Information for Harmed Investors
Please note this list does not include distributions handled by a Receiver. For information regarding those distributions, visit the Receiverships page.
- 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
- 7S Oil and Gas, LLC and William Alexander Sewell
- Abatement Corp. Holding Company Limited
- A.C.L.N., Ltd., Abderrazak "Aldo" Labiad, Joseph J.H. Bisschops, Alex de Ridder, BDO International (Cyprus), Minas Ioannou, Christakis Ioannou, Emerald Sea Marine, Inc., Pearlrose Holdings International, S.A., and Scott Investments S.A.
- Aegon USA Investment Management, LLC, Transamerica Asset Management, Inc., Transamerica Capital Inc., and Transamerica Financial Advisors, Inc.
- AgFeed Industries, Inc., Songyan Li, Junhong Xiong, Selina Jin, Shaobo Ouyang, K. Ivan Gothner and Edward Pazdro
- AIC, Inc., Community Bankers Securities, LLC, Nicholas D. Skaltsounis, John B. Guyette and John R. Graves
- Aimsi Technologies, Inc., Reginald Hall, Harris Dempsey "Butch" Ballow, Everett Bassie, Winfried Fields and Bruce Charles Pollock
- Alexander Capital, L.P.
- Alternate Energy Holdings, Inc., Donald L. Gillispie, and Jennifer Ransom
- Ameriprise Financial, Inc. (formerly American Express Financial Corporation)
- Anastasios P. “Tommy” Belesis
- Angelo Haligiannis, Sterling Watters Group LP, Sterling Watters Capital Advisors, LLC and Sterling Watters Capital Management, Inc.
- Angelo Mozilo, David Sambol and Eric Sieracki (former executives of Countrywide Financial Corporation)
- Anne M. Pember, Casper Sabatino, Kevin T. Kearney, and Cosmo Corigliano
- Anthony Coronati and Bidtoask LLC
- Apex Fund Services (US), Inc.
- Apollo Management V, L.P.; Apollo Management VI, L.P.; Apollo Management VII, L.P.; and Apollo Commodities Management, L.P.
- Ascenergy LLC and Joseph Gabaldon
- Augustine Capital Management, LLC (f/k/a Augustine Capital Management, Inc.), John T. Porter, and Thomas F. Duszynski, CPA
- AVEO Pharmaceuticals, Inc., Tuan Ha-Ngoc, David Johnston, and William Slichenmyer
- Banc de Binary Ltd
- 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
- Hyunjin Lerner
- Edward DiMaria and Matthew Gamsey
- Barclays Capital Inc.
- Bernard L. Madoff Investment Securities LLC
- Bethany Liou and Golden California Regional Center, LLC
- BKS Advisors, LLC and Robert T. Denha
BNY Mellon Securities LLC
- Mark Shaw
- BP P.L.C.
- Brantley Capital Management, LLC, Robert Pinkas, and Tab Keplinger
- Bridge Premium Finance, LLC (f/k/a Berjac of Colorado, LLC), Michael J. Turnock, William P. Sullivan, II
- Bruce D. Strebinger and Brent Howard Chapman
- Calvert Investment Distributors, Inc. and Calvert Investment Management, Inc.
- Calvert Investment Management, Inc.
- Canadian Imperial Holdings Inc. and CIBC World Markets Corp.
- Centaur Management Co. LLC
- Charles C. Slowey, Jr., Endeavor Partners, LLC, Endeavor Capital Management Group, LLC, Edward D. Puttick, Sr., Advanced Planning Securities, Inc., Gregory L. Oldham, Glenn R. Harris, and Oldham Harris, Inc.
- Charles L. Rizzo and Gina M. Hornbogen
- The Children’s Internet, Inc., Nasser Hamedani, Sholeh Hamedani, Two Dog Net, Inc., Peter Perez, and Cort Poyner
China Energy Savings Technology,
Inc., New Solomon Consultants, Chiu
Wing Chiu, Lai Fun Sim a/k/a Stella
Sim, Sun Li, Jun Tang Zhao
- Lee Chi Ling and Perfect Genius Limited
- In the Matter of Moore Stephens Wurth Frazer & Torbet LLP and K. Dean Yamagata, CPA
- A Chicago Convention Center, LLC, Anshoo R. Sethi, and International Regional Center Trust of Chicago, LLC
- China Voice Holding Corp., David Ronald Allen, William F. Burbank IV, et al.
Christopher Freeman Brogdon
- Marrien Neilson
- BOKF, NA
- Lawson Financial Corporation and Robert Lawson
- John T. Lynch, Jr.
- CIHC, Inc., Conseco Services, LLC, and Conseco Equity Sales, Inc.
- Citigroup Alternative Investments LLC and Citigroup Global Markets Inc.
- Citigroup Global Markets, Inc. (3-17808)
Citigroup Global Markets, Inc.
- Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.), Credit Suisse Asset Management, LLC, and Samir H. Bhatt
- Citigroup Inc.
- CKB168 Holdings Ltd., WIN168 Biz Solutions Ltd., CKB168 Ltd., CKB168 Biz Solution, Inc., Cyber Kids Best Education Ltd, Rayla Melcher Santos, Hung Wai Shern, Rui Ling Leung, Daliang Guo, Yao Lin, Chih Hsuan Lin, Wen Chen Hwang, Toni Tong Chen, Cheongwha Chang, Joan Congyi Ma, and Heidi Mao Liu
- Clayborne Group, LLC and Dean A. Heinemann
- Clovis Oncology, Inc., Patrick J. Mahaffy, and Erle T. Mast
- Coachman Energy Partners LLC and Randall D. Kenworthy
- Collins & Aikman Corporation, David A. Stockman, J. Michael Stepp, Gerald E. Jones, David R. Cosgrove, Elkin B. McCallum, Paul C. Barnaba, John G. Galante, Christopher M. Williams, and Thomas V. Gougherty
- Columbia Management Advisors, Inc. and Columbia Funds Distributor, Inc.
- Computer Sciences Corporation, Michael Laphen, Michael Wayne Banks, Claus Zilmer, and Paul Wakefield
- Cornerstone Capital and Laura Jean Kent
- Covenant Financial Services, LLC and Stephen Shafer
- CR Intrinsic Investors, LLC, Matthew Martoma, and Dr. Sidney Gilman
- Creative Learning Corp., Brain Pappas, Daniel O’Donnell and, Michelle Cote
Credit Suisse Securities (USA) LLC
- Sanford Michael Katz
- 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
- Cristian De Colli
- Daniel Rivera, Matthew Rivera, and Robbins Lane Properties Inc.
- David S. Haddad, Trafalgar Square Risk Management, LLC, and New England RE, LLC
- Dell Inc., Michael S. Dell, Kevin B. Rollins, James Schneider, Leslie L. Jackson, and Nicholas A.R. Dunning
- Dennis S. Herula, Mary Lee Capalbo, Martin D. Fife, Farouk A. Khan, Seaview Development and Holdings, LTD, Michael A. Clarke, Robert M. Wachtel, Johan C. Hertzog, and Charles W. Sullivan
- Derik J. Todd, Madison Capital Energy Income Fund II GP LLC, Big Horn Minerals LLC, Madison Capital Investments LLC, and Madison Royalty Management LLC
- deVere USA, Inc.
Diamond Foods, Inc.
- In the Matter of Michael Mendes
- Steven Neil
- E - F
- EnviraTrends, Inc. and Russell F. Haraburda
- Emanuel L. Sarris, Sr. and Sarris Financial Group, Inc. (Kenzie Funds)
- Equinox Fund Management, LLC
- Estate of Donald Matthew Greth and Brenda B. Melton
- Ethiopian Electric Power
- EZTD Inc.
- FCA US LL and Fiat Chrysler Automobiles N.V.
- Federal Home Loan Mortgage Corporation, David W. Glenn, Vaughn A. Clarke, Robert C. Dean, and Nazir G. Dossani
- Fidelity National Capital Investors, Inc.
- Fieldstone Financial Management Group, LLC and Kristofor R. Behn
- Fifth Street Management, LLC
- Fifth Third Bancorp and Daniel Poston
- Fiore J. Gallucci, Ronald A. Manzo, and Gary B. Taffet
- First Eagle Investment Management, LLC and FEF Distributors, LLC
- Focus Media Holding Limited and Jason Jiang
- Fred Alger Management, Inc. and Fred Alger & Company Incorporated
- G - H
- Gary R. Marks (Sky Bell Asset Management, Inc.)
- Gemini Fund Services, LLC
- Genesis Associates Limited Partnership
- George B. Franz III and Ruby Corporation
- Gianluca Di Nardo, Corralero Holdings, Inc., Oscar Ronzoni, Paolo Busardo, Tatus Corp., and A-Round Investment, SA (DRS Technologies, Inc. and American Power Conversion Corp.)
- GMB Capital Management LLC; GMB Capital Partners LLC; Gabriel Bitran and Marco Bitran
- Gray Financial Group, Inc., Laurence O. Gray, Robert C. Hubbard, IV
- Gregg C. Lorenzo, Francis V. Lorenzo, and Charles Vista, LLC
G-Trade Services LLC, ConvergEx
Global Markets, and ConvergEx
Execution Solutions LLC
- Jonathan Samuel Daspin
- Thomas Lekargeren
- Craig S. Lax
- Khaled “Kal” Bassily
- Haidar Capital Management, LLC, Haidar Capital Advisors, LLC, and Said N. Haidar
- Harbour Investments Inc.
- Harrison Katzen
- Hazem Khalid Al-Braikan, KIPCO Asset Management Company, and Al-Raya Investment Company
- Health Enhancement Products, Inc., Howard R. Baer and Kevin C. Baer
- Hope Advisors, LLC, Karen Bruton, Todd Wortman, and Dawn Roberts
- Houston American Energy Corp., John F. Terwilliger, Undiscovered Equities, Inc., and Kevin T. McKnight
- Howard Brett Berger and Michelle Berger
- James Goodland and Securus Wealth Management, LLC
- Huakang Zhou (a/k/a David Zhou) and Warner Technology and Investment Corporation
- I - J
- ICP Asset Management, LLC, Thomas Priore, ICP Securities, LLC and Institutional Credit Partners, LLC
- Institutional Investors Advisory Company
- Instinet, LLC
- James E. Gansman, Donna B. Murdoch, and Gerald L. Brodsky
- James L. Douglas a/k/a James L. Cooper
- James Michael Murray and Event Trading GP, LLC
- JCS Enterprises, Inc.
- Jeremy A. Licht d/b/a JL Capital Management
- John Babikian
- JPMorgan Chase & Co.
- 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
- Joseph F. "Chip" Skowron III, et al. - Human Genome Sciences, Inc
- K - L
- Keith MacDonald Summers
- Kenneth C. Meissner, James Doug Scott, and Mark S. “Mike” Tomich (Arete, LLC)
- KPMG LLP and John Riordan, CPA
- Laurence I. Balter d/b/a Oracle Investment Research
Linkbrokers Derivatives LLC
- Aaron Nowak
Logitech International, S.A.,
Michael Doktorczyk, and Sherralyn
- Erik Bardman and Jennifer Wolf
- Louis Capital Markets, LP
- Luis Chang and Everbright Development Overseas Limited (Allied Nevada Gold Corporation)
- Macquarie Capital (USA), Inc., Aaron Black, and William Fang (Puda Coal, Inc.)
- MagnaChip Semiconductor Corporation and Margaret Hye-Ryoung Sakai, CPA
- Marcin Malarz, Jacek Sienkiewicz, and Arthur Lin
- Marco Investment Management, LLC and Steven S. Marco
- Maxwell Technologies, Inc., Van M. Andrews, David J. Schramm, and James W. DeWitt, Jr., CPA
- Marshall G. Eichenauer, Jr. and Sagent Wealth Management, LLC
- Mergenet Medical Inc., Bruce Matthew Sher, Shara Anne Hernandez, and Peter Anthony Decicco, Jr.
- Michael A. Bodanza and Preferred Financial Holdings Co., LLC
- Michael P. Zenger
- Michael S. Wilson, CPA and Cotterman-Wilson, CPAs, Inc.; James T. Budden and Alexander W. Budden
- MiddleCove Capital, LLC, and Noah L. Myers
- MMR Investment Bankers, LLC (d/b/a MMR, INC.), William G. Martin, Jr., Eugene R. Rankin, John A. Hubert, and Aaron D. Fimreite
- Momentum Investment Partners LLC (doing business as Avatar Investment Management) and Ronald J. Fernandes
- Morgan Stanley and Co. LLC, Morgan Stanley ABS Capital I Inc., and Morgan Stanley Mortgage Capital Holdings LLC
- Morgan Stanley Smith Barney LLC
- MRI International, Inc. and Edwin Yoshihiro Fujinaga
- Murdoch Security & Investigations, Inc., Robert Goldstein, and William Vassell
- MVP Manager LLC
- Myron Weiner
- Navistar International Corporation
- Nortel Networks Corporation
- North East Capital, LLC and Anthony T. Vicidomine
- Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc.
Orthofix International N.V.
- Jeffrey Hammel, CPA
- Brian McCollum
- Kenneth Mack and Bryan McMillian
- Oxford Investment Partners, LLC and Walter J. Clarke
- P - Q
- Packerland Brokerage Services, Inc. and Atlas Capital Management Corp.
- Pennant Management, Inc.
- Penson Financial Services, Inc., Penson Worldwide, Inc., Philip A. Pendergraft, Kevin W. McAleer, CPA, Thomas R. Johnson, and Charles W. Yancey
- Peter Kuperman and QED Benchmark Management, L.L.C.
- Peter N. Brant
- Peter R. Kohli, DMS Advisors, Inc., and Marshad Capital Group, Inc.
- Petróleo Brasileiro S.A. – Petrobras
- Platinum Equity Advisors, LLC
- PlexCorps, Dominic LaCroix, and Sabrina Paradis-Royer
- Quantek Asset Management, LLC, Bulltick Capital Markets Holdings, LP, Javier Guerra, and Ralph Patino
- RBS Securities Inc.
- Recycle Tech, Inc., Kevin Sepe, Ronny J. Halperin, Ryan Gonzalez, OTC Solutions LLC, Anthony Thompson, Pudong LLC, Jay Fung, and David Rees
- Reginald ("Reggie") Middleton, Veritaseum, Inc., and Veritaseum, LLC
- Robert D. Falor
- Robert J. Vitale and Realty Acquisitions and Trust, Inc.
- Ronald E. Walblay, Ryholland Fielder, Inc., and Energy Securities, Inc.
- Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr.
- Sandra Dyche
- Satyam Computer Services d/b/a Mahindra Satyam
- Scott A. Doak
- Six Financial Information USA Inc.
- 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
- Steve H. Karroum a/k/a Mustapha Karroum and FX & Beyond Corporation
- Stifel, Nicolaus & Co., Inc. and David W. Noack (Wisconsin School District)
- Strong Capital Management, Inc., Strong Investor Services, Inc., Strong Investments, Inc., Richard S. Strong, Thomas A. Hooker, Jr. and Anthony J. D'Amato
- Success Trade, Inc., Success Trade Securities, Inc., and Fuad Ahmed
- Taberna Capital Management, LLC, Michael Fralin, and Raphael Licht
- Thomas Fisher, Kathleen Halloran, George Behrens (Nicor, Inc.)
- Todd Farha, Paul Behrens, and Thaddeus Bereday
- TPG Capital Advisors, LLC
- Train, Babcock Advisors LLC
Trinity Capital Corporation
- William C. Enloe
- Tavella, et al. (Biozoom, Inc.)
- U - V
- UBS Financial Services Inc. of Puerto Rico (3-14863)
UBS Financial Services Inc. of
- Ramiro L. Colon, III
- United American Ventures, LLC, Philip Lee David Jack Thomas, Eric J. Hollowell, Matthew A. Dies, Integra Investment Group, LLC, and Anthony J. Oliva
- United Rentals, Inc., - Michael J. Nolan, Joseph F. Apuzzo, John N. Milne, and Terex Corporation
- Value Line, Inc., Value Line Securities, Inc., Jean Bernhard Buttner, and David Henigson
- VCAP Securities, LLC, and Brett Thomas Graham
- Veros Partners, Inc., Matthew D. Haab, Jeffrey B. Risinger, Veros Farm Loan Holding LLC, Tobin J. Senefeld, Farm Growcap LLC, and Pincap LLC
- Vineet Kalucha, George Palathinkal, and Aphelion Fund Management, LLC
- Visium Asset Management, LP
- Vitesse Semiconductor Corporation, Louis R. Tomasetta, Eugene F. Hovanec, Yatin D. Mody and Nicole R. Kaplan
- Walter Ng, Kelly Ng, Bruce Horwitz, and The Mortgage Fund, LLC
Weatherford International PLC, f/k/a
Weatherford International LTD.,
James Hudgins, CPA, and Darryl Kitay,
- Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA
- Wellco Energy L.L.C., Justin William Rifkin, Patrick V. Looper, Richard G. Pacheco, and Dustin D. White
- Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC and Shawn Patrick McMurtry
- Weston Capital Asset Management LLC, Albert Hallac, and Keith Wellner
- William B. Fretz, Jr., John P. Freeman, Covenant Capital Management Partners, L.P., and Covenant Partners, L.P.
- William R. Schantz, III and Verto Capital Management LLC
- Wisteria Global, Inc. and Hiroshi Fujigami