Information for Harmed Investors
This page contains information for harmed investors about certain SEC enforcement actions. In some of these actions, funds have been paid by defendants or respondents to satisfy a judgment and the SEC, in its discretion, may seek to distribute these funds for the benefit of harmed investors. Some of the distributions in these cases are administered by the SEC staff, and in other cases, a Receiver or third-party Fund Administrator has been appointed by the Commission or court to administer the distribution. For more information regarding a certain SEC Enforcement action, please see the list of cases below.
To find out whether a private class action relating to your investment has been filed, you can visit the website of the Securities Class Action Clearinghouse.
If your broker-dealer has gone out of business, you can visit the website of the Securities Investor Protection Corporation to find out whether the broker-dealer is in liquidation under the Securities Investor Protection Act and if so, how you can file a claim form.
If you are aware of potential violations of the securities laws, please submit a tip or complaint online.
ABC Viaticals, et al.
Acorn Capital Management
Advanced Technologies Group, Ltd., et al.
American Express Financial Corporation
AmeriFirst Funding, et al.
American Integrity Financial Co.
Angelo A. Alleca, Summit Wealth Management, Inc., Summit Investment Fund LP et al., 1:12-cv-03261-WSD (U.S. District Court, N.D.Ga., Atlanta Division)
Angelo Mozilo, David Sambol and Eric Sieracki (former executives of Countrywide Financial Corporation)
Archie Paul Reynolds a/k/a Dr. A. Paul Reynolds and Success Trust and Holding LLC
Art Intellect, Inc.
Arthur Nadel, et al.
Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC
Bank of America Corporation
Bentley Financial Services, Inc.
Bernard L. Madoff Investment Securities LLC
Brian A. Bjork
Cardinal Health, Inc.
Carolina Development Company, Lambert Vander Tuig, and Jonathan Carman
Cavanagh et al.
Charles Schwab Investment Management, et al.
Charles W. Crouse and Norman R. Hess
CIBC World Markets Corp. and Canadian Imperial Holdings Inc.
CIHC, Inc., Conseco Services, LLC and Conseco Equity Sales, Inc.
CKB168 Holdings Ltd.
Cobalt Multifamily Investors I, LLC, et al.
Colin Nathanson, et al.
Commodities Online, LLC and Commodities Online Management, LLC
Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Network; Detwiler, Mitchell, Fenton & Graves, Inc.; James X. McCarty
Creative Capital Consortium, LLC, et al.
Credit Bancorp, Ltd.
CRW Management, L.P. et al.
Dell Inc. et al.
Diversified Lending Group, Inc., et al.
Donald Anthony Walker Young, et al.
Edward D. Jones & Co.
Edward T. Stein, et al.
Electro-Optical Systems Corporation
Federal Employee Benefits Group, Inc. (FEBG)
Federated Investment Management Company, Federated Securities Corp. and Federated Shareholder Services Company
First Choice Management Services, Inc. and Gary Van Waeyenberghe
Franco et al. (Nalco Chemical Company)
Fred Alger Management, Inc. and Fred Alger & Company Incorporated.
Fremont Investment Advisors, Inc. et al.
FTC Capital Markets, Inc.
Gemstar-TV Guide International, Inc.
Gen-See Capital Corporation and Richard S. Picoli
Geoffrey A. Gish; Weston Rutledge Financial Services, Inc.; Zamindari Capital, LLC; Lexington International Fund, LLC a/k/a Lexington International Fund, Inc.; and Oxford Adams Capital, LLC
Giant Operating, LLC and George Wesley Harris et al.
Global Express Capital Real Estate Investment Fund I, LLC et al.
Golden State Equity Investors, Inc. (Grifco International, Inc.)
Health Enhancement Products, Inc., Howard R. Baer and Kevin C. Baer
Huntington Bancshares, Inc.
Impact Cash, LLC
International Fiduciary Corp., S.A., et al.
International Management Associates, LLC et al.
James G. Temme and Stewardship Fund LP
James R. Harrold, et al.
John Scott Clark, Impact Cash, LLC and Impact Payment Systems, LLC
Joseph Contini, D/B/A Personal Portfolio Watch
Joseph F. "Chip" Skowron III, et al.
Joseph S. Forte and Joseph Forte, L.P.
J.T. Wallenbrock & Associates, Citadel Capital Management Group, Larry Toshio Osaki, and Van Y. Ichinotsubo
Kenneth Wayne McLeod
K.W. Brown and Company, Kenneth Brown, et al.
Learn Waterhouse, Inc. et al.
Life’s Good, Inc.
Lincoln Funds International, Inc.
Lotus Development Corporation
Madoff, Bernard L.
MAK 1 Group Enterprises, LLC
Management Solutions, Inc.
Matthew John Ryan and Prime Rate and Return, LLC, individually and doing business as American Integrity Financial Co.
Medical Capital Holdings, Inc., et al.
Merrill Scott & Associates, Ltd., et al.
Millennium Bank, et al.
Millennium Partners, L.P. et al.
Morgan Asset Management, Inc., Morgan Keegan & Company, Inc., et al.
Mutual Benefits Corp., et al.
NewPoint Financial Services, Inc., et al.
NJ Affordable Homes Corp. and Wayne Puff
Nortel Networks Corporation
Novus Technologies, LLC, et al.
One Equity Corporation et al.
Oversea Chinese Fund Limited Partnership, et al.
PA Fund Management LLC f/k/a PIMCO Advisors Fund Management LLC et al.
Pension Fund of America LC, et al.
PinnFund USA, Inc.
Platinum Investment Corporation, et al.
Plus Money, Inc. and Matthew La Madrid, et al.
Presto Telecommunications, Inc.
Provident Capital Indemnity, Ltd., Minor Vargas Calvo, Jorge L. Castillo and Desarrollos Comerciales Ronim, S.A.
Provident Royalties, LLC et al.
Ray M. White and CRW Management, L.P
Raytheon Company et al.
RenaissanceRe Holdings, Ltd.
Rey Salomon, Jr., and Ellen H Development LLC
Rex Venture Group, LLC d/b/a ZeekRewards.com, and Paul R. Burks
Robert Allen Stanford, Stanford International Bank, Stanford Group Company and Stanford Capital Management
Robert Louis Carver, Robert Louis Carver II, James Lowell DeMers, Lincoln Funds International, Inc., and Paropes Corporation f/k/a Brookstone Capital, Inc.
Robert Stinson, Jr., et al.
Safevest, LLC, et al.
Sebastian International Enterprises, Inc.
Secure Investment Services, Inc. et al.
Select Asset Management, LLC et al.
Senen Pousa and Investment Intelligence Corporation Pty LLC
Sherbourne Capital Management, Ltd., et al.
Skowron Fair Fund
Southern Financial Group, Inc.
Spear & Jackson, Inc.
Stanford International Bank, et al.
Stephen C. Sayre, et al.
Steve Madden Ltd.
Success Trust and Holding LLC
Summit Wealth Management, Inc.
Sun Empire, LLC, et al. and Sun Group, et al.
Sunwest Management, Inc., et al.
Systems of Excellence and Charles O. Huttoe
Take-Two Interactive Software, Inc.
T-Bar Resources LLC and Tommy Eugene Barber
Tecumseh Holdings Corporation, et al.
Temme et al.
Terry L. Dowdell, et al.
Time Warner Inc.
Travis E. Correll, individually and doing business as Horizon Establishment, et al.
Trevor G. Cook, Patrick (Pat) Kiley, et al.
Tri Energy et al.
Tuco Trading, LLC.
Tyco International Ltd.
Universal Brokerage FX
Universo Foneclub Corporation et al.
U.S. Reservation Bank & Trust, Higher Investment Technologies, Inc., Global-Link Capital Markets L.L.C. et al.
Vescor Capital Corp., Val E. Southwick, et al.
Viatical Capital, Inc., d/b/a Life Settlement Network, Life Investment Funding Enterprises, Inc., Charles D. York, and Robert K. Coyne
Virtual Private Marketplace, Ltd., Gary L. Moody, Steven R. Moody, and Billpay Systems LLC
Vivendi Universal, S.A.
W Financial Group, LLC, Adley H. Abdulwahab, Michael K. Wallens, Sr. and Michael K. Wallens, Jr.
Waddell & Reed, Inc., et al.
Watermark Financial Services Group, Inc., et al.
WG Trading Investors, L.P., et al.
Wealth Pools International, Inc.
Wellness Universe, et al.
Weston Rutledge Financial Services, Inc.
Wextrust Capital, LLC et al.
William L. Brotherton and International Business Consortium, Inc.
World Class Limousines, Inc., 1-800-GET-LIMO, Inc. and 1-800-GET-LIMO Service, Inc.
Worldwide Entertainment, Inc., et al.
Worldwide Funding III Limited LLC
Zurich Financial Services
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