October 7, 2010 Comments (1) Blog, Securities Fraud

S.E.C. Investors Claims Funds

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 https://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.

12daily Pro

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

HealthSouth Corporation

Heartland Financial Services, Inc.

Heyman International

Homestore, Inc.

Horizon Establishment

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.

Megafund Corporation

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.

NexstarCommunications, LLC

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.

Xerox Corporation

Zurich Financial Services

Leave a Reply

Your email address will not be published.

This site uses Akismet to reduce spam. Learn how your comment data is processed.