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:
- 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.
- Distributions in Commission Administrative Proceedings: Notices and Orders Pertaining to Disgorgement and Fair Funds
- Investor Bulletin: How Harmed Investors May Recover Money
To search list of actions,
please enter name of party or other term in case name:
- A
- John W. Adams and AIP, LLC (3-11676)
- AgFeed Industries, Inc., Songyan Li, Junhong Xiong, Selina Jin, Shaobo Ouyang, K. Ivan Gothner and Edward Pazdro
- Aladdin Capital Management LLC and Aladdin Capital LLC and Joseph A. Schlim (3-15134, 3-15135)
- Alexander Rekeda; Xavier Capdepon and Gwen Snorteland; and Delaware Asset Advisers and Wei (Alex) Wei (3-14952, 3-14953, 3-14954)
- Alliance Capital Management, L.P. (3-11359)
- John D. Carifa (3-11915)
- Michael J. Laughlin (3-11916)
- Gerald T. Malone (3-11914)
- Ameriprise Financial Services, Inc. (formerly American Express Financial Advisors Inc.) (3-12115)
- Ameriprise Financial, Inc. (formerly American Express Financial Corporation) (3-12114)
- Angelo Mozilo, David Sambol and Eric Sieracki (former executives of Countrywide Financial Corporation)
- Yale I. Asbell (3-16163)
- B
- Banc de Binary Ltd
- Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC (3-11818)
- Bank of America, N.A., Banc of America Mortgage Securities, Inc., and Merrill Lynch, Pierce, Fenner &Smith;, Inc. f/k/a Banc of America Securities LLC
- Bankrate, Inc. (3-16786)
- Bear, Stearns & Co., and Bear, Stearns Securities Corp. (3-12238)
- Howard Brett Berger and Michelle Berger
- Bernard L. Madoff Investment Securities LLC
- BNY Mellon Securities LLC (3-14191)
- Mark Shaw (3-14192)
- BP P.L.C.
- Burrill Capital Management, LLC; G. Steven Burrill, CPA; Victor A. Hebert, Esq.; and Helena C. Sen, CPA (3-17186)
- C
- Canadian Imperial Holdings Inc. and CIBC World Markets Corp. (3-11987)
- John D. Carifa (3-11915)
- Cardinal Health, Inc.
- Cavanagh et al. (Electro-Optical Systems Corporation)
- Centaur Management Co. LLC (3-14950)
- Charles Schwab Investment Management, et al.
- Charles L. Rizzo and Gina M. Hornbogen (3-14641)
- CIHC, Inc., Conseco Services, LLC, and Conseco Equity Sales, Inc. (3-11578)
- CKB168 Holdings Ltd.
- Columbia Management Advisors, Inc. and Columbia Funds Distributor, Inc. (3-11814)
- Computer Sciences Corp. et al. (3-16575)
- Cornerstone Capital and Laura Jean Kent (3-13199)
- Anthony Coronati and Bidtoask LLC (3-16203)
- Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.), Credit Suisse Asset Management, LLC, and Samir H. Bhatt (3-14594)
- Credit Suisse Securities (USA) LLC, DLJ Mortgage Capital, Inc., Credit Suisse First Boston Mortgage Acceptance Corp., Credit Suisse First Boston Mortgage Securities Corp., and Asset Backed Securities Corporation (3-15098)
- CR Intrinsic Investors, LLC, et al.
- D
- Dell Inc. et al.
- E - F
- EnviraTrends, Inc. and Russell F. Haraburda
- Evergreen Investment Management Company, LLC, Evergreen Investment Services, Inc., Evergreen Service Company, LLC, and Wachovia Securities, LLC (3-12805)
- Fidelity National Capital Investors, Inc. (3-11514)
- Charles W. Crouse and Norman R. Hess (3-11515)
- Fifth Third Bancorp and Daniel Poston (3-15635)
- Folger Nolan Fleming Douglas Capital Management, Inc., Neil C. Folger and David M. Brown (3-12737)
- George B. Franz III and Ruby Corporation (3-15526)
- Franco et al. (Nalco Chemical Company)
- Fred Alger Management, Inc. and Fred Alger & Company Incorporated (3-12540)
- FTC Capital Markets, Inc.
- G - H
- GLG Partners, Inc. and GLG Partners, L.P. (3-15641)
- GMB Capital Management LLC; GMB Capital Partners LLC; Gabriel Bitran and Marco Bitran (3-14854)
- Golden State Equity Investors, Inc. (Grifco International, Inc.)
- G-Trade Services LLC, Convergex Global Markets Limited, and Convergex Execution Solutions LLC (3-15654)
- Haidar Capital Management, LLC, Haidar Capital Advisors, LLC, and Said N. Haidar (3-12678)
- Hazem Khalid Al-Braikan, KIPCO Asset Management Company, and Al-Raya Investment Company
- Health Enhancement Products, Inc., Howard R. Baer and Kevin C. Baer
- Homestore, Inc.
- Huntington Bancshares, Inc., Thomas E. Hoaglin, Michael J. McMennamin, and John Van Fleet, CPA (3-11940)
- Ronald E. Huxtable II (3-15748)
- I - J
- JCS Enterprises, Inc.
- Joseph Contini, D/B/A Personal Portfolio Watch
- Joseph F. "Chip" Skowron III, et al. - Human Genome Sciences, Inc
- JPMorgan Chase & Co. (3-15507)
- J.P. Morgan Securities LLC, EMC Mortgage, LLC, Bear Stearns Asset Backed Securities I, LLC, Structured Asset Mortgage Investments II, Inc., SACO I, Inc., and J.P. Morgan Acceptance Corporation I
- JP Turner & Company, LLC, and William L. Mello (3-15014)
- K - L
- Vineet Kalucha, George Palathinkal, and Aphelion Fund Management, LLC
- Linkbrokers Derivatives LLC (3-16017)
- Gregg C. Lorenzo, Francis V. Lorenzo, and Charles Vista, LLC (3-15211)
- M
- Macquarie Capital (USA), Inc., Aaron Black, and William Fang (Puda Coal, Inc.)
- Gerald T. Malone (3-11914)
- Massachusetts Financial Services Co., John W. Ballen, and Kevin R. Parke (3-11393)
- Michael P. Zenger
- Millennium Partners, L.P., Millennium Management, L.L.C., Millennium International Management, L.L.C., Israel Englander, Terence Feeney, Fred Stone, and Kovan Pillai; and Steven B. Markovitz (3-12116 and 3-11292)
- MMR Investment Bankers, LLC (d/b/a MMR, INC.), William G. Martin, Jr., Eugene R. Rankin, John A. Hubert, and Aaron D. Fimreite (3-14163)
- Morgan Asset Management, Inc.; Morgan Keegan & Company, Inc.; James C. Kelsoe, Jr.; and Joseph Thompson Weller, CPA (3-13847)
- Murdoch Security & Investigations, Inc., Robert Goldstein, and William Vassell
- Myron Weiner
- Nortel Networks Corporation
- North East Capital, LLC and Anthony T. Vicidomine (3-15429)
- Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc. (3-14909)
- Oxford Investment Partners, LLC and Walter J. Clarke (3-14899)
- P - Q
- Packetport.com, Inc., Ronald Durando, Microphase Corp., Robert H. Jaffe, Gustave Dotoli, M. Christopher Agarwal, and Theodore Kunzog (3-12868)
- PA Fund Management LLC f/k/a PIMCO Advisors Fund Management LLC, PEA Capital LLC f/k/a PIMCO Equity Advisors LLC, and PA Distributors LLC f/k/a PIMCO Advisors Distributors LLC (3-11645)
- Peter Kuperman and QED Benchmark Management, L.L.C.
- Prudential Equity Group, LLC f/k/a Prudential Securities Inc. (3-12400)
- R
- RBS Securities Inc.
- Robert J. Vitale and Realty Acquisitions and Trust, Inc.
- Rockford Funding Group, et. al.
- S
- Sandra Dyche (3-16398)
- Sarkauskas and Associates, Inc. and James M. Sarkauskas (3-15471)
- J. Michael Scarborough and Royal Alliance Associates, Inc. (3-11538)
- Smith Barney Fund Management LLC and Citigroup Global Markets, Inc. (3-11935)
- Southwest Securities, Inc., Daniel R. Leland, Kerry M. Rigdon and Kevin J. Marsh (3-11793)
- Strong Capital Management, Inc., Strong Investor Services, Inc., Strong Investments, Inc., Richard S. Strong, Thomas A. Hooker, Jr. and Anthony J. D'Amato (3-11498)
- Stefan H. Benger, SHB Capital, Inc., Jason B. Meyers, International Capital Financial Resources, LLC, Philip T. Powers, Handler, Thayer & Duggan, LLC, Frank I. Reinschreiber, and Global Financial Management, LLC, CTA Worldwide Services, SA, and Stephan Von Hase
- Success Trade Inc et al. (3-16755)
- Keith MacDonald Summers (3-16014)
- T
- Take-Two Interactive Software, Inc.
- Tavella, et al. (Biozoom, Inc.)
- Thomas Fisher, Kathleen Halloran, George Behrens (Nicor, Inc.)
- Travis E. Correll, individually and doing business as Horizon Establishment, et al.
- Tyco International Ltd.
- U - V
- UBS Financial Services Inc. of Puerto Rico (3-14863)
- UBS Financial Services Inc. of Puerto Rico (3-16846).
- Value Line, Inc., Value Line Securities, Inc., Jean Bernhard Buttner, and David Henigson (3-13675)
- VCAP Securities, LLC, and Brett Thomas Graham (3-16389)
- W
- Waddell & Reed, Inc., Waddell & Reed Investment Management Company, and Waddell & Reed Services Company (3-12372)
- Watermark Financial Services Group, Inc., et al.
- Wellco Energy L.L.C., Justin William Rifkin, Patrick V. Looper, Richard G. Pacheco, and Dustin D. White
- William B. Fretz, Jr., John P. Freeman, Covenant Capital Management Partners, L.P., and Covenant Partners, L.P. (3-16829)