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U.S. Securities and Exchange Commission

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



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) New Claim Fund

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



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


Bradford C. Bleidt and Allocation Plus Asset Management Company, Inc.

Brian A. Bjork


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.


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

Excel Lease Fund, Inc.


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.


Health Enhancement Products, Inc., Howard R. Baer and Kevin C. Baer

Heyman International

Homestore, Inc.

Horizon Establishment

Huntington Bancshares, Inc.


Impact Cash, LLC

International Fiduciary Corp., S.A., et al.

International Management Associates, LLC et al.

Invesco Funds Group, Inc.


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


Kenneth Wayne McLeod

K.W. Brown and Company, Kenneth Brown, et al.


Le Club Prive S.A.

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.

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.


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.


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.

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.




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


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


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.

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.




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Archive of Investors Claims Funds Notices


Modified: 2/13/2013