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, or third-party Fund Administrator/Distribution Agent 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.

Please note this list does not include distributions handled by a Receiver. For information regarding those distributions, visit the Receiverships page.

Helpful resources:

Archive of Completed Distributions