SEC Order Instituting Administrative Proceedings (OIP) - January 17, 2025

https://www.sec.gov/files/litigation/admin/2025/ia-6826.pdf

Amended SEC Order Instituting Administrative Proceedings (OIP) - April 25, 2025

https://www.sec.gov/files/litigation/admin/2025/ia-6876.pdf

Statement to Affected Investors (SAI)

Statement to Affected Investors.pdf

Reissue Forms

Reissue IRA to Individual Distribution Form: Reissue IRA to Individual Distribution Form.pdf
For use by individuals who received a check written to their IRA and no longer maintain an IRA.

Reissue IRA to Beneficiary Distribution Form: Reissue IRA to Beneficiary Distribution Form.pdf
For use by beneficiaries or guardians who received a check written to an individual’s IRA and it should be reissued to the beneficiary or guardian.

Reissue Non-IRA to Individual Distribution Form: Reissue Non-IRA to Individual Distribution Form.pdf
For use by individuals who received a check as part of a Retirement Plan or a Defined Benefit Plan and the Plan or employer no longer exists.

Reissue Non-IRA to Beneficiary Distribution Form: Reissue Non-IRA to Beneficiary Distribution Form.pdf
For use by beneficiaries or guardians who received a check written to an individual as part of a Retirement or a Defined Benefit Plan and it should be reissued to the beneficiary or guardian.