Investors Claims Funds
This page lists the SEC enforcement cases in which a Receiver, Disbursement Agent, or Claims Administrator has been appointed. Funds that are recovered and available for investors will be distributed according to an approved plan.
In addition to seeing whether a claims fund has been established, you may want to find out whether a private class action has been filed against the company you invested in. If you're aware of violations of the securities laws, please tell us by using our online complaint form.
If your broker-dealer has gone out of business, you can visit the website of the Securities Investor Protection Corporation to find out whether your firm is the subject of a liquidation proceeding and how you can obtain a claim form.
Alphabetical Index - or jump to New
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A
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.
American International Group, Inc. (AIG)
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)
AOB Commerce, Inc., et al.
Archie Paul Reynolds a/k/a Dr. A. Paul Reynolds and Success Trust and Holding LLC
Art Intellect, Inc.
Arthur Nadel, et al.
Ashbury Capital Partners, L.P., Ashbury Capital Management, L.L.C., and Mark Yagalla
B
Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC
Bank of America Corporation
Benny L. Judah and Excel Lease Fund, Inc.
Bentley Financial Services, Inc.
Bernard L. Madoff Investment Securities LLC
Billion Coupons, Inc. (aka Billion Coupons Investment) and Marvin R. Cooper
BISYS Group
Bradford C. Bleidt and Allocation Plus Asset Management Company, Inc.
Brian A. Bjork
C
Cardinal Health, Inc.
Carolina Development Company, Lambert Vander Tuig, and Jonathan Carman
Cash 4 Titles, Charles Richard Homa, and Michael Gause
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.
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.
D
Dell Inc. et al.
Diversified Lending Group, Inc., et al.
Donald Anthony Walker Young, et al.
E
Edward D. Jones & Co.
Edward T. Stein, et al.
Electro-Optical Systems Corporation
Excel Lease Fund, Inc.
F
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.
G
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.
H
Health Enhancement Products, Inc., Howard R. Baer and Kevin C. Baer
Heyman International
Homestore, Inc.
Horizon Establishment
Huntington Bancshares, Inc.
I
Impact Cash, LLC
International Fiduciary Corp., S.A., et al.
International Management Associates, LLC et al.
Invesco Funds Group, Inc.
J
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 S. Forte and Joseph Forte, L.P.
J.T. Wallenbrock & Associates, Citadel Capital Management Group, Larry Toshio Osaki, and Van Y. Ichinotsubo
K
Kenneth Wayne McLeod
K.W. Brown and Company, Kenneth Brown, et al.
L
Le Club Prive S.A.
Learn Waterhouse, Inc. et al.
Life’s Good, Inc.
Lincoln Funds International, Inc.
Lotus Development Corporation
M
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.
MBIA Inc.
Medical Capital Holdings, Inc., et al.
Merrill Scott & Associates, Ltd., et al.
Michael Lauer, Lancer Management Group, LLC, and Lancer Management Group II, et al.
Michael J. McNaul, II et al.
Mid-America Foundation, Inc., Robert R. Dillie, et al.
Millennium Bank, et al.
Millennium Financial, Ltd. and Newpont Fiduciaries & Nominees, S.A.
Millennium Partners, L.P. et al.
Mutual Benefits Corp., et al.
N
Nations Warranty Group, Inc., Jonathan W. Mikula, John B. Craddock and JW&P Consulting, LLC
NewPoint Financial Services, Inc., et al.
NJ Affordable Homes Corp. and Wayne Puff
Nortel Networks Corporation
North American Clearing, Inc., Richard L. Goble, Bruce B. Blatman and Timothy J. Ward
Northshore Asset Management LLP, et al.
Novus Technologies, LLC, et al.
O
One Equity Corporation et al.
Oversea Chinese Fund Limited Partnership, et al.
P
PA Fund Management LLC f/k/a PIMCO Advisors Fund Management LLC et al.
Paul D. Poetter, et al.
Pension Fund of America LC, et al.
PinnFund USA, Inc.
Pittsford Capital Income Partners, L.L.C., et al.
Platinum Investment Corporation, et al.
Plus Money, Inc. and Matthew La Madrid, et al.
Premium Income Corp, 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.
Q
R
Ray M. White and CRW Management, L.P
Raytheon Company et al.
RenaissanceRe Holdings, Ltd.
Resource Development International LLC, et al.
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.
Royal Dutch Petroleum Company and The "Shell" Transport and Trading Company
S
Safevest, LLC, et al.
Sebastian International Enterprises, Inc.
Secure Investment Services, Inc. et al.
Select Asset Management, LLC et al.
Sherbourne Capital Management, Ltd., et al.
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
T
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.
U
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.
V
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
W Financial Group, LLC, Adley H. Abdulwahab, Michael K. Wallens, Sr. and Michael K. Wallens, Jr.
WG Trading Investors, L.P., et al.
Warren Energy, Inc.
Wealth Pools International, Inc.
Wellington Bank and Trust, Ltd. et al.
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.
X
Y
Z
ZeekRewards Investors
Zurich Financial Services
Archive of Investors Claims Funds Notices
http://www.sec.gov/divisions/enforce/claims.htm
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