INTERIM REPORTS

Every six months, the SIPA Trustee files a detailed report with the United States Bankruptcy Court for the Southern District of New York that outlines the progress made in the substantively consolidated liquidation proceeding of BLMIS. Every major initiative being undertaken by the SIPA Trustee is included in this report. Areas covered include:

  • Administration and wind-down of the estate
  • Claims administration
  • Status of the Customer Fund and an accounting of the recoveries comprising it
  • Investigations into feeder funds, favored investors and international matters
  • Status of litigations seeking recoveries
  • Status of the net equity decision and ongoing appeals
  • Objections to claims determinations and settlements of customer claims disputes

Once the proceeding is officially closed, a final report will provide a public and transparent record of the BLMIS liquidation that will contain results, a final accounting and professional recommendations.


Total Recoveries by Interim Report Periods
Amounts shown do not include Court-approved settlements under appeal or not yet collected

TWENTIETH INTERIM REPORT
Period ended September 30, 2018
Total received $13.020 billion
DESCRIPTIONAMOUNT
Transfers from Debtor’s Estate – Securities $289,841,911.70
Transfer from Debtor’s Estate – BNY account $336,660,934.06
Transfers from Debtor’s Estate – Chase account $235,156,309.36
Transfers from Debtor’s Estate – Other $4,036,145.08
Interest and Dividends $1,843,180.59
Closeout Proceeds – Broker Dealers $37,316,297.78
Closeout Proceeds – NSCC $21,783,082.40
Closeout Proceeds – DTCC $18,001,787.96
Sale of Debtor's Assets $47.26
Sports Tickets $91,037.20
Bank Dept Participation $7,959,450.94
DTCC Shares $204,170.51
Market Making Business $1,419,801.63
Abtech $795,000.00
NSX Shares $100,734.60
BLM Air Charter $6,494,631.95
Auction Sales $644,579.15
Other $11,428.57
Administrative Subtenant Rent Revenue $531,078.49
Adjusting Administrative Subtenant Rent Revenue ($531,078.49)
Refunds – Deposits $9,841.45
Refunds – Dues/Subscriptions $177,247.15
Refunds – Car Registrations $157.00
Refunds – Vendors $62,451.27
Refunds – Transit Cards $833.61
Refunds – Insurance/Workers Comp $442,311.56
Refunds – Political Contributions $144,500.00
Refunds – Other $50.84
Recoveries – Customer Avoidances $112,392,379.79
Recoveries – Pre-Litigation Settlements $1,903,783,597.98
Recoveries – Litigation Settlements $9,955,901,856.52
Recoveries – Donation Settlements $875,000.00
Recoveries – Vendor Preferences $809,850.39
Recoveries – MSIL Liquidation $1,034,311.82
Recoveries – Employees $10,674.74
Recoveries – Taxing Authorities $12,777.56
Recoveries – Class Actions $1,869,285.49
Recoveries – NASDAQ $308,948.49
Recoveries – NYSE $183,683.79
Recoveries – Transaction Fees $96,816.23
Recoveries – Other $796,298.73
Miscellaneous $0.36
Earnings on Trustee's Investments $75,232,563.51
Interest on Trustee's Savings Accounts $3,550,754.44
NINETEENTH INTERIM REPORT
Period ended March 31, 2018
Total received $12.883 billion
DESCRIPTIONAMOUNT
Transfers from Debtor’s Estate – Securities $289,841,911.70
Transfer from Debtor’s Estate – BNY account $336,660,934.06
Transfers from Debtor’s Estate – Chase account $235,156,309.36
Transfers from Debtor’s Estate – Other $4,036,145.08
Interest and Dividends $1,843,180.59
Closeout Proceeds – Broker Dealers $37,316,297.78
Closeout Proceeds – NSCC $21,783,082.40
Closeout Proceeds – DTCC $18,001,787.96
Sale of Debtor's Assets $47.26
Sports Tickets $91,037.20
Bank Dept Participation $7,959,450.94
DTCC Shares $204,170.51
Market Making Business $1,419,801.63
Abtech $795,000.00
NSX Shares $100,734.60
BLM Air Charter $6,494,631.95
Auction Sales $644,579.15
Other $11,428.57
Administrative Subtenant Rent Revenue $531,078.49
Adjusting Administrative Subtenant Rent Revenue ($531,078.49)
Refunds – Deposits $9,841.45
Refunds – Dues/Subscriptions $177,247.15
Refunds – Car Registrations $157.00
Refunds – Vendors $62,451.27
Refunds – Transit Cards $833.61
Refunds – Insurance/Workers Comp $442,311.56
Refunds – Political Contributions $144,500.00
Refunds – Other $50.84
Recoveries – Customer Avoidances $112,392,379.79
Recoveries – Pre-Litigation Settlements $1,903,783,597.98
Recoveries – Litigation Settlements $9,833,726,545.97
Recoveries – Donation Settlements $875,000.00
Recoveries – Vendor Preferences $809,850.39
Recoveries – MSIL Liquidation $1,034,311.82
Recoveries – Employees $10,674.74
Recoveries – Taxing Authorities $12,777.56
Recoveries – Class Actions $1,827,074.64
Recoveries – NASDAQ $308,948.49
Recoveries – NYSE $183,683.79
Recoveries – Transaction Fees $96,816.23
Recoveries – Other $796,298.73
Miscellaneous $0.36
Earnings on Trustee's Investments $60,726,969.00
Interest on Trustee's Savings Accounts $2,958,843.99
EIGHTEENTH INTERIM REPORT
Period ended September 30, 2017
Total received $12.736 billion
DESCRIPTIONAMOUNT
Transfers from Debtor’s Estate – Securities $289,841,911.70
Transfer from Debtor’s Estate – BNY account $336,660,934.06
Transfers from Debtor’s Estate – Chase account $235,156,309.36
Transfers from Debtor’s Estate – Other $4,036,145.08
Interest and Dividends $1,843,180.59
Closeout Proceeds – Broker Dealers $37,316,297.78
Closeout Proceeds – NSCC $21,783,082.40
Closeout Proceeds – DTCC $18,001,787.96
Sale of Debtor's Assets $47.26
Sports Tickets $91,037.20
Bank Dept Participation $7,959,450.94
DTCC Shares $204,170.51
Market Making Business $1,419,801.63
Abtech $795,000.00
NSX Shares $100,734.60
BLM Air Charter $6,494,631.95
Auction Sales $644,579.15
Other $11,428.57
Administrative Subtenant Rent Revenue $531,078.49
Adjusting Administrative Subtenant Rent Revenue ($531,078.49)
Refunds – Deposits $9,841.45
Refunds – Dues/Subscriptions $177,247.15
Refunds – Car Registrations $157.00
Refunds – Vendors $62,451.27
Refunds – Transit Cards $833.61
Refunds – Insurance/Workers Comp $442,311.56
Refunds – Political Contributions $144,500.00
Refunds – Other $50.84
Recoveries – Customer Avoidances $112,392,379.79
Recoveries – Anticipated Settlements $687,000,000.00
Recoveries – Pre-Litigation Settlements $1,903,783,597.98
Recoveries – Litigation Settlements $9,010,723,096.88
Recoveries – Donation Settlements $875,000.00
Recoveries – Vendor Preferences $809,850.39
Recoveries – MSIL $79,715.78
Recoveries – Employees $10,674.74
Recoveries – Taxing Authorities $12,777.56
Recoveries – Class Actions $1,827,074.64
Recoveries – NASDAQ $308,948.49
Recoveries – NYSE $183,683.79
Recoveries – Transaction Fees $96,816.23
Recoveries – Other $796,298.73
Miscellaneous $0.36
Earnings on Trustee's Investments $51,637,172.17
Interest on Trustee's Savings Accounts $2,477,935.07
SEVENTEENTH INTERIM REPORT
Period ended March 31, 2017
Total received $11.593 billion
DESCRIPTIONAMOUNT
Transfers from Debtor’s Estate – Securities $289,841,911.70
Transfer from Debtor’s Estate – BNY account $336,660,934.06
Transfers from Debtor’s Estate – Chase account $235,156,309.36
Transfers from Debtor’s Estate – Other $4,036,145.08
Interest and Dividends $1,843,180.59
Closeout Proceeds – Broker Dealers $37,316,297.78
Closeout Proceeds – NSCC $21,783,082.40
Closeout Proceeds – DTCC $18,001,787.96
Sale of Debtor's Assets $47.26
Sports Tickets $91,037.20
Bank Dept Participation $7,959,450.94
DTCC Shares $204,170.51
Market Making Business $1,416,279.52
Abtech $795,000.00
NSX Shares $100,734.60
BLM Air Charter $6,494,631.95
Auction Sales $644,579.15
Other $11,428.57
Administrative Subtenant Rent Revenue $531,078.49
Adjusting Administrative Subtenant Rent Revenue ($531,078.49)
Refunds – Deposits $9,841.45
Refunds – Dues/Subscriptions $177,247.15
Refunds – Car Registrations $157.00
Refunds – Vendors $62,450.65
Refunds – Transit Cards $833.61
Refunds – Insurance/Workers Comp $442,311.56
Refunds – Political Contributions $144,500.00
Refunds – Other $50.84
Recoveries – Customer Avoidances $112,392,379.79
Recoveries – Pre-Litigation Settlements $1,903,783,597.98
Recoveries – Litigation Settlements $8,563,261,777.46
Recoveries – Donation Settlements $875,000.00
Recoveries – Vendor Preferences $809,850.39
Recoveries – Employees $10,674.74
Recoveries – Taxing Authorities $12,777.56
Recoveries – Class Actions $1,826,908.80
Recoveries – NASDAQ $308,948.49
Recoveries – NYSE $183,683.79
Recoveries – Transaction Fees $96,816.23
Recoveries – Other $796,298.73
Miscellaneous $0.36
Earnings on Trustee's Investments $43,188,565.33
Interest on Trustee's Savings Accounts $2,122,411.42
SIXTEENTH INTERIM REPORT
Period ended September 30, 2016
Total received $11.227 billion
DESCRIPTIONAMOUNT
Transfers from Debtor’s Estate – Securities $289,841,911.70
Transfer from Debtor’s Estate – BNY account $336,660,934.06
Transfers from Debtor’s Estate – Chase account $235,156,309.36
Transfers from Debtor’s Estate – Other $4,036,145.08
Interest and Dividends $1,843,180.59
Closeout Proceeds – Broker Dealers $37,316,297.78
Closeout Proceeds – NSCC $21,783,082.40
Closeout Proceeds – DTCC $18,001,787.96
Sale of Debtor's Assets $47.26
Sports Tickets $91,037.20
Bank Dept Participation $7,957,961.53
DTCC Shares $204,170.51
Market Making Business $1,416,279.52
Abtech $795,000.00
NSX Shares $100,734.60
BLM Air Charter $6,494,631.95
Auction Sales $644,579.15
Other $11,428.57
Administrative Subtenant Rent Revenue $531,078.49
Adjusting Administrative Subtenant Rent Revenue ($531,078.49)
Refunds – Deposits $9,841.45
Refunds – Dues/Subscriptions $177,247.15
Refunds – Car Registrations $157.00
Refunds – Vendors $62,450.65
Refunds – Transit Cards $833.61
Refunds – Insurance/Workers Comp $442,311.56
Refunds – Political Contributions $144,500.00
Refunds – Other $50.84
Recoveries – Customer Avoidances $112,392,379.79
Recoveries – Pre-Litigation Settlements $1,903,783,597.98
Recoveries – Litigation Settlements $8,200,463,914.57
Recoveries – Donation Settlements $875,000.00
Recoveries – Vendor Preferences $809,850.39
Recoveries – Employees $10,674.74
Recoveries – Taxing Authorities $12,777.56
Recoveries – Class Actions $1,819,333.11
Recoveries – NASDAQ $308,948.49
Recoveries – NYSE $183,683.79
Recoveries – Transaction Fees $96,816.23
Recoveries – Other $796,298.73
Miscellaneous $0.36
Earnings on Trustee's Investments $40,388,629.49
Interest on Trustee's Savings Accounts $1,884,280.40
FIFTEENTH INTERIM REPORT
Period ended March 31, 2016
Total received $11.129 billion
DESCRIPTIONAMOUNT
Transfers from Debtor’s Estate – Securities $289,841,908.00
Transfer from Debtor’s Estate – BNY account $336,660,934.06
Transfers from Debtor’s Estate – Chase account $235,156,309.36
Transfers from Debtor’s Estate – Other $4,036,145.08
Interest and Dividends $1,843,180.59
Closeout Proceeds – Broker Dealers $37,316,297.78
Closeout Proceeds – NSCC $21,783,082.40
Closeout Proceeds – DTCC $18,001,787.96
Sale of Debtor's Assets $47.26
Sports Tickets $91,037.20
Bank Dept Participation $7,956,852.79
DTCC Shares $204,170.51
Market Making Business $1,416,279.52
Abtech $795,000.00
NSX Shares $100,734.60
BLM Air Charter $6,494,631.95
Auction Sales $644,579.15
Other $11,428.57
Administrative Subtenant Rent Revenue $531,078.49
Adjusting Administrative Subtenant Rent Revenue ($531,078.49)
Refunds – Deposits $9,841.45
Refunds – Dues/Subscriptions $177,247.15
Refunds – Car Registrations $157.00
Refunds – Vendors $62,450.65
Refunds – Transit Cards $833.61
Refunds – Insurance/Workers Comp $442,311.56
Refunds – Political Contributions $144,500.00
Refunds – Other $50.84
Recoveries – Customer Avoidances $112,392,379.79
Recoveries – Pre-Litigation Settlements $1,903,783,597.98
Recoveries – Litigation Settlements $8,105,327,647.89
Recoveries – Donation Settlements $875,000.00
Recoveries – Vendor Preferences $809,850.39
Recoveries – Employees $10,674.74
Recoveries – Taxing Authorities $12,777.56
Recoveries – Class Actions $1,819,260.73
Recoveries – NASDAQ $308,948.49
Recoveries – NYSE $183,683.79
Recoveries – Transaction Fees $96,816.23
Recoveries – Other $796,298.73
Miscellaneous $0.36
Earnings on Trustee's Investments $37,953,660.66
Interest on Trustee's Savings Accounts $1,745,188.57
FOURTEENTH INTERIM REPORT
Period ended September 30, 2015
Total received $10.897 billion
DESCRIPTIONAMOUNT
Transfers from Debtor’s Estate – Securities $289,841,908.00
Transfer from Debtor’s Estate – BNY account $336,660,934.06
Transfers from Debtor’s Estate – Chase account $235,156,309.36
Transfers from Debtor’s Estate – Other $4,036,145.08
Interest and Dividends $1,843,180.59
Closeout Proceeds – Broker Dealers $37,316,297.78
Closeout Proceeds – NSCC $21,783,082.40
Closeout Proceeds – DTCC $18,001,787.96
Sale of Debtor's Assets $47.26
Sports Tickets $91,037.20
Bank Dept Participation $7,956,852.79
DTCC Shares $204,170.51
Market Making Business $1,416,279.52
Abtech $795,000.00
NSX Shares $100,734.60
BLM Air Charter $6,494,631.95
Auction Sales $644,579.15
Other $11,428.57
Administrative Subtenant Rent Revenue $531,078.49
Adjusting Administrative Subtenant Rent Revenue ($531,078.49)
Refunds – Deposits $9,841.45
Refunds – Dues/Subscriptions $177,247.15
Refunds – Car Registrations $157.00
Refunds – Vendors $62,450.65
Refunds – Transit Cards $833.61
Refunds – Insurance/Workers Comp $442,311.56
Refunds – Political Contributions $144,500.00
Refunds – Other $50.84
Recoveries – Customer Avoidances $112,392,379.79
Recoveries – Pre-Litigation Settlements $1,903,783,597.98
Recoveries – Litigation Settlements $7,876,641,622.73
Recoveries – Donation Settlements $875,000.00
Recoveries – Vendor Preferences $809,850.39
Recoveries – Employees $10,674.74
Recoveries – Taxing Authorities $12,777.56
Recoveries – Class Actions $1,733,488.32
Recoveries – NASDAQ $308,948.49
Recoveries – NYSE $183,683.79
Recoveries – Transaction Fees $96,816.23
Recoveries – Other $796,298.73
Miscellaneous $0.36
Earnings on Trustee's Investments $34,472,521.64
Interest on Trustee's Savings Accounts $1,622,385.03
THIRTEENTH INTERIM REPORT
Period ended March 31, 2015
Total received $10.593 billion
DESCRIPTIONAMOUNT
Transfers from Debtor’s Estate – Securities $289,841,908.00
Transfer from Debtor’s Estate – BNY account $336,660,934.06
Transfers from Debtor’s Estate – Chase account $235,156,309.36
Transfers from Debtor’s Estate – Other $4,036,145.08
Interest and Dividends $1,843,180.59
Closeout Proceeds – Broker Dealers $37,316,297.78
Closeout Proceeds – NSCC $21,783,082.40
Closeout Proceeds – DTCC $18,001,787.96
Sale of Debtor's Assets $47.26
Sports Tickets $91,037.20
Bank Dept Participation $7,956,852.79
DTCC Shares $204,170.51
Market Making Business $1,416,279.52
Abtech $795,000.00
NSX Shares $100,734.60
BLM Air Charter $6,494,631.95
Auction Sales $644,579.15
Administrative Subtenant Rent Revenue $531,078.49
Adjusting Administrative Subtenant Rent Revenue ($531,078.49)
Refunds – Deposits $9,841.45
Refunds – Dues/Subscriptions $177,247.15
Refunds – Car Registrations $157.00
Refunds – Vendors $62,450.65
Refunds – Transit Cards $833.61
Refunds – Insurance/Workers Comp $442,311.56
Refunds – Political Contributions $144,500.00
Refunds – Other $50.84
Recoveries – Customer Avoidances $117,548,582.68
Recoveries – Pre-Litigation Settlements $1,905,143,597.98
Recoveries – Litigation Settlements $7,570,709,687.60
Recoveries – Donation Settlements $875,000.00
Recoveries – Vendor Preferences $809,850.39
Recoveries – Employees $10,674.74
Recoveries – Taxing Authorities $12,777.56
Recoveries – Class Actions $1,715,800.34
Recoveries – NASDAQ $308,948.49
Recoveries – NYSE $183,683.79
Recoveries – Transaction Fees $96,816.23
Recoveries – Other $796,298.73
Miscellaneous $0.36
Earnings on Trustee's Investments $30,355,441.48
Interest on Trustee's Savings Accounts $1,504,674.52
TWELFTH INTERIM REPORT
Period ended September 30, 2014
Total received $9.8 billion
DESCRIPTIONAMOUNT
Transfers from Debtor’s Estate – Securities $289,841,908.00
Transfer from Debtor’s Estate – BNY account $336,660,934.06
Transfers from Debtor’s Estate – Chase account $235,156,309.36
Transfers from Debtor’s Estate – Other $4,036,145.08
Interest and Dividends $1,843,166.84
Closeout Proceeds – Broker Dealers $37,316,297.78
Closeout Proceeds – NSCC $21,783,082.40
Closeout Proceeds – DTCC $18,001,787.96
Sale of Debtor's Assets $47.26
Sports Tickets $91,037.20
Bank Dept Participation $7,927,191.07
DTCC Shares $204,170.51
Market Making Business $1,416,279.52
Abtech $795,000.00
NSX Shares $100,734.60
BLM Air Charter $6,494,631.95
Auction Sales $632,979.15
Administrative Subtenant Rent Revenue $531,078.49
Adjusting Administrative Subtenant Rent Revenue ($531,078.49)
Refunds – Deposits $9,841.45
Refunds – Dues/Subscriptions $177,247.15
Refunds – Car Registrations $157.00
Refunds – Vendors $62,450.65
Refunds – Transit Cards $833.61
Refunds – Insurance/Workers Comp $442,311.56
Refunds – Political Contributions $144,500.00
Refunds – Other $50.84
Recoveries – Customer Avoidances $117,548,582.68
Recoveries – Pre-Litigation Settlements $1,905,143,597.98
Recoveries – Litigation Settlements $6,826,187,454.57
Recoveries – Donation Settlements $875,000.00
Recoveries – Vendor Preferences $809,850.39
Recoveries – Employees $10,674.74
Recoveries – Taxing Authorities $12,777.56
Recoveries – Class Actions $1,380,751.45
Recoveries – NASDAQ $308,948.49
Recoveries – NYSE $183,683.79
Recoveries – Transaction Fees $96,816.23
Recoveries – Other $796,298.73
Miscellaneous $0.36
Earnings on Trustee's Investments $25,456,243.04
Interest on Trustee's Savings Accounts $1,387,695.00
ELEVENTH INTERIM REPORT
Period ended March 31, 2014
Total received $9.8 billion
DESCRIPTIONAMOUNT
Transfers from Debtor’s Estate – Securities $289,841,908.00
Transfer from Debtor’s Estate – BNY account $336,660,934.06
Transfers from Debtor’s Estate – Chase account $235,156,309.36
Transfers from Debtor’s Estate – Other $4,036,145.08
Interest and Dividends $1,843,166.84
Closeout Proceeds – Broker Dealers $37,316,297.78
Closeout Proceeds – NSCC $21,783,082.40
Closeout Proceeds – DTCC $18,001,787.96
Sale of Debtor's Assets $47.26
Sports Tickets $91,037.20
Bank Dept Participation $7,927,191.07
DTCC Shares $204,170.51
Market Making Business $1,416,279.52
Abtech $795,000.00
NSX Shares $100,734.60
BLM Air Charter $6,494,631.95
Auction Sales $532,662.50
Administrative Subtenant Rent Revenue $531,078.49
Adjusting Administrative Subtenant Rent Revenue ($531,078.49)
Refunds – Deposits $9,841.45
Refunds – Dues/Subscriptions $177,247.15
Refunds – Car Registrations $157.00
Refunds – Vendors $62,450.65
Refunds – Transit Cards $833.61
Refunds – Insurance/Workers Comp $402,859.56
Refunds – Political Contributions $144,500.00
Refunds – Other $50.84
Recoveries – Customer Avoidances $117,298,582.68
Recoveries – Pre-Litigation Settlements $1,905,143,597.98
Recoveries – Litigation Settlements $6,784,772,354.92
Recoveries – Donation Settlements $875,000.00
Recoveries – Vendor Preferences $809,850.39
Recoveries – Employees $10,674.74
Recoveries – Taxing Authorities $12,777.56
Recoveries – Class Actions $1,339,336.36
Recoveries – NASDAQ $308,948.49
Recoveries – NYSE $183,683.79
Recoveries – Transaction Fees $96,816.23
Recoveries – Other $296,298.73
Miscellaneous $0.36
Earnings on Trustee's Investments $24,257,473.65
Interest on Trustee's Savings Accounts $1,265,666.85
TENTH INTERIM REPORT
Period ended September 30, 2013
Total received $9.4 billion
DESCRIPTIONAMOUNT
Transfers from Debtor’s Estate – Securities $289,841,908.00
Transfer from Debtor’s Estate – BNY account $336,660,934.06
Transfers from Debtor’s Estate – Chase account $235,156,309.36
Transfers from Debtor’s Estate – Other $4,036,145.08
Interest and Dividends $1,843,166.84
Closeout Proceeds – Broker Dealers $37,316,297.78
Closeout Proceeds – NSCC $21,783,082.40
Closeout Proceeds – DTCC $17,304,329.91
Sale of Debtor's Assets $47.26
Sports Tickets $89,690.80
Bank Dept Participation $7,871,653.96
DTCC Shares $204,170.51
Market Making Business $1,416,279.52
Abtech $795,000.00
NSX Shares $97,865.49
BLM Air Charter $6,494,631.95
Administrative Subtenant Rent Revenue $531,078.49
Adjusting Administrative Subtenant Rent Revenue ($531,078.49)
Refunds – Deposits $9,841.45
Refunds – Dues/Subscriptions $177,247.15
Refunds – Car Registrations $157.00
Refunds – Vendors $61,567.20
Refunds – Transit Cards $833.61
Refunds – Insurance/Workers Comp $402,859.56
Refunds – Political Contributions $144,500.00
Refunds – Other $50.84
Recoveries – Customer Avoidances $117,298,582.68
Recoveries – Pre-Litigation Settlements $1,905,143,597.98
Recoveries – Litigation Settlements $6,394,382,847.31
Recoveries – Donation Settlements $500,000.00
Recoveries – Vendor Preferences $809,850.39
Recoveries – Employees $10,674.74
Recoveries – Taxing Authorities $12,777.56
Recoveries – Class Actions $696,821.51
Recoveries – NASDAQ $308,948.49
Recoveries – NYSE $183,683.79
Recoveries – Transaction Fees $96,816.23
Recoveries – Other $296,298.73
Miscellaneous $0.36
Earnings on Trustee's Investments $22,846,172.50
Interest on Trustee's Savings Accounts $1,109,920.38
NINTH INTERIM REPORT
Period ended March 31, 2013
Total received $9.3 billion
DESCRIPTIONAMOUNT
Transfers from Debtor’s Estate – Securities $289,841,661.49
Transfer from Debtor’s Estate – BNY account $336,660,934.06
Transfers from Debtor’s Estate – Chase account $235,156,309.36
Transfers from Debtor’s Estate – Other $4,036,145.08
Interest and Dividends $1,843,166.84
Closeout Proceeds – Broker Dealers $37,273,877.23
Closeout Proceeds – NSCC $21,783,082.40
Closeout Proceeds – DTCC $17,304,329.91
Sports Tickets $89,690.80
Bank Dept Participation $7,871,653.96
DTCC Shares $204,170.51
Market Making Business $1,416,279.52
Abtech $495,000.00
NSX Shares $76,006.97
BLM Air Charter $6,494,631.95
Administrative Subtenant Rent Revenue $531,078.49
Adjusting Administrative Subtenant Rent Revenue ($531,078.49)
Refunds – Deposits $9,841.45
Refunds – Dues/Subscriptions $177,247.15
Refunds – Car Registrations $157.00
Refunds – Vendors $61,567.20
Refunds – Transit Cards $833.61
Refunds – Insurance/Workers Comp $402,859.56
Refunds – Political Contributions $144,500.00
Refunds – Other $50.84
Recoveries – Customer Avoidances $117,298,582.68
Recoveries – Pre-Litigation Settlements $1,904,618,597.98
Recoveries – Litigation Settlements $6,327,200,114.02
Recoveries – Donation Settlements $500,000.00
Recoveries – Vendor Preferences $809,850.39
Recoveries – Employees $10,674.74
Recoveries – Taxing Authorities $12,777.56
Recoveries – Class Actions $621,347.45
Recoveries – NASDAQ $308,948.49
Recoveries – NYSE $183,683.79
Recoveries – Transaction Fees $96,816.23
Recoveries – Other $296,298.73
Miscellaneous $0.36
Earnings on Trustee's Investments $19,637,117.43
Interest on Trustee's Savings Accounts $968,250,65
EIGHTH INTERIM REPORT
Period ended September 30, 2012
Total received $8.2 billion
DESCRIPTIONAMOUNT
Transfers from Debtor’s Estate – Securities $289,841,661.49
Transfer from Debtor’s Estate – BNY account $336,660,934.06
Transfers from Debtor’s Estate – Chase account $235,156,309.36
Transfers from Debtor’s Estate – Other $4,036,145.08
Interest and Dividends $1,843,166.84
Closeout Proceeds – Broker Dealers $37,273,877.23
Closeout Proceeds – NSCC $21,783,082.40
Closeout Proceeds – DTCC $17,304,329.91
Sports Tickets $89,690.80
Bank Dept Participation $7,871,653.96
DTCC Shares $204,170.51
Market Making Business $1,389,423.16
Abtech $495,000.00
NSX Shares $62,790.19
BLM Air Charter $6,494,631.95
Administrative Subtenant Rent Revenue $531,078.49
Adjusting Administrative Subtenant Rent Revenue ($531,078.49)
Refunds – Deposits $9,841.45
Refunds – Dues/Subscriptions $177,247.15
Refunds – Car Registrations $157.00
Refunds – Vendors $61,567.20
Refunds – Transit Cards $833.61
Refunds – Insurance/Workers Comp $402,859.56
Refunds – Political Contributions $144,500.00
Refunds – Other $50.84
Recoveries – Customer Avoidances $115,135,301.76
Recoveries – Pre-Litigation Settlements $1,904,618,597.98
Recoveries – Litigation Settlements $5,206,587,205.57
Recoveries – Donation Settlements $500,000.00
Recoveries – Vendor Preferences $809,850.39
Recoveries – Employees $10,674.74
Recoveries – Taxing Authorities $12,777.56
Recoveries – Class Actions $549,854.09
Recoveries – NASDAQ $308,948.49
Recoveries – NYSE $183,683.79
Recoveries – Transaction Fees $96,816.23
Recoveries – Other $296,298.73
Miscellaneous $0.36
Earnings on Trustee's Investments $17,652,857.82
Interest on Trustee's Savings Accounts $813,234.61
SEVENTH INTERIM REPORT
Period ended March 31, 2012
Total received $3.1 billion
DESCRIPTIONAMOUNT
Transfers from Debtor’s Estate – Securities $291,203,371.40
Transfer from Debtor’s Estate – BNY account $336,660,934.06
Transfers from Debtor’s Estate – Chase account $235,156,309.36
Transfers from Debtor’s Estate – Other $4,036,145.08
Interest and Dividends $1,786,261.88
Closeout Proceeds – Broker Dealers $37,273,877.23
Closeout Proceeds – NSCC $21,783,082.40
Closeout Proceeds – DTCC $17,304,329.91
Sports Tickets $89,690.80
Bank Dept Participation $4,755,690.63
DTCC Shares $204,170.51
Market Making Business $1,389,423.16
Abtech $495,000.00
NSX Shares $62,790.19
BLM Air Charter $752,963.00
Administrative Subtenant Rent Revenue $531,078.49
Adjusting Administrative Subtenant Rent Revenue ($531,078.49)
Refunds – Deposits $9,841.45
Refunds – Dues/Subscriptions $177,247.15
Refunds – Car Registrations $157.00
Refunds – Vendors $61,567.20
Refunds – Transit Cards $833.61
Refunds – Insurance/Workers Comp $402,859.56
Refunds – Political Contributions $144,500.00
Refunds – Other $50.84
Recoveries – Customer Avoidances $114,648,660.41
Recoveries – Pre-Litigation Settlements $1,892,758,597.98
Recoveries – Litigation Settlements $98,288,041.40
Recoveries – Donation Settlements $500,000.00
Recoveries – Vendor Preferences $809,850.39
Recoveries – Employees $10,674.74
Recoveries – Taxing Authorities $12,777.56
Recoveries – Class Actions $450,779.06
Recoveries – NASDAQ $308,948.49
Recoveries – NYSE $183,683.79
Recoveries – Transaction Fees $96,816.23
Recoveries – Other $296,298.73
Miscellaneous $0.36
Earnings on Trustee's Investments $16,163,438.44
Interest on Trustee's Savings Accounts $643,574.71
SIXTH INTERIM REPORT
Period ended September 30, 2011
Total received $2.7 billion
DESCRIPTIONAMOUNT
Transfers from Debtor’s Estate – Securities $291,203,371.40
Transfer from Debtor’s Estate – BNY account $336,660,934.06
Transfers from Debtor’s Estate – Chase account $235,156,309.36
Transfers from Debtor’s Estate – Other $4,036,145.08
Interest and Dividends $1,713,881.88
Closeout Proceeds – Broker Dealers $37,273,877.23
Closeout Proceeds – NSCC $21,783,082.40
Closeout Proceeds – DTCC $17,304,329.91
Sports Tickets $89,690.80
Bank Dept Participation $4,755,690.63
DTCC Shares $204,170.51
Market Making Business $1,389,423.16
Abtech $495,000.00
Administrative Subtenant Rent Revenue $517,390.79
Adjusting Administrative Subtenant Rent Revenue ($517,390.79)
Refunds – BLM Air Charter $752,963.00
Refunds – Deposits $9,841.45
Refunds – Dues/Subscriptions $177,247.15
Refunds – Car Registrations $157.00
Refunds – Vendors $61,567.20
Refunds – Transit Cards $793.61
Refunds – Insurance/Workers Comp $402,859.56
Refunds – Political Contributions $144,500.00
Refunds – Other $50.84
Recoveries – Customer Avoidances $139,209,034.46
Recoveries – Pre-Litigation Settlements $1,521,631,048.00
Recoveries – Litigation Settlements $40,609,297.32
Recoveries – Donation Settlements $500,000.00
Recoveries – Vendor Preferences $804,850.39
Recoveries – Employees $10,674.74
Recoveries – Taxing Authorities $12,777.56
Recoveries – Class Actions $380,488.99
Recoveries – NASDAQ $308,948.49
Recoveries – NYSE $183,683.79
Recoveries – Transaction Fees $96,816.23
Recoveries – Other $296,298.73
Miscellaneous $0.36
Earnings on Trustee's Investments $15,239,625.47
Interest on Trustee's Savings Accounts $473,893.50
FIFTH INTERIM REPORT
Period ended March 31, 2011
Total received $2.6 billion
DESCRIPTIONAMOUNT
Transfers from Debtor’s Estate – Securities $291,203,371.40
Transfer from Debtor’s Estate – BNY account $336,660,934.06
Transfers from Debtor’s Estate – Chase account $235,156,309.36
Transfers from Debtor’s Estate – Other $4,036,145.08
Interest and Dividends $1,524,803.24
Closeout Proceeds – Broker Dealers $37,273,877.23
Closeout Proceeds – NSCC $21,783,082.40
Closeout Proceeds – DTCC $17,368,079.91
Sports Tickets $89,690.80
Bank Dept Participation $2,583,599.32
DTCC Shares $204,170.51
Market Making Business $1,220,886.80
Administrative Subtenant Rent Revenue $491,783.73
Refunds – BLM Air Charter $752,963.00
Refunds – Deposits $9,841.45
Refunds – Dues/Subscriptions $177,247.15
Refunds – Car Registrations $157.00
Refunds – Vendors $61,567.20
Refunds – Transit Cards $793.61
Refunds – Insurance/Workers Comp $402,859.56
Refunds – Political Contributions $144,500.00
Refunds – Other $50.84
Recoveries – Customer Avoidances $132,989,034.46
Recoveries – Pre-Litigation Settlements $1,520,381,048.00
Recoveries – Donation Settlements $225,000.00
Recoveries – Vendor Preferences $532,850.39
Recoveries – Employees $10,674.74
Recoveries – Taxing Authorities $12,777.56
Recoveries – Class Actions $314,134.72
Recoveries – NASDAQ $308,948.49
Recoveries – NYSE $183,683.79
Recoveries – Transaction Fees $96,816.23
Recoveries – Other $71,298.73
Miscellaneous $0.36
FOURTH INTERIM REPORT
Period ended September 30, 2010
Total received $1.15 billion
DESCRIPTIONAMOUNT
Transfers from Debtor's Estate – Other $5,206.29
Transfers from Debtor's Estate – BNY account $336,660,934.06
Transfers from Debtor's Estate – Chase account $235,156,309.36
Interest and dividends $1,332,746.75
Closeout Proceeds – Broker Deals $37,273,877.23
Closeout Proceeds – NSCC $21,783,082.40
Closeout Proceeds – DTCC $12,660,000.00
Sports Tickets $89,690.80
Bank Dept Participation $2,083,694.75
DTCC Shares $204,170.51
Market Making Business $1,075,676.01
Refunds – BLM Air Charter $752,963.00
Refunds – Deposits $9,841.45
Refunds – Dues/subscriptions $169,025.68
Refunds – Car Registration $157.00
Refunds – Vendors $58,066.58
Refunds – Transit Cards $793.61
Refunds – Insurance/Workers Comp $402,859.56
Refunds – Political Contributions $144,500.00
Refunds other $50.84
Recoveries – Pre Litigation Settlements $455,381,048.00
Recoveries – Customer Preferences $43,918,023.18
Recoveries – Employees $10,674.74
Recoveries – Taxing Authorities $12,777.56
Recoveries – Class Actions $182,576.33
Recoveries – NASDAQ $308,948.49
Recoveries – NYSE $183,683.79
Recoveries – Transaction Fee's $96,816.23
Recoveries – Other $71,298.73
Miscellaneous $0.36
Subtenant Rent $465,688.64
THIRD INTERIM REPORT
Period ended February 28, 2010
Total received $912 million
DESCRIPTIONAMOUNT
Transfers from Debtor’s Estate – Other $5,206.29
Transfer from Debtor’s Estate – BNY account $336,660,934.06
Transfers from Debtor’s Estate – Chase account $235,156,309.36
Interest and Dividends $956,757.02
Closeout Proceeds – Broker Dealers $37,273,558.32
Closeout Proceeds – NSCC $21,783,082.40
Closeout Proceeds – DTCC $12,660,000.00
Sale of Debtor’s Assets $1,003,385.73
Sports Tickets $89,690.80
Bank Dept Participation $1,583,599.32
DTCC Shares $204,170.51
BLM Air Charter $752,963.00
Refunds – Deposits $9,841.45
Refunds – Dues/Subscriptions $169,025.68
Refunds – Car Registrations $157.00
Refunds – Vendors $43,029.76
Refunds – Transit Cards $793.61
Refunds – Insurance/Workers Comp $402,859.56
Refunds – Political Contributions $144,500.00
Refunds Other $50.84
Recoveries – Pre-Litigation Settlements $235,381,048.00
Recoveries – Customer Preferences $27,097,306.41
Recoveries – Employees $10,674.74
Recoveries – Taxing Authorities $12,777.56
Recoveries – Class Actions $126,437.08
Recoveries – NASDAQ $308,948.49
Recoveries – NYSE $183,683.79
Recoveries – Transaction Fees $96,816.23
Recoveries – Other $644.64
Miscellaneous $0.36
Subtenant Rent $435,307.46
SECOND INTERIM REPORT
Period ended October 31, 2009
Total received $870.5 million
DESCRIPTIONAMOUNT
Transfers from Debtor’s Estate – Other $5,206.29
Transfer from Debtor’s Estate – BNY account $336,660,934.06
Transfers from Debtor’s Estate – Chase account $235,156,309.36
Interest and Dividends $889,428.36
Closeout Proceeds – Broker Dealers $37,272,105.93
Closeout Proceeds – NSCC $21,783,082.40
Closeout Proceeds – DTCC $12,660,000.00
Sale of Debtor’s Assets $1,003,385.73
Sports Tickets $89,690.80
Bank Dept Participation $1,583,599.32
DTCC Shares $204,170.51
BLM Air Charter $752,963.00
Refunds – Deposits $9,841.45
Refunds – Subscriptions $21,275.68
Refunds – Car Registrations $157.00
Refunds – Vendors $43,029.76
Refunds – Transit Cards $793.61
Refunds – Insurance/Workers Comp $297,247.56
Refunds – Political Contributions $144,500.00
Refunds Other $50.84
Recoveries – Litigation Related $198,881,048.00
Recoveries – Customer References $22,036,185.39
Recoveries – Employees $10,674.74
Recoveries – Taxing Authorities $12,777.56
Recoveries – Class Actions $89,465.73
Recoveries – NASDAQ $308,948.49
Recoveries – NYSE $183,683.79
Recoveries – Transaction Fees $2,954.71
Recoveries – Other $644.64
Miscellaneous $0.36
Subtenant Rent $417,928.51
FIRST INTERIM REPORT
Period ended May 31, 2009
Total received $647.7 million
DESCRIPTIONAMOUNT
Transfers from Debtor’s Estate – Other $5,174.43
Transfer from Debtor’s Estate – BNY account $336,654,397.54
Transfers from Debtor’s Estate – Chase account $235,156,309.36
Customers $25,000.00
Interest and Dividends $467,717.95
Closeout Proceeds – Broker Dealers $37,272,105.93
Closeout Proceeds – NSCC $21,783,082.40
Closeout Proceeds – DTCC $12,660,000.00
Sale of Debtor’s Assets $535,000.00
Sports Tickets $78,791.70
Bank Dept Participation $1,583,599.32
DTCC Shares $204,170.51
Refunds – Subscriptions $1,078.59
Refunds – Car Registrations $157.00
Refunds – Vendors $43,620.66
Refunds – Transit Cards $793.61
Refunds – Insurance/Workers Comp $233,904.29
Refunds – Political Contributions $141,500.00
Refunds Other $50.84
Employees $10,674.74
Taxing Authorities $12,777.56
Class Actions $51,028.97
NASDAQ $308,948.49
NYSE $183,683.79
Transaction Fees $2,954.71
Other $494.64
Miscellaneous $0.36
Subtenant Rent $350,676.66