(Last Updated On: July 17, 2015)
The Securities and Exchange Commission’s division of enforcement investigates numerous securities related claims throughout the country. In many cases when a fraud is discovered, the S.E.C. appoints a Receiver, Disbursement Agent, or Claims Administrator to recover funds and distribute them to investors according to an approved plan.
Although the best way to recover investment losses is often by filing a claim against the broker-dealer or financial professional that recommended the fraudulent investment, these investor claims funds can also be a good resource for attempting to recover your investment losses.
An alphabetical listing of the S.E.C.’s current investor claims funds is below.
If you would like to speak to an attorney about your investment losses, call The White Law Group at 312-238-9650 for a free consultation.
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. With over 30 years of securities law experience, including experience working at FINRA (f/k/a the NASD) and the SEC, The White Law Group has the expertise to help investors defrauded in securities, investment and financial business transactions.
For more information on the firm, visit http://www.whitesecuritieslaw.com.
For more information on the investors claims funds currently set up by the S.E.C, visit sec.gov.
Here is an alphabetical listing of the current investor claims funds set up by the S.E.C.
4NExchange, LLC, Paul R. Grant and Ronald Bassett
ABC Viaticals, et al.
Acorn Capital Management
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 Integrity Financial Co.
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
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
BBC Equities, LLC and Bravata Financial Group, Inc. et al.
Beacon Hill Asset Management, et al.
Bear, Stearns & Co., Inc. and Bear, Stearns Securities Corp.
Ben-Wal Leasing, Ben-Wal Management, and Jerry E. Benson
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
Bio-Heal Laboratories, Inc., et al.
Bottom Line of South Florida, Inc., Andres L. Pimstein, 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
Cardinal Health, Inc.
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
ConAgra Foods, Inc., et al.
Creative Capital Consortium, LLC, et al.
Credit Bancorp, Ltd.
Credit First Fund, LP, David R. Lund, et al.
CRW Management, L.P. et al.
Currency Trading International, Inc., et al.
David M. Mobley/Maricopa Investment Fund, Ltd.
David Tanner d/b/a/ Capital Enhancement Club, et al.
Dean Foods – Michael J. McCloskey, et al.
Diversified Lending Group, Inc., et al.
Donald Anthony Walker Young, 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.
Edward T. Stein, et al.
Elfindepan S.A., et al
Emvest Mortgage Fund, LLC, Emvest, Inc., and Milon Lyle Brock
Enterprise Trust Company, et al.
Excel Lease Fund, Inc.
Federal Employee Benefits Group, Inc. (FEBG)
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.
Frank D. Gruttadauria et al.
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.
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
Gerson Asset Management
Giant Operating, LLC and George Wesley Harris et al.
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 M. Nicholson et al.
James P. Lewis, Jr., Financial Advisory Consultants, et al.
James R. Harrold, et al.
Janus Capital Management LLC
Jeffrey Fishman and Medemil LLC
John Wayne Zidar et al.
Jon W. James, J.W. James & Associates, et al.
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.L. Group, LLC, et al.
Kenneth Roy Weare, also known as Roy Weaver, J&K Global Marketing Corporation, and AAA-Auction.com, Inc.
Kenneth Wayne McLeod
Knight Securities L.P.
KS Advisors, et al.
K.W. Brown and Company, Kenneth Brown, et al.
Le Club Prive S.A.
Learn Waterhouse, Inc. et al.
Lincoln Funds International, Inc.
Lotus Development Corporation
Madoff, Bernard L.
MAK 1 Group Enterprises, LLC
Massachusetts Financial Services Co., John W. Ballen, and Kevin R. Parke
Matthew John Ryan and Prime Rate and Return, LLC, individually and doing business as American Integrity Financial Co.
Medemil LLC et al.
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. McCloskey, et al. (Dean Foods)
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.
Mobile Billboards of America, Inc., et al.
Mutual Benefits Corp., et al.
MX Factors, LLC 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
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
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.
Par Three Financial Group, Inc. and Melvin D. Ruth
Paul D. Poetter, et al.
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.
Provident Royalties, LLC et al.
Prudential Equity Group, LLC, formerly known as Prudential Securities Inc.
Putnam Investment Management LLC
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
Robert Louis Carver, Robert Louis Carver II, James Lowell DeMers, Lincoln Funds International, Inc., and Paropes Corporation f/k/a Brookstone Capital, Inc.
Robert Allen Stanford, Stanford International Bank, Stanford Group Company and Stanford Capital Management
Royal Dutch Petroleum Company and The “Shell” Transport and Trading Company
RS Investments Management, Inc. et al.
Safevest, LLC, et al.
Sebastian International Enterprises, Inc.
Secure Investment Services, Inc. et al.
Sherbourne Capital Management, Ltd., et al.
Southern Financial Group, Inc.
Spear & Jackson, Inc.
Stanford International Bank, et al.
Steve Madden Ltd.
Striker Petroleum, LLC, Mark Roberts and Christopher Pippin
Strong Capital Management, et al.
Success Trust and Holding LLC
Sun Empire, LLC, et al. and Sun Group, et al.
Sunwest Management, Inc., et al.
Superior Opportunities, Inc.
Systems of Excellence and Charles O. Huttoe
Take-Two Interactive Software, Inc.
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.
Trevor G. Cook, Patrick (Pat) Kiley, et al.
Tri Energy et al.
Tuco Trading, LLC.
Universal Brokerage FX
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.
WG Trading Investors, L.P., et al.
W.L. Ware Enterprises and Investments, Inc. and Warren L. Ware
Waddell & Reed, Inc.
Warren Energy, Inc.
Wealth Pools International, Inc.
Wellington Bank and Trust, Ltd. et al.
Wellness Universe, et al.
Westgate Capital Management and James Nicholson.
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.
Zurich Financial Services