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Securities and Exchange Commission v. Charles Schwab Investment

UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF CALIFORNIA SAN FRANCISCO DIVISION


April 4, 2011

SECURITIES AND EXCHANGE COMMISSION, PLAINTIFF,
v.
CHARLES SCHWAB INVESTMENT MANAGEMENT, CHARLES SCHWAB & CO., INC., AND SCHWAB INVESTMENTS, DEFENDANTS.

The opinion of the court was delivered by: Judge William Alsup

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

20110404

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