Securities And Exchange Commission v. Charles Schwab Investment Management Inc. et al

Filing 29

ORDER APPOINTING DISTRIBUTION AGENT AND ESTABLISHING A FAIR FUND by Judge Alsup granting 28 Motion (whalc2, COURT STAFF) (Filed on 4/4/2011)

Securities And Exchange Commission v. Charles Schwab Investment Management Inc. et al

Doc. 29

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UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF CALIFORNIA SAN FRANCISCO DIVISION

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, Case No. C 11-00136 WHA CHARLES SCHWAB INVESTMENT MANAGEMENT, CHARLES SCHWAB & CO., INC., AND SCHWAB INVESTMENTS, Defendants.

[PROPOSED] ORDER APPOINTING DISTRIBUTION AGENT AND ESTABLISHING A FAIR FUND The Court having reviewed the Securities and Exchange Commission's Unopposed Motion For Appointment of Distribution Agent and For Establishment of Fair Fund, and for good cause shown, IT IS HEREBY ORDERED: 1. A Fair Fund is created pursuant to Section 308(a) of the Sarbanes Oxley Act of

19 2002 from the funds deposited in an interest-bearing account, account number 11-cv-00136, 20 under the case name designation "SEC v. Charles Schwab Investment Management, et al.," 21 plus interest earned on these funds, minus any fees that are permitted to be deducted by the 22 Clerk of the Court pursuant to the Final Judgment entered in this case; and 23 24 [PROPOSED] ORDER APPOINTING DISTRIBUTION AGENT AND ESTABLISHING FAIR FUND -1CASE NO. C-11-0136 WHA
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2.

Gilardi & Co., LLC is appointed to serve as the Distribution Agent for the Fair

April 4, 2011. Dated: _____________

________________________________ JUDGE WILLIAM ALSUP

[PROPOSED] ORDER APPOINTING DISTRIBUTION AGENT AND ESTABLISHING FAIR FUND

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CASE NO. C-11-0136 WHA