ATTENTION: Important information for checks issued with a date of 9/21/18 or after.

Please be advised that pursuant to the Plan of Distribution, the check reissuance and check cashing period is soon coming to a close. Please note the following cut-off dates.

• 1/21/19 – Last date to request a check reissuance. Please submit all necessary documentation in good order by 1/21/19.
• 3/15/19 – Last date a check will be honored by the Fair Fund disbursement bank for cashing. You should present your check immediately to make sure you do not forfeit your payment.

Warning: The Fair Fund bank account will be closed after 3/15/19 and checks will be bounced if not presented timely. Your bank will likely charge your account a bounce fee for presenting a check after the stale date. You will be solely responsible for any fees your bank charges you for presenting a stale dated check(s).

NOTE: There are no exceptions to the above procedural dates. If you have a check and need to have it replaced or reissued please contact us immediately. If you do not need assistance please cash or otherwise negotiate your payment immediately.

This informational website has been created to assist investors in their understanding of the BNY Mellon Securities LLC and Mark Shaw Settlement with the United States Securities and Exchange Commission (the "Commission"), Administrative Proceeding File Nos. 3-14191 and 3-14192, dated January 14, 2011 (the "Orders").

Pages have been created for each of the following categories:

Home

This is the current page you are reviewing and is the main page for this website.

Summary

This page provides a brief history of the events leading up to the settlement and an overview of the settlement agreement.

F.A.Q. (Frequently Asked Questions)

This page provides a series of responses to the most Frequently Asked Questions regarding the settlement.

Links/Documents

This page contains links to various documents issued by the Securities and Exchange Commission and other sources that can assist shareholders in their understanding of the settlement.

Tax Information Page

This page provides information related to tax reporting and other obligations on settlement proceeds.

Contact Us

This page provides contact detail for the Fund Administrator.