And its related entities, Ameriserve Food Distribute- ion, Inc., Appalachian Oil & Gas Company, Inc., Harvey s Great Things, Inc., Northeast Energy Company, Inc., Northport Industries, Inc., and its related entities, Northport Resources Company, Inc. (collectively referred to as Amer-i can Express Savings Fund), for violation of Sections 12(f) and 12(j) of the Act, and Section 21B(a) of the Exchange Act by causing its related persons (collectively, Amer- can Express Savings Fund) to trade in violation of Section 12(f) and 12(j) of the Act. II. Amerigetsi- e Fuel & Petrochemical Distributing Company, Inc., Amer- can Natural Resources Company, Inc., and Amer- can Express Savings Fund entered into a Management Incentive Plan on September 30, 2000, and a Management Incentive Plan amendment on May 3, 2002, to provide compensation and other incentive compensation to Amerigetsi-e for its management services and in- vestments in the company. The Commission is the regulatory agency that is charged with enforcing the provisions of Section 12(f) and 12(j) of the Exchange Act and rules promulgated in accordance with Section 20(e)(2) of the Exchange Act. These rules prescribe that all securities that are traded on the secondary market are subject to an obligation of disclosure in order to obtain an exemption from the reporting requirements of Section 16 of the Exchange Act. 3. During its investigation Amer- ICL Express Savings Fund failed to register this plan with the Commission, as required by Rule 12, Rule 14a-22 and Rule 15e-12 of Regulation S-X. 4. During its investigation Amer-i can Express Savings Fund failed to disclose that it was a “systemically important” firm and that its senior officers' salaries exceeded 450,000. 5. Amer-i can Express Savings Fund breached its fiduciary duties as a registered agent and as a broker and dealer under Section 16 and Rule 16a-101 of Regulation D as a principal registered agent under Section 11A of the Exchange Act. 6. Amer-i can Express Savings Fund failed to properly register as a broker and dealer under Section 18 and, therefore, violated Section 18(b) and Rule 18b-9 of Regulation D. 7.
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UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION October 22, 2007, ADMINISTRATIVE PROCEEDING File No. 3-12873 : In the Matter of : : Ameriserve Food Distribution, Inc., : Appalachian
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