Helpful Documents

These documents provide more information on the Fair Fund and the settlement, including the events that led to the settlement.


ALLIANCE DOCUMENTS

Final Plan of Distribution - Alliance Capital Management, L.P., approved May 15, 2008.

Administrative Proceeding - Alliance Capital Management, L.P., December 18, 2003 as amended January 15, 2004.

Assurance of Discontinuance - Alliance Capital Management, L.P., December 18, 2003.

OTHER RELEVANT DOCUMENTS

Administrative Proceeding – Gerald Malone, dated April 28, 2005.

Administrative Proceeding – John D. Carifa, dated April 28, 2005.

Administrative Proceeding – Michael Laughlin, dated April 28, 2005.

Administrative Proceeding – Daniel Calugar, dated January 25, 2006.

U.S. Department of Labor - Field Assistance Bulletin No. 2006-01.