MINNEAPOLIS, March 8, 2021 /PRNewswire/ --The following is being released by the Securities and Exchange Commission. ISS Securities Class Actions will continue to support its clients with the proper coverage of SEC Fair Fund settlements delivering full case profiles within the RecoverMax platform as well as submitting all eligible claims as directed by the terms of each settlement. Anyone who was a participant of the Wells Fargo & Co. 401(k) plan at any time between March 13, 2014, through the date the settlement becomes . This week the U.S. Securities & Exchange Commission issued its Proposed Plan of Distribution related to the $500 million "Fair Fund" settlement originally agreed to on February 21, 2020. These payments represent . If youd like to have the check reissued, your request must be submitted in writing and received by the check stale date. Discover how we can help you, who will help. You are excluded from participation in the Wells Fargo Fair Fund if you are an Excluded Party as defined in the Plan, including: The Respondent and any person who, at any point during the Recovery Period, served as: (1) a member of the Operating Committee of Respondent; (2) a member of the Cross Sell Steering Committee of Respondents Community Bank operating segment; (3) an Officer or Regional Bank Executive of Respondents Community Bank operating segment; (4) an Officer of the Respondent with responsibility for Community Bank audits, its Risk Management function or its filings with the Commission; (5) a member of Respondents Board of Directors; and (6) any legal representatives, nominees, assigns, creditors, heirs, distributees, spouses, parents, children, successors-in-interest, assigns, or controlled entities of the foregoing. An Employee Benefits Security Administration investigation into Wells Fargo, Wells Fargo Bank, and the plan's trustee GreatBanc Trust Co. found that the fund allegedly overpaid for company stock purchased for . Wells Fargo & Company . 2023 | Institutional Shareholder Services and/or its affiliates, Going Beyond Use-Of-Proceeds to Reach International Sustainability Targets, Financial Clarity Market Insights: Flows to Emerging Market Funds, For Active Managers, Lower Fees Only Dull the Pain. UPDATE This additional mechanism comes from Section 308(a) of the Sarbanes-Oxley Act of 2002. a. pursuant to Rule 1101 of the Commission's Rules on Fair Fund and Disgorgement Plans (the "Commission's Rules"), 17 C.F.R. On March 18, 2013, approximately 4.2 million people were sent notices that they will receive remuneration as a result of an agreement between federal banking regulators and 13 mortgage servicers . Civil Penalty Fund Debt . THIS IS THE ONLY WEBSITE FOR THE WELLS FARGO FAIR FUND AUTHORIZED BY THE FUND ADMINISTRATOR AND APPROVED BY THE SEC STAFF. For information on how the SEC administers Fair Funds, see Rules of Practice and Rules on Fair Funds and Disgorgement Plans. The SECs Co-Director of the Division of Enforcement, Stephanie Avakian, stated earlier this year: Wells Fargo repeatedly misled investors, including through a misleading performance metric, about what it claimed to be the cornerstone of its Community Bank business model and its ability to grow revenue and earnings. constitute the Fund Administrator's final ruling regarding the status of the claim. of claims administered over the last 40 years. Wells Fargo & Co. is the parent corporation of Defendant Wells Fargo Bank, N.A. Comments received are available for this plan. ; Select Tools. 201.1101. . Proposed Distribution Plan and Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA, Wendan Bao, Shuo Gu, LendingCar Corp., And H7 Credit, LLC. I had sold shares a couple years earlier, and then there was a settlement for some mismanagement of the share values. The goal of this section is to provide consumers with a comprehensive resource on class action and mass tort lawsuits. Environmental, Social and Governance (ESG), HVAC (Heating, Ventilation and Air-Conditioning), Machine Tools, Metalworking and Metallurgy, Aboriginal, First Nations & Native American, https://www.sec.gov/divisions/enforce/claims/wells-fargo-company.htm, COMMISSION POSTS DOCUMENTS TO APPLY FOR FUND ADMINISTRATOR POOL, COMMISSION SEEKING FUND ADMINISTRATORS FOR FUTURE SEC DISTRIBUTIONS. Your approved transactions must calculate to an Eligible Loss Amount as calculated under the Plan and the Distribution Payment must equal or exceed $10.00. On Friday, November 13, 2020, the U.S. Securities and Exchange Commission ("SEC" or "Agency") followed up its February 2020 action against Wells Fargo & Co. ("Wells Fargo") with actions against two senior officersformer Chairman and CEO of Wells Fargo, John Stumpf, who agreed to an SEC administrative cease and . This is ClassAction.org's current list of open lawsuits and investigations. "Net Available Fair Fund" shall mean the assets of the Fair Fund . For information on how the SEC administers Fair Funds, see Rules of Practice and Rules on Fair Funds and Disgorgement Plans. Also,. This settlement holds Wells Fargo responsible for its fraud and furthers the SECs goal of returning funds to harmed investors.. On January 11, 2021, the Commission approved the Plan. How to File a Claim: Class members can complete and submit an online Claim Form or obtain a physical Claim Form by visiting the Wells Fargo Fair Fund's website at www.WellsFargoFairFund.com. By Jeff Lubitz, Executive Director, ISS Securities Class Action Services. On February 21, 2020, the Commission issued an Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order (the Order) against Wells Fargo & Company (Wells Fargo or the Respondent). This week the U.S. Securities & Exchange Commission issued its Proposed Plan of Distribution related to the $500 million Fair Fund settlement originally agreed to on February 21, 2020. (Wells Fargo) and Wells Fargo executive Kurt Lofrano, stemming from Wells Fargo's participation in the Federal Housing Administration (FHA) Direct Endorsement Lender Program. Wells Fargo also will establish a $45 million settlement fund to pay approved claims for GAP refunds to the Non-Statutory Subclass Members; $5 additional compensation payments to Statutory Subclass Members; fee and expense awards to Class Counsel; and any service awards to the Class representatives Millions of Wells Fargo customers are in line for relief money after the government found the banking giant violated a host of federal consumer laws between 2011 and 2022. As reminder to the background, Wells Fargo executives were accused of providing pressure to its rank-and-file bank personnel to actively cross-sell products in an effort to boost sales and revenue (and meet new account quotas). NEW YORK, Oct 1 (Reuters) - A federal judge on Thursday rejected Wells Fargo & Co's (WFC.N) bid to dismiss a lawsuit claiming it defrauded shareholders about its ability to rebound from five. Although most major banks nowadays give online banking users the option to dispute charges from within the online banking app, for whatever reason, most people still tend to file chargebacks dispute over the phone. Noteworthy SEC Fair Fund settlements from the past few years include: Additionally, a list of the top ten all-time SEC Fair Fund settlements are below. The money was deposited into a Bank of America account according to my online statement. If you receive a check from this distribution, please cash it promptly. N.A. Wells Fargo Bank. ISS Securities Class Action Services helps its clients with a second opportunity, often not fully understood, that will sometimes allow investors to potentially recover lost assets. 6LinkedIn 8 Email Updates, Rules of Practice and Rules on Fair Funds and Disgorgement Plans, Archive of Terminated Fair Funds and Disgorgement Plans, Ameriprise Financial, Inc. (formerly American Express Financial Corporation). This $500 million is a part of a larger $3 billion settlement with the Department of Justice and SEC. THIS SITE IS NOT OPERATED BY WELLS FARGO & CO. A list of the top ten all-time SEC Fair Fund settlements delivered $5.1 billion back to investors. 19. It was widely reported at the time that more than 1.5 million checking & savings accounts, along with 500,000 credit card accounts, were opened without authorization. 2003-180, December 22, 2003), See also, SEC Announces $37 Million Fair Fund Distribution to Mutual Fund Investors Injured by Columbia Market Timing Fraud (Press Release No. For information on the current tax administrator, see Release No. For information on the current tax administrator, see Release No. AND you believe you may be eligible for a GAP refund. Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc. Orthofix International N.V.; Jeffrey Hammel, CPA; Brian McCollum; Kenneth Mack and Bryan McMillan, Oxford Investment Partners, LLC and Walter J. Clarke, Peter Kuperman and QED Benchmark Management LLC, Resolute Capital Partners LTD, LLC, Homebound Resources, LLC, Thomas J. Powell, and Stefan T. Toth, Richard Keith Robertson and IFP Advisors, LLC. This site is delivered by Assurant on behalf of Wells Fargo. It is a common understanding that investors, through the class action litigation process, can attempt to offset losses from allegations of fraud against publicly traded companies. Assistance Center at 1-800-548-9554. Securities and Exchange Commission Administrative Proceeding File No. Until July 7, Wells Fargo clients affected by Wells Fargo's fraudulent account scandal can join a class action settlement. Barclay & Co., Inc. Order Making Findings and Imposing Remedial Sanctions as to Michael J. Wills, Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Emmanuel P. Cube, Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Emanuele A. Scarso. Please keep the claim number for your records. Wells Fargo does have a presence in the UK for the purpose of handling American corporate clients doing business in the UK, but this is only for corporate clients and not little you and me.. Wells Fargo has had their fair share of scandals over the years, including investigation from the US Department of Labor and the US Federal Reserve Bank, but you're probably reading this because you have . ; In the pop-up window, select Topic Search. Get WEEKLY email ALERTS ON THE LATEST ISS INSIGHTS. On February 21, 2020, the Securities and Exchange Commission (the . According to the Order, Wells Fargo, among other things, failed to disclose to investors that the Community Banks sales model had caused widespread unlawful and unethical sales practices misconduct that was at odds with its investor disclosures regarding needs-based selling, and that the publicly reported cross-sell metric included significant numbers of unused or unauthorized accounts. Click here to view the Corrected Plan of Distribution. On March 10, 2020, the Commission appointed Miller Kaplan Arase LLP as Tax Administrator for the Wells Fargo Fair Fund to handle its tax obligations. you lost $2.25 per share ($2.25Xshares=total $ you lost) depending on tableA&B timeframe. When typing in this field, a list of search results will appear and be automatically updated as you type. On February 21, 2020, Wells Fargo & Company and its subsidiary, Wells Fargo Bank, N.A. Kisa k ap tann Wells Fargo ak kliyan li yo . The Department of Justice today filed the second largest fair lending settlement in the department's history to resolve allegations that Wells Fargo Bank, the largest residential home mortgage originator in the United States, engaged in a pattern or practice of discrimination against qualified . If class members choose to submit their Claim Form online, they must submit it on or before 11:59 p.m. Eastern Standard Time on June 25, 2021. "Plan Notice" shall mean the written notice from the Fund Administrator to The Commission found that Wells Fargo violated Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. . A few months ago I got a $2.44 class action settlement check from them. Over the years Wells Fargo has faced a number of shareholder class actions for a variety of allegations. Wells Fargo has agreed to the establishment of a $500 million Fair Fund for the benefit of investors who were harmed by the conduct covered in the agreement. Wells Fargo owes some of its customers money. Respondent. If class members choose to submit their Claim Form online, they must submit it on or before 11:59 p.m. Eastern Standard Time on June 25, 2021. 34-85174 (February 22, 2019). The following is a summary of information presented in more detail in the Plan Notice. Administrative Proceedin File No. List of Cases Search Cases: The Wells Fargo "fake accounts" scandal will soon be over at least in terms of payouts to damaged shareholders. "Claims Bar Date") to be considered for eligibility to recover from the Wells Fargo Fair Fund. Mancera, S.C., Alejandro Valdez Mendoza, C.P., and Angel Radames Corral Nieblas, C.P. You may obtain additional information or request copies of Claim Forms and Plan otices by calling the Wells Fargo Fair Fund's toll-free hotline at I (855) 225-1888 in the United States, or by emailing PLEASECHECKTHEWEBSITEWWW.WELLS RGOFAIRFUND.COMFREQUENTLYFORUPDATES Any purchaser or assignee of another Potential Claimants right to obtain a recovery from the Wells Fargo Fair Fund for value; provided, however, that this provision shall not be construed to exclude those Potential Claimants who obtained such a right by gift, inheritance, devise or operation of law. SEC Fair Fund Settlements Add to Investor Recoveries. These ten actions delivered $5.1 billion back to investors. judge timothy kenny political affiliation. Adobe Reader isfree and is required to view and print documents on this site. By Jeff Lubitz, Executive Director, ISS Securities Class Action Services. Claims Administrator: Rust Consulting. Click on the case to see the case details. A settlement has been approved resolving claims by Former and Current Participants in the Wells Fargo & Company 401 (k) Plan (the "Plan") who invested in certain Plan investments ("Challenged Funds") since March 13, 2014 through the date on which the Settlement becomes Final. Bayerische Motoren Werke Aktiengesellschaft, BMW of North America, LLC and BMW US Capital, LLC, Baxter International Inc., Jeffrey Schaible, and Scott Bohaboy, Blockchain Credit Partners d/b/a DeFi Money Market, Gregory Keough, and Derek Acree. The basic jist was that for every share you bought and held at earliest timeframe, e.g. Wells Fargo has agreed as part of the $3 billion fine to establish a $500 million "Fair Fund for the benefit of investors who were harmed by the conduct covered in the agreement." People are . 1 Twitter 2 Facebook 3RSS 4YouTube Please email your request to info@WellsFargoFairFund.com or write a letter to the address shown at the top of the check indicating the reason as to why you need the check reissued. At all relevant times, Wells Fargo was a publicly traded financial services corporation with common stock registered under Section 12(b) of the Securities Exchange Act of 1934 (Exchange Act) and quoted on the New York Stock Exchange (Ticker: WFC). Pursuant to the Order, the Respondent paid a $500 million civil money penalty to the Commission. GTV Media Group, Inc., Saraca Media Group, Inc. and Voice of Guo Media, Inc. Haidar Capital Management, LLC, Haidar Capital Advisors, LLC, and Said N. Haidar, Health Insurance Innovations, Inc., now named Benefytt Technologies, Inc., and Gavin D. Southwell, Houston American Energy Corp., John F. Terwilliger, Jr., Undiscovered Equities Inc., and Kevin T. McKnight, Howard Richards; James Goodland, and Securus Wealth Management, LLC, Jeremy A. Licht d/b/a JL Capital Management, John Paul Harnishd/b/a KM Advisory Services, JP Turner & Company, LLC, and William L. Mello, J.W. CAR-0123-02152. Update: Per the Distribution Order, initial payments went out to Authorized Claimants for this matter in September 2020. ); Click My Account (top right of your screen). ; In the search bar, type lawsuit. MINNEAPOLIS, March 8, 2021 /PRNewswire/ --The following is being released by the Securities and Exchange Commission. As part of its agreement with the S.E.C., the bank will set up a $500 million fund to compensate investors who suffered when Wells Fargo failed to inform them that its community banking business . You have questions related to a GAP refund notice or check you received from Wells Fargo. Canadian Imperial Holdings Inc. and CIBC World Markets Corp. CIHC, Inc., Conseco Services, LLC, and Conseco Equity Sales, Inc. Citigroup Alternative Investments LLC and Citigroup Global Markets Inc. Clayborne Group, LLC and Dean A. Heinemann. LendInvest PLC - London-based non-bank mortgage lender - Says Wells Fargo & Co joins its GBP200 million financing syndicate with National Australia Bank Ltd to "support the continued growth" of . Since this is just a summary, you should read the full PlanNoticefor additional details. In late December, the bank agreed to a $575 million settlement with the attorneys general of all 50 states and Washington, D.C. That payment is also tied to the fake account scandal, as well as other issues relating to auto loans and mortgages. How to File a Claim: Class members can complete and submit an online Claim Form or obtain a physical Claim Form by visiting the Wells Fargo Fair Fund's website at. See also Archive of Terminated Fair Funds and Disgorgement Plans. Status of your claim If we need more information, a claims specialist may contact you. constitute the Fund Administrator's final ruling regarding the status of the claim. Tags: Background Reports, FCRA It is a common understanding that investors, through the class action litigation process, can attempt to offset losses from allegations of fraud against publicly traded companies. I had something very similar happen to me with a mutual fund company. You can view the status of your claim by signing on to Wells Fargo Online . Make sure to take advantage of the document upload feature to submit your claim documents and review their status. The distribution of the Wells Fargo Fair Fund commenced on September 30, 2022. 2005-127, July 2, 2007), File Nos. Deposit products offered by Wells Fargo Bank, N.A. wells fargo fair fund payout calculator (2023) Wells Fargo Cards; By Credit Score. We're committed to helping you get your insurance claim funds as quickly and easily as possible so you can make the necessary . In fact, SEC Fair Fund settlements can often be significant and are frequently managed just like a traditional class action meaning investors must submit a claim form prior to a specified date in order to receive a recovery. a. Welcome Wells Fargo customers. b. In the Order, the Commission found that from 2012 through 2016, the Respondent violated the federal securities laws by misleading investors regarding the success of the core business strategy of the Community Bank operating segment, its largest business unit. steve stricker wrist lock; what channel are the st louis cardinals playing on today This landmark legislation, also referred to as the Public Company Accounting Reform and Investor Protection Act, empowers the U.S. Securities and Exchange Commission with the ability to create a Fair Fund a provision that allows the distribution of a companys wrongful profits (disgorgements), penalties, and fines back to defrauded investors. 19. Either way, though, once Wells Fargo "accepts" you chargeback dispute--which basically just means that they . The Wells Fargo fake accounts scandal will soon be over at least in terms of payouts to damaged shareholders. On March 10, 2020, the Commission appointed Miller Kaplan Arase LLP as Tax Administrator for the Wells Fargo Fair Fund to handle its tax obligations. On February 21, 2020, the Securities and Exchange Commission (the "Commission") issued an Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order (the "Order") against Wells Fargo & Company ("Wells Fargo" or the "Respondent"). Those criteria include the following: 1) class member must have purchased or acquired Wells Fargo common stock, traded on the New York Stock Exchange under the trading symbol WFC, during the Recovery Period; 2) the approved transactions must calculate to an Eligible Loss Amount as calculated under the Plan and the Distribution Payment must equal or exceed $10.00; and 3) class member is not an Excluded Party as defined in the Plan. In the Order, the Commission found that from 2012 through 2016, the Respondent violated the federal securities laws by misleading investors regarding the success of the core business strategy of the Community Bank operating segment, its largest business unit. More often than not, the SECs Fair Fund is based upon allegations against a company where a class action settlement has already occurred. If you are sending sensitive personal information electronically, such as through email, please send it encrypted to protect the security of the information. Equal Housing Lender. Wells Fargo Class Action Se. a. Get in Touch Search Open Lawsuits NAVIGATE. khloe kardashian hidden hills house address. For deposit accounts, customers average $100 in damages. How to File a Claim: Class members can complete and submit an online Claim Form or obtain a physical Claim Form by visiting the Wells Fargo Fair Fund's website at www.WellsFargoFairFund.com. Wells Fargo & Co. exercises specific and fi nancial control over the operations of Defendant Wells Legal News; Open Class . 34-95733. The CFPB advises those who think they may be affected to contact Wells Fargo customer services at 844-484-5089, Monday through Friday from 9:00 am to 6:00 pm ET, as a first step. with decades of experience handling some of the largest and most. from 8 AM - 9 PM ET. Wells Fargo, No. 1-844-860-6962. See also, American Express Financial Corporation, Now Known as Ameriprise Financial, Inc., to Pay $15 Million to Settle Market Timing Charges (Press Release No. Welcome to the Wells Fargo Securities Litigation Settlement Website. Who is Potentially Eligible for Compensation: To be eligible for a payment from the Wells Fargo Fair Fund, class members must satisfy certain eligibility criteria that are described in detail in the Plan. Among other things: You must have purchased or acquired Wells Fargo common stock, traded on the New York Stock Exchange under the trading symbol WFC, during the Recovery Period. $1.3 billion of the $2 billion in . "Net Available Fair Fund" shall mean the assets of the Fair Fund, plus accrued interest or earnings, less amounts expended or reserved for tax obligations and any BFS fees. On September 12, 2022, the Commission issued an order approving the disbursement of $452,175,789.98 from the Fair Fund for distribution to eligible investors. Wells Fargo's monthly service fees for checking accounts range from $0 to $30, though service fees are waived for teenagers and college students between 17 to 24 years old. Key Points. Couple weeks later I got a class action settlement notification regarding the same thing. Mergenet Medical, Inc., Bruce Matthew Sher, Shara Anne Hernandez, and Peter Anthony DeCicco, Jr. Michael S. Wilson, CPA and Cotterman-Wilson, CPAs, Inc.; James T. Budden and Alexander W. Budden, MiddleCove Capital, LLC, and Noah L. Myers, Miller Energy Resources, Inc., Paul W. Boyd, CPA, David M. Hall, And Carlton W Vogt, Iii, CPA, MMR Investment Bankers, LLC (d/b/a MMR, INC.), William G. Martin, Jr., Eugene R. Rankin, John A. Hubert, and Aaron D. Fimreite, Morgan Stanley, Co. LLC; Morgan Stanley ABS Capital I Inc.; and Morgan Stanley Mortgage Capital Holdings LLC, North East Capital, LLC and Anthony T. Vicidomine, Northern Trust Hedge Fund Services LLC and Northern Trust Global Fund Services Cayman Limited. 3-19704 (Feb. 21, 2020). 333-234425 and 333-234425 -01 This pricing supplement, which is not complete and may be . Note: this quick search only returns links to the case details below. A list of current and past actions are detailed below. In fact, during the last decade, U.S.-based class action settlements returned an incredible sum of $50 billion back to shareholders. For all other GAP or Auto loan questions. ISS Securities Class Action Services will continue to keep its clients up-to-date on the $500 million Wells Fargo SEC settlement, including the claim filing requirements and deadline once publicly announced. Since it had been over a year, and since I no longer had the mutual fund shares, I reported it as a long-term capital gain on Form 8949 with a zero basis. Wells Fargo had fully accrued for the amount of this settlement as of December 31, 2019. Note: No check will be reissued upon a request received by the Fund Administrator more than 90 days from the date of the original check. CLAIMS ADMINISTRATOR: Wells Fargo Fair Fund C/O Rust Consulting, Inc. Fund Administrator-6989 Post Office Box 1369 Minneapolis, MN 55440-1369 Website: WWW.WELLSFARGOFAIRFUND.COM Email: info@WELLSFARGOFAIRFUND.COM Toll Free Hotline: 1-855-225-1888 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Respondent William G. Martin, Jr. Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Respondent MMR Investment Bankers, LLC (d/b/a MMR, Inc.), Order Granting Waivers of the Disqualification Provisions, Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order, Order Instituting Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-desist Order, Notice of Proposed Amended Plan of Distribution and Opportunity for Comment, Order Instituting Cease-and-Desist Proceedings Pursuant to Section 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order, Order Directing Disbursement For Second Distribution, Payment of Fund Administrator Fees, and Approval of Future Fees And Expenses, Order Approving Application of Fund Administrator for Payment of Fees and Expenses, Order Authorizing the Transfer to the U.S. Treasury of Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, Cancelling the Administrators Bond, and Terminating the Fair Fund, Order Consolidating Fair Funds, Appointing Fund Administrator, and Setting Administrator Bond Amount, Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Cease-and-Desist Orders and Penalties, Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Cease-and-Desist Orders and Remedies, Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 4C and 21C of the Securities Exchange Act of 1934, and Rule 102(e) of the Commission's Rules of Practice, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order, Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order, Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Walter J. Clarke, Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Oxford Investment Partners, LLC, Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing, Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of The Securities Act of 1933, Making Findings, and Imposing Penalties and a Cease-and-Desist Order, Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order, Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Order Removing and Appointing Fund Administrator, Setting Bond, and Related Relief, Order Instituting Cease-and-Desist Proceedings Pursuant To Section 21c Of The Securities Exchange Act Of 1934, Making Findings, And Imposing a Cease-and-Desist Order, Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 203(e), 203(f), And 203(k) of The Investment Advisers Act of 1940, and Section 9(B) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders.