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.
4NExchange, LLC, Paul R. Grant and Ronald Bassett
ABC Viaticals, et al.
Advanced Financial Services, Larry W. Tyler, et al.
AIM Advisors, Inc. and AIM Distributors, Inc.
Alanar, Inc., et al.
Alliance Capital Management, L.P.
Alpha Telcom, Inc.
American-Amicable Life Insurance Company of Texas
American Express Financial Advisors Inc.
American Express Financial Corporation
AmeriFirst Funding, et al.
American International Group, Inc. (AIG)
AOB Commerce, Inc., et al.
Archie Paul Reynolds a/k/a Dr. A. Paul Reynolds and Success Trust and Holding LLC
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
Banc of America Securities LLC
Banc One Investment Advisors Corporation
Beacon Hill Asset Management, et al.
Bear, Stearns & Co., Inc. and Bear, Stearns Securities Corp.
Bennett Funding Group, Inc.
Bentley Financial Services, Inc.
Biltmore Securities, Inc.
Bio-Heal Laboratories, Inc., et al.
Bradford C. Bleidt and Allocation Plus Asset Management Company, Inc.
Bridgeway Capital Management, Inc. and John Noland Ryan Montgomery
Bristol-Myers Squibb Company
Capital Consultants, LLC, Jeffrey L. Grayson, and Barclay L. Grayson
Capital Enhancement Club
Carolina Development Company, Lambert Vander Tuig, and Jonathan Carman
Cash 4 Titles, Charles Richard Homa, and Michael Gause
CEP Holdings, Inc. D/B/A Colonendparenthesis.net, Trevor Reed, Clayton Kimbrell and Colon End Parenthesis Trust, LLC
Charis Johnson, LifeClicks, LLC, and 12daily Pro
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.
Columbia Management Advisors, Inc. and Columbia Funds Distributor, Inc.
Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Network; Detwiler, Mitchell, Fenton & Graves, Inc.; James X. McCarty
Concorde America, Inc., et al.
Credit Bancorp, Ltd.
Credit First Fund, LP, David R. Lund, et al.
David M. Mobley/Maricopa Investment Fund, Ltd.
David Tanner d/b/a/ Capital Enhancement Club, et al.
Donald Matthew Greth and Brenda B. Melton
D.W. Heath & Associates, Inc. et al.
Edward D. Jones & Co.
Edward S. Digges, et al.
Elfindepan S.A., et al
Emvest Mortgage Fund, LLC, Emvest, Inc., and Milon Lyle Brock
Enterprise Trust Company, et al.
Federal National Mortgage Association (Fannie Mae)
Federated Investment Management Company, Federated Securities Corp. and Federated Shareholder Services Company
First Choice Management Services, Inc. and Gary Van Waeyenberghe
First Command Financial Planning
FOMAC International, Inc.
Franklin Advisers, Inc.
Fred Alger Management, Inc. and Fred Alger & Company Incorporated.
Freedom Financial, Inc., et al.
Fremont Investment Advisors, Inc. et al.
Gemstar-TV Guide International, Inc.
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
Gerson Asset Management
Global Express Capital Real Estate Investment Fund I, LLC et al.
Global Money Management, L.P., LF Global Investments, LLC, and Marvin Friedman
Global Online Direct, Inc., Bryant E. Behrmann and Larry “Buck” E. Hunter
Global Research Analyst Settlement
Gold-Quest International, et al.
Grant Thornton LLP, Doeren Mayhew & Co. P.C., Peter M. Behrens, CPA, Marvin J. Morris, CPA and Benedict P. Rybicki, CPA
Heartland Financial Services, Inc.
Huntington Bancshares, Inc.
i2 Technologies, Inc.
International Capital Management, Inc.
International Equity Advisors, LLC and Richard Roger Lund
International Fiduciary Corp., S.A., et al.
International Funding Association, Ronald Stephen Holt, et al.
International Management Associates, LLC et al.
Invesco Funds Group, Inc.
IPIC International, et al.
Jack Brown, Jules Fleder et al.
James B. Roberts, FOMAC International, Inc., and Consultores Las Tres Americas S.A.
James R. Harrold, et al.
James P. Lewis, Jr., Financial Advisory Consultants, et al.
Janus Capital Management LLC
John Wayne Zidar et al.
Jon W. James, J.W. James & Associates, et al.
Joseph Contini, D/B/A Personal Portfolio Watch
J.T. Wallenbrock & Associates, Citadel Capital Management Group, Larry Toshio Osaki, and Van Y. Ichinotsubo
K.L. Group, LLC, et al.
Kenneth Roy Weare, also known as Roy Weaver, J&K Global Marketing Corporation, and AAA-Auction.com, Inc.
Knight Securities L.P.
KS Advisors, et al.
Le Club Prive S.A.
Learn Waterhouse, Inc. et al.
Lincoln Funds International, Inc.
Lotus Development Corporation
Massachusetts Financial Services Co., John W. Ballen, and Kevin R. Parke
Merrill Scott & Associates, Ltd., et al.
Michael Lauer, Lancer Management Group, LLC, and Lancer Management Group II, et al.
Mid-America Foundation, Inc., Robert R. Dillie, et al.
Millennium Financial, Ltd. and Newpont Fiduciaries & Nominees, S.A.
Millennium Partners, L.P. et al.
Mobile Billboards of America, Inc., et al.
Mutual Benefits Corp., et al.
MX Factors, LLC et al.
NJ Affordable Homes Corp. and Wayne Puff
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.
NYSE Specialist Firms
Ohana International, Inc., Financial Solutions, and Christiano Hashimoto
PA Fund Management LLC f/k/a PIMCO Advisors Fund Management LLC et al.
Par Three Financial Group, Inc. and Melvin D. Ruth
Pay Pop, Inc.
Pension Fund of America LC, et al.
Pilgrim Baxter & Associates, Ltd., Gary L. Pilgrim and Harold J. Baxter
Pinnacle Development Partners LLC and Gene A. O’Neal
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.
Prudential Equity Group, LLC, formerly known as Prudential Securities Inc.
Putnam Investment Management LLC
Qwest Communications International Inc.
Resource Development International LLC, et al.
Robert Louis Carver, Robert Louis Carver II, James Lowell DeMers, Lincoln Funds International, Inc., and Paropes Corporation f/k/a Brookstone Capital, Inc.
RS Investments Management, Inc. et al.
Safevest, LLC, et al.
Sebastian International Enterprises, Inc.
Secure Investment Services, Inc. et al.
Southern Financial Group, Inc.
Spear & Jackson, Inc.
Steve Madden Ltd.
Strong Capital Management, et al.
Success Trust and Holding LLC
Superior Opportunities, Inc.
Systems of Excellence and Charles O. Huttoe
T-Bar Resources LLC and Tommy Eugene Barber
Terry L. Dowdell, et al.
Time Warner Inc.
TLC Investments & Trade Co., et al.
Travis E. Correll, individually and doing business as Horizon Establishment, et al.
Tri Energy et al.
Tuco Trading, LLC.
Universal Express et al.
Universo Foneclub Corporation et al.
U.S. Reservation Bank & Trust, Higher Investment Technologies, Inc., Global-Link Capital Markets L.L.C. et al.
Veras Capital Master Fund, 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 Cash Card, et al.
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.
W.L. Ware Enterprises and Investments, Inc. and Warren L. Ware
Waddell & Reed, Inc.
Wayne F. Gorsek, Lyndell F. Parks and P. Brenden Gebben
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.
Archive of Investors Claims Funds Notices