement and civil penalties to eligible investors of the Federated Funds who were harmed by market timing and other activities.
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SEC Final Distribution Plan for Investors Harmed by Market Timing Activities in the Gabelli Funds
On December 30, 2009, the SEC released a final plan to distribute $16 million in disgorgement and civil penalties to eligible investors of the Gabelli Funds who were harmed by market timing and other activities.
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SEC Proposed Distribution Plan for Investors Harmed by Market Timing Activities in the CIHC, Conseco Services, and Conseco Equity Funds
On December 18, 2009, the SEC released a plan to distribute $15 million in disgorgement and civil penalties to eligible investors of the CIHC, Conseco Services, and Conseco Equity funds who were harmed by market timing and other activities.
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SEC Proposed Distribution Plan for Investors Harmed by Market Timing Activities in the Canadian Imperial Holdings and CIBC World Markets Funds
On December 10, 2009, the SEC released a proposed plan to distribute $125 million in disgorgement and civil penalties to eligible investors of the Canadian Imperial Holdings and CIBC World Markets funds who were harmed by market timing and other activities.
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SEC Proposed Distribution Plan for Investors Harmed by Market Timing Activities in the Federated Funds
On December 4, 2009, the SEC released a proposed plan to distribute $72 million in disgorgement and civil penalties to eligible investors of the Federated Funds who were harmed by market timing and other activities.
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SEC Proposed Distribution Plan for Investors Harmed by Market Timing Activities in the Prudential Equity Group Funds
On December 4, 2009, the SEC released a proposed plan to distribute $270 million in disgorgement and civil penalties to eligible investors of the Prudential Equity Group Funds who were harmed by market timing and other activities.
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SEC Final Distribution Plan for Investors Harmed by Market Timing Activities in the Strong Funds
On September 14, 2009, the SEC released a final plan to distribute $140 million in disgorgement and civil penalties to eligible investors of the Strong Funds who were harmed by market timing and other activities.
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SEC Proposed Distribution Plan for Investors Harmed by Market Timing Activities in the Gabelli Funds
On September 11, 2009, the SEC released a proposed plan to distribute $16 million in disgorgement and civil penalties to eligible investors of the Gabelli Funds who were harmed by market timing and other activities.
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SEC Proposed Distribution Plan for Investors Harmed by Market Timing Activities in the Strong Funds
On July 30, 2009, the SEC released a proposed plan to distribute $140 million in disgorgement and civil penalties to eligible investors of the Strong Funds who were harmed by market timing and other activities.
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SEC Final Distribution Plan for Investors Harmed by Market Timing Activities in the Bear, Stearns & Company Funds
On February 4, 2009, the SEC released a final plan to distribute $250 million in disgorgement and civil penalties to eligible investors of the Bear, Stearns & Company Funds who were harmed by market timing and other activities.
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SEC Final Distribution Plan for Investors Harmed by Market Timing Activities in the Ritchie Funds
On December 11, 2008, the SEC released a final plan to distribute $40 million in disgorgement and civil penalties to eligible investors of the Ritchie Funds who were harmed by market timing and other activities.
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SEC Proposed Distribution Plan for Investors Harmed by Market Timing Activities in the Bear, Stearns & Company Funds
On December 8, 2008, the SEC released a proposed plan to distribute $250 million in disgorgement and civil penalties to eligible investors of the Bear, Stearns & Company Funds who were harmed by market timing and other activities
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SEC Proposed Distribution Plan for Investors Harmed by Market Timing Activities in the Ritchie Funds
On July 30, 2008, the SEC released a proposed plan to distribute $40 million in disgorgement and civil penalties to eligible investors of the Ritchie Funds who were harmed by market timing and other activities.
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SEC Final Distribution Plan for Investors Harmed by Market Timing Activities in the General American Life Insurance Funds
On July 25, 2008, the SEC released a final plan to distribute $3.4 million in disgorgement and civil penalties to eligible investors of the General American Life Insurance Funds who were harmed by market timing and other activities.
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SEC Proposed Distribution Plan for Investors Harmed by Market Timing Activities in the General American Life Insurance Funds
On May 23, 2008, the SEC released a proposed plan to distribute $3.4 million in disgorgement and civil penalties to eligible investors of the General American Life Insurance Funds who were harmed by market timing and other activities.
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SEC Final Distribution Plan for Investors Harmed by Market Timing Activities in the Invesco and AIM Funds
On May 23, 2008, the SEC released a final plan to distribute $375 million in disgorgement and civil penalties to eligible investors of the Invesco and AIM Funds who were harmed by market timing and other activities.
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SEC Final Distribution Plan for Investors Harmed by Market Timing Activities in the Invesco and AIM Funds
On May 23, 2008, the SEC released a final plan to distribute $375 million in disgorgement and civil penalties to eligible investors of the Invesco and AIM Funds who were harmed by market timing and other activities.
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SEC Final Distribution Plan for Investors Harmed by Market Timing Activities in the Alliance Funds
On May 15, 2008, the SEC released a final plan to distribute $321 million in disgorgement and civil penalties to eligible investors of the Alliance Funds who were harmed by market timing and other activities.
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SEC Final Distribution Plan for Investors Harmed by Market Timing Activities in the Franklin Templeton Funds
On May 9, 2008, the SEC released a final plan to distribute $50 million in disgorgement and civil penalties to eligible investors of the Franklin Templeton Funds who were harmed by market timing and other activities.
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SEC Orders Approval of Final Distribution Plan for Investors Harmed by Market Timing Activities in the Franklin Templeton Funds
On May 9, 2008, the SEC ordered the approval of a final plan to distribute $50 million in disgorgement and civil penalties to eligible investors of the Franklin Templeton Funds who were harmed by market timing and other activities.
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SEC Final Distribution Plan for Investors Harmed by Market Timing Activities in the Janus Funds
On April 25, 2008, the SEC released a final plan to distribute $100 million in disgorgement and civil penalties to eligible investors of the Janus Funds who were harmed by market timing and other activities.
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SEC Proposed Distribution Plan for Investors Harmed by Market Timing Activities by the Alliance Funds
On March 13, 2008, the SEC released a proposed plan to distribute $321 million in disgorgement and civil penalties to eligible investors of the Alliance Funds who were harmed by market timing and other activities.
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SEC Response Letter on the Taxation of SEC Distribution Plans
On March 5, 2008, the SEC Chairman Christopher Cox responded to CMFI’s letter regarding the tax rules for SEC Fair Fund distributions.
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CMFI Letter on the Taxation of SEC Distribution Plans
On February 6, 2008, CMFI sent a letter to SEC Chairman Christopher Cox regarding the tax treatment of SEC Fair Fund distribution payments to individual investors.
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SEC Final Distribution Plan for Investors Harmed by Market Timing Activities in the Banc of America and Nations Funds
On December 27, 2007, the SEC released a final plan to distribute $375 million in disgorgement and civil penalties to eligible investors of the Nations funds and other related fund families who were harmed by market timing and other activities.
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SEC Modified Final Distribution Plan for Investors Harmed by Market Timing Activities in the Massachusetts Financial Services (MFS) Funds
On September 25, 2007, the SEC released a modified final plan to distribute $140 million in disgorgement and civil penalties to eligible investors of the MFS Funds who were harmed by market timing and other activities.
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SEC Orders Approval of Modified Final Distribution Plan for Investors Harmed by Market Timing Activities in the Massachusetts Financial Services (MFS) Funds
On September 25, 2007, the SEC released a revised order approving the modified distribution plan to distribute $140 million in disgorgement and civil penalties to eligible investors of the MFS Funds who were harmed by market timing and other activities.
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SEC Final Distribution Plan for Investors Harmed by Market Timing Activities in the International Equity Funds
On August 8, 2007, the SEC released a final plan to distribute $3.19 million in disgorgement and civil penalties to eligible investors of the International Equity Funds who were harmed by market timing and other activities.
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SEC Final Distribution Plan for Investors Harmed by Market Timing Activities in the RS Funds
On August 8, 2007, the SEC released a final plan to distribute $25 million in disgorgement and civil penalties to eligible investors of the RS Funds who were harmed by market timing and other activities.
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SEC Approves Final Distribution Plan for Investors Harmed by Market Timing Activities in the RS Funds
On August 8, 2007, the SEC approved the final plan to distribute $25 million in disgorgement and civil penalties to eligible investors of the RS Funds who were harmed by market timing and other activities
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SEC Final Distribution Plan for Investors Harmed by Market Timing Activities in the Millennium Funds
On August 3, 2007, the SEC released a final plan to distribute $180 million in disgorgement and civil penalties to eligible investors of the Millennium Investment funds who were harmed by market timing and other activities.
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SEC Final Distribution Plan for Investors Harmed by Market Timing Activities in the Massachusetts Financial Services (MFS) Funds
On July 24, 2007, the SEC released a final plan to distribute $140 million in disgorgement and civil penalties to eligible investors of the MFS Funds who were harmed by market timing and other activities.
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SEC Orders Approval of Final Distribution Plan for Investors Harmed by Market Timing Activities in the Massachusetts Financial Services (MFS) Funds
On July 24, 2007, the SEC approved the final plan to distribute $140 million in disgorgement and civil penalties to eligible investors of the MFS Funds who were harmed by market timing and other activities.
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SEC Final Distribution Plan for Investors Harmed by Market Timing Activities in the Putnam Funds
On July 20, 2007, the SEC released a final plan to distribute $98 million in disgorgement and civil penalties to eligible investors of the Putnam Funds who were harmed by market timing and other activities.
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SEC Approves Final Distribution Plan for Investors Harmed by Market Timing Activities in the Putnam Funds
On July 20, 2007, the SEC ordered the approval of the final plan to distribute $98 million in disgorgement and civil penalties to eligible investors of the Putnam Funds who were harmed by market timing and other activities.
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SEC Proposed Distribution Plan for Investors Harmed by Market Timing Activities in the Banc of America and Nations Funds
On July 16, 2007, the SEC released a proposed plan to distribute $375 million in disgorgement and civil penalties to eligible investors of the Nations Funds and other related fund families who were harmed by market timing and other activities.
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SEC Proposed Distribution Plan for Investors Harmed by Market Timing Activities in the Invesco and AIM Funds
On July 6, 2007, the SEC released a proposed plan to distribute $375 million in disgorgement and civil penalties to eligible investors of the Invesco and AIM Funds who were harmed by market timing and other activities.
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SEC Proposed Distribution Plan for Investors Harmed by Market Timing Activities in the Invesco and AIM Funds
On July 6, 2007, the SEC released a proposed plan to distribute $375 million in disgorgement and civil penalties to eligible investors of the Invesco and AIM Funds who were harmed by market timing and other activities.
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SEC Proposed Distribution Plan for Investors Harmed by Market Timing Activities in the Franklin Templeton Funds
On June 6, 2007, the SEC released a proposed plan to distribute $50 million in disgorgement and civil penalties to eligible investors of the Franklin Templeton Funds who were harmed by market timing and other activities.
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SEC Proposed Distribution Plan for Investors Harmed by Market Timing Activities in the Janus Funds
On May 31, 2007, the SEC released a proposed plan to distribute $100 million in disgorgement and civil penalties to eligible investors of the Janus Funds who were harmed by market timing and other activities.
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SEC Proposed Distribution Plan for Investors Harmed by Market Timing Activities in the Millennium Funds
On May 31, 2007, the SEC released a proposed plan to distribute $180 million in disgorgement and civil penalties to eligible investors of the Millennium Investment funds who were harmed by market timing and other activities.
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SEC Proposed Distribution Plan for Investors Harmed by Market Timing Activities in the RS Funds
On May 14, 2007, the SEC released a proposed plan to distribute $25 million in disgorgement and civil penalties to eligible investors of the RS Funds who were harmed by market timing and other activities.
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SEC Final Distribution Plan for Investors Harmed By Market Timing Activities in the BancOne/One Group Funds
On May 9, 2007, the SEC released a final plan to distribute $140 million in disgorgement and civil penalties to eligible investors of the BancOne/One Group Funds who were harmed by market timing and other activities.
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SEC Orders Approval of Final Distribution Plan for Investors Harmed By Market Timing Activities in the BancOne/One Group Funds
On May 9, 2007, the SEC ordered the approval of the final plan to distribute $140 million in disgorgement and civil penalties to eligible investors of the BancOne/One Group Funds who were harmed by market timing and other activities.
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SEC Proposed Distribution Plan for Investors Harmed by Market Timing Activities in the International Equity Funds
On April 25, 2007, the SEC released a proposed plan to distribute $3.19 million in disgorgement and civil penalties to eligible investors of the International Equity funds who were harmed by market timing and other activities.
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SEC Final Distribution Plan for Investors Harmed By Market Timing Activities in the Columbia Funds
On April 6, 2007, the SEC released a final plan to distribute $140 million in disgorgement and civil penalties to eligible investors of the Columbia Funds who were harmed by market timing and other activities.
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SEC Order Approving of Final Distribution Plan for Investors Harmed By Market Timing Activities in the Columbia Funds
On April 6, 2007, the SEC issued an order approving the final plan to distribute $140 million in disgorgement and civil penalties to eligible investors of the Columbia Funds who were harmed by market timing and other activities.
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SEC Proposed Distribution Plan for Investors Harmed by Market Timing Activities in the Putnam Funds
On March 30, 2007, the SEC released a proposed plan to distribute $98 million in disgorgement and civil penalties to eligible investors of the Putnam Funds who were harmed by market timing and other activities.
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SEC Final Distribution Plan for Investors Harmed By Market Timing Activities in the Pilgrim Baxter Funds
On November 22, 2006, the SEC released a final plan to distribute $250 million in disgorgement and civil penalties to eligible investors of the Pilgrim Baxter Funds who have been harmed by market timing and other activities.
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CMFI Comment Letter on SEC Proposed Distribution Plan for Massachusetts Financial Services (MFS) Funds
On October 16, 2006, CMFI submitted a comment letter on the SEC Proposed Distribution Plan for the Massachusetts Financial Services (MFS) Funds.
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SEC Final Distribution Plan for Investors Harmed by Market Timing Activities in the Veras Investment Funds
On October 4, 2006, the SEC released a final plan to distribute $37,700,488.00 in disgorgement and civil penalties to eligible investors of the Veras Investment funds who were harmed by market timing and other activities.
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SEC Proposed Distribution Plan for Investors Harmed by Market Timing Activities in the Massachusetts Financial Services (MFS) Funds
On September 14, 2006, the SEC released a proposed plan to distribute $140 million in disgorgement and civil penalties to eligible investors of the MFS Funds who have been harmed by market timing and other activities.
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CMFI Comment Letter on Proposed SEC Distribution Plan for the BancOne/One Group Funds
On September 6, 2006, CMFI submitted a comment letter to the SEC on its proposed Distribution Plan for BancOne/One Group Funds.
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CMFI Comment Letter on Proposed SEC Distribution Plan for the Columbia Funds
On August 17, 2006, CMFI submitted a comment letter to the SEC on its proposed Distribution Plan for the Columbia Funds.
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SEC Proposed Distribution Plan for Investors Harmed by Market Timing Activities in the Veras Investment Funds
On August 10, 2006, the SEC released a proposed plan to distribute $37,700,488.00 in disgorgement and civil penalties to eligible investors of the Veras Investment funds who were harmed by market timing and other activities.
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SEC Proposed Distribution Plan for Investors Harmed By Market Timing Activities in the BancOne/One Group Funds
On August 7, 2006, the SEC released a proposed plan to distribute $140 million in disgorgement and civil penalties to eligible investors of the BancOne/One Group Funds who have been harmed by market timing and other activities.
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CMFI Comment Letter on Proposed SEC Distribution Plan for the Pilgrim Baxter Funds
On July 31, 2006, CMFI submitted a comment letter to the SEC on its proposed Distribution Plan for the Pilgrim Baxter Funds
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SEC Proposed Distribution Plan for Investors Harmed By Market Timing Activities in the Columbia Funds
On July 19, 2006, the SEC released a proposed plan to distribute $140 million in disgorgement and civil penalties to eligible investors of the Columbia Funds who have been harmed by market timing and other activities.
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SEC Proposed Distribution Plan for Investors Harmed By Market Timing Activities in the Pilgrim Baxter Funds
On June 30, 2006, the SEC released a proposed plan to distribute $250 million in disgorgement and civil penalties to eligible investors of the Pilgrim Baxter Funds who have been harmed by market timing and other activities.
