Fines &

penalties

Date Mutual fund company (in $mns)

Dec. 18, 2003 Alliance Capital Management $250

Feb. 5, 2004 MFS Investment Management $225

March 15, 2004 Bank of America/Fleet Boston $515

April 8, 2004 Putnam Investments $110

April 27, 2004 Janus Capital Group $100

May 20, 2004 Strong Capital Management/Richard Strong $140

June 22, 2004 Pilgrim Baxter & Associates $90

June 30, 2004 Bank One Investment Advisors $50

Sept. 8, 2004 Invesco Funds Group $325

Sept. 8, 2004 AIM Advisors $50

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