Undistributed Funds / Tricoastal Capital Management Ltd. / United Parcel Service / Disgorgement Fund. / Tricoastal Capital Partners LLC / Establish Distribution Funds / Damasco and Associates LLP / TCP Fund / /
Country
United States / Canada / /
Currency
USD / /
Event
M&A / Funding / Judicial Event / Person Communication and Meetings / /
Facility
Ontario Court of Justice / /
IndustryTerm
final accounting / corporate bank account / /
Organization
Ontario Securities Commission / Division of Enforcement’s office of Distributions / Ontario Court of Justice / Internal Revenue Service / Qualified Settlement Fund / Settlement Fund / Net Disgorgement Fund / Fiscal Service / Division of Enforcement / Disgorgement Fund / Securities and Exchange Commission / U.S. Treasury / Fair Fund / /
Person
KEITH MACDONALD SUMMERS / Adriene Mixon / Eligible Clients / Sheila Ray / Keith MacDonald / /
Position
principal underwriter / Fund Administrator / the Assistant Director of Distributions / Logistics / dealer / investment adviser / Assistant Chief Litigation Counsel / director / officer / director / member of an advisory board / municipal advisor / investment adviser / administrator / broker / dealer / director / member of an advisory board / investment adviser / Tax Administrator / managing member / investment adviser / municipal securities dealer / Assistant Chief Litigation Counsel in Division of Enforcement’s Office / /
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION ADMINISTRATIVE PROCEEDING File No