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* On December 1, 2005, the Securities and Exchange Commission “ announced settled enforcement proceedings against American Express Financial Advisors Inc., now known as Ameriprise Financial, Inc. ( AEFA ), a registered broker-dealer headquartered in Minneapolis, Minn., related to allegations that AEFA failed to adequately disclose millions of dollars in revenue sharing payments that it received from a select group of mutual fund companies.

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* On December 1, 2005, the Securities and Exchange Commission “ announced a settled administrative proceeding against Millennium Partners, L. P., Millennium Management, L. L. C., Millennium International Management, L. L. C., Israel Englander, Terence Feeney, Fred Stone, and Kovan Pillai for their participation in a fraudulent scheme to market time mutual funds.

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