Distributions to Harmed Investors
June 7, 2021
This page contains information 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 SEC staff, and in other cases, a 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 matters where a Receiver distributes funds. 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
Search Cases:
- 7S Oil and Gas, LLC and William Alexander Sewell
- Abatement Corp. Holding Company Limited
- Abhi Batra
- 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.
- Advanced Emissions Systems, Inc.
- Mark McKinnies
- 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.
- Alexander S. Gould
- Allianz Global Investors U.S. LLC
- Alternate Energy Holdings, Inc., Donald L. Gillispie, and Jennifer Ransom
- Ameriprise Financial, Inc. (formerly American Express Financial Corporation)
- Ameritrust
- Anastasios P. “Tommy” Belesis
- Andeavor LLC
- Angelo Mozilo, David Sambol and Eric Sieracki (former executives of Countrywide Financial Corporation)
- Ann M. Vick
- Anne M. Pember, Casper Sabatino, Kevin T. Kearney, and Cosmo Corigliano
- Anthony Coronati and Bidtoask LLC
- Aon Investments USA Inc., fka Aon Hewitt Investment Consulting, Inc.
- Apollo Management V, L.P.; Apollo Management VI, L.P.; Apollo Management VII, L.P.; and Apollo Commodities Management, L.P.
- AR Capital, LLC, Nicholas S. Schorsch, and Brian S. Block
- Arista Power, Inc., Peter Kolokouris, William A. Schmitz, Michael T. Hughes, and the Kolokouris Family Traders
- Ascenergy LLC and Joseph Gabaldon
- Augustine Capital Management, LLC (f/k/a Augustine Capital Management, Inc.), John T. Porter, and Thomas F. Duszynski, CPA
- Austal Limited and Austal USA, LLC
- AVEO Pharmaceuticals, Inc., Tuan Ha-Ngoc, David Johnston, and William Slichenmyer
- Scott Eugene Bachman
- Back to Green Mining LLC, et al.
- 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
- Bankrate, Inc.
- Hyunjin Lerner
- Edward DiMaria and Matthew Gamsey
- Barclays PLC and Barclays Bank PLC
- Baxter International, Inc.
- Jeffrey Schaible
- Scott Bohaboy
- Bayerische Motoren Werke Aktiengesellschaft, BMW of North America LLC, and BMW US Capital LLC
- Bernard L. Madoff Investment Securities LLC
- BitClave PTE Ltd.
- BKS Advisors, LLC and Robert T. Denha
- BioChemics, Inc., John J. Masiz, Craig Medoff and Gregory S. Kroning
- Blackbird Capital Partners, LLC, Andrew D. Kelley, and Paul H. Shumway
- Blockchain Credit Partners d/b/a DeFi Money Market, Gregory Keough, and Derek Acree
- BlueCrest Capital Management Limited
- The Boeing Company and Dennis Muilenburg
- Brooge Energy Limited, Nicolaas Lammert Paardenkooper, and Lina Saheb
- BP P.L.C.
- Brantley Capital Management, LLC, Robert Pinkas, and Tab Keplinger
- Broadwind Energy, Inc., J. Cameron Drecoll, and Stephanie K. Kushner
- Bruce D. Strebinger and Brent Howard Chapman
- Neil Burkholz, Frank Bianco, Palm Financial Management, LLC, and Shore Management Systems, LLC
- Christopher W. Burns, Investus Advisers LLC d/b/a Dynamic Money LLC, Investus Financial LLC, and Peer Connect LLC
- Calvert Investment Distributors, Inc. and Calvert Investment Management, Inc.
- Calvert Investment Management, Inc.
- Centaur Management Co. LLC
- Centaurus Financial, Inc., Ricky A Mantei, and Atul Makharia
- Cetera Advisors LLC and Cetera Advisor Networks 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
- Charles W. Crouse and Norman R. Hess
- Chatham Asset Management, LLC, et al.
- 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.
- Morgan Stanley Smith Barney LLC
- 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
- Claire P. Shaughnessy
- 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.
- Compass Mineral International, Inc
- Computer Sciences Corporation, Michael Laphen, Michael Wayne Banks, Claus Zilmer, and Paul Wakefield
- Comscore, Inc. and Serge Matta
- Cool Holdings Inc.
- Covia Holdings Corp. and Fairmount Santrol Holdings, Inc. now known as Bison Merger Sub I, LLC
- 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 H. Glick and Financial Management Strategies, Inc.
- Daniel Investments Associates, LLC and Gregory D. Van Wyk
- Daniel Rivera, Matthew Rivera, and Robbins Lane Properties Inc.
- Danske Bank A/S
- David F. Bandimere
- David S. Haddad, Trafalgar Square Risk Management, LLC, and New England RE, LLC
- David Taylor
- Dell Inc., Michael S. Dell, Kevin B. Rollins, James Schneider, Leslie L. Jackson, and Nicholas A.R. Dunning
- Delphi Corporation
- 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.
- DFRF Enterprises LLC, DFRF Enterprises, LLC, Daniel Fernandes Rojo Filho, Wanderley Dalman, Gaspar C. Jesus, Eduardo N. Da Silva, Heriberto C. Perez Valdes, Jeffrey A. Feldman, Romildo Da Cunha
- Diamond Foods, Inc.
- In the Matter of Michael Mendes
- Steven Neil
- Dike Boone Nerren
- Donald S. LaGuardia and L-R Managers
- Eagle Bancorp, Inc.
- Energy & Environmental Investments, LLC; Energy & Environment, Inc.; Amir A. Sardari; and Narysa Sardari Luddy
- EnviraTrends, Inc. and Russell F. Haraburda
- Emil Botvinnik
- Equinox Fund Management, LLC
- Eric J. Aronson, Vincent J. Buonauro, Jr., Robert S. Kondratick, Frederic H. Aaron, PermaPave Industries, LLC, PermaPave USA Corp., PermaPave Distributions, Inc., Permeable Solutions, Inc., Verigreen, LLC, and Interlink-US-Network, Ltd.
- Eric D. Lyons, Synchrony Capital GP, LLC, Synchrony Group, LLC, and Synchrony Capital Group
- Ethiopian Electric Power
- Evoqua Water Technologies Corp
- Exelon Corporation and Commonwealth Edison Company
- EZTD Inc.
- Facebook, Inc.
- FCA US LLC and Fiat Chrysler Automobiles N.V.
- Federal Home Loan Mortgage Corporation, David W. Glenn, Vaughn A. Clarke, Robert C. Dean, and Nazir G. Dossani
- Fiat Chrysler
- Fidelity National Capital Investors, Inc.
- Fieldman Rolapp & Associates, Inc., and Anna Sarabian
- 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
- Fluor Corporation
- Focus Media Holding Limited and Jason Jiang
- Fortius Financial Advisors, LLC, Jeff M. Bollinger, and Gary E. Oliver
- Fortress Investment Management, LLC and William M. Malloy, III
- Foundations Asset Management, LLC, Michael W. Shamburger, and Rob E. Wedel
- Frontier Wealth Management, LLC and Shawn Sokolosky
- Garrett M. O'Rourke and Michael J. Black
- Gary R. Marks (Sky Bell Asset Management, Inc.)
- Geluk Capital Management Ltd and Douglas Gerald Fathers
- Gemini Fund Services, LLC
- General Electric Company
- 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.)
- Gregg C. Lorenzo, Francis V. Lorenzo, and Charles Vista, LLC
- GreneCo, LLC, Gene D. Larson, Gregory K. Womack, and Womack Investment Advisers, Inc.
- G-Trade Services LLC, ConvergEx Global Markets, and ConvergEx Execution Solutions LLC
- Jonathan Samuel Daspin
- Thomas Lekargeren
- Craig S. Lax
- Khaled “Kal” Bassily
- GTV Media Group, Inc., Saraca Media Group, Inc., and Voice of Guo Media, Inc.
- Haidar Capital Management, LLC, Haidar Capital Advisors, LLC, and Said N. Haidar
- Haligiannis, Angelo; Sterling Watters Group LP; Sterling Watters Capital Advisors, LLC; and Sterling Watters Capital Management, Inc.
- Harrison Katzen
- Hazem Khalid Al-Braikan, KIPCO Asset Management Company, and Al-Raya Investment Company
- HCR Wealth Advisors
- Health Enhancement Products, Inc., Howard R. Baer and Kevin C. Baer
- Health Insurance Innovations, Inc., now named Benefytt Technologies, Inc., and Gavin D. Southwell
- Henry Ford f/k/a Cleothus Lefty Jackson and Fallcatcher, Inc.
- Hidalgo Mining Corp., John W. Boyer, and Joshua F. McAlees
- Hologram USA Networks, Inc. and Alkiviades David
- Homeland Safety International, Inc. f/k/a Sniffex, Inc., Mark B. Lindberg, Petar D. Mihaylov, Yuri P. Markov, Paul B. Johnson, Nicholas V. Klausgaard, and Ilona V. Klausgaard
- Homes Inc., HomesInc Renaissance, LLC, Christopher A. Faulkner, Matthew Rapoport, and Earl Nelson Davenport
- 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
- Howard Richards
- James Goodland and Securus Wealth Management, LLC
- Huakang Zhou (a/k/a David Zhou) and Warner Technology and Investment Corporation
- Hyzon Motors, Inc.
- ICP Asset Management, LLC, Thomas Priore, ICP Securities, LLC and Institutional Credit Partners, LLC
- IFP Advisors, LLC and Richard Keith Robertson
- Impact Theory 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
- Jay Daniel Seinfeld, Sara Beth Postma, Traditions Capital Management LLC, and Hospice Patient Aid Program Inc.
- Jeffrey O. Friedland, Global Corporate Strategies, LLC, and Intivia Pharma LLC
- Jeremy A. Licht d/b/a JL Capital Management
- John Babikian
- John Robert Jones, Jr.
- Joseph S. Forte and Joseph Forte, L.P.
- 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
- Kahn Brothers Advisors, LLC and Thomas Kahn
- Kaplan, David, Esq., et al.
- Keith MacDonald Summers
- Kik Interactive Inc.
- KM Advisory Services (Kathryn Jane Meredith, d/b/a KM Advisory Services, and John Paul Harnish, d/b/a KM Advisory Services)
- The Kraft Heinz Co. and Eduardo Pelleissone
- K&L International Enterprises, Inc., Signature Leisure, Inc., Signature Worldwide Advisors, LLC, Stephen W. Carnes, Lawrence A. Powalisz, Enzyme Environmental Solutions, Inc. and Jared E. Hochstedler
- Laurence I. Balter d/b/a Oracle Investment Research
- Legacy Hospitality II, LLC, Legendary Capital REIT III, LLC, and Corey R. Maple
- Leonardo Cornide and Jorge Falcon
- Linkbrokers Derivatives LLC
- Aaron Nowak
- Logitech International, S.A., Michael Doktorczyk, and Sherralyn Bolles, CPA
- Erik Bardman and Jennifer Wolf
- Longfin Corp., Venkata S. Meenavalli, Amro Izzelden Altahwi a/k/a Andy Altahawi, Suresh Tammineedi, and Dorababu Penumarthi
- Louis Capital Markets, LP
- Luca International Group, LLC; LucaResources Group, LLC; Luca Energy Fund, LLC; Entholpy EMC, Inc.; Bingqing Yang; Lei (Lily) Lei; Anthony V. Pollace; and Yong (Michael) Chen
- Wisteria Global, Inc. and Hiroshi Fujigami
- Luis Chang and Everbright Development Overseas Limited (Allied Nevada Gold Corporation)
- Lynette M. Robbins and Knowles Systems, Inc.
- Macquarie Capital (USA), Inc., Aaron Black, and William Fang (Puda Coal, Inc.)
- MagnaChip Semiconductor Corporation and Margaret Hye-Ryoung Sakai, CPA
- Mancera, S.C., Alejandro Valdez Mendoza, C.P., and Angel Radames Corral Nieblas, C.P.
- Maxwell Technologies, Inc., Van M. Andrews, David J. Schramm, and James W. DeWitt, Jr., CPA
- Marshall G. Eichenauer, Jr. and Sagent Wealth Management, LLC
- McDermott Investment Advisors, LLC, Dean Patrick McDermott, and McDermott Investment Services
- 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
- MiddleCove Capital, LLC, and Noah L. Myers
- Miller Energy Resources, Inc., Paul W. Boyd, CPA, David M. Hall, and Carlton W. Vogt, III, CPA
- 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
- Momentus, Inc., Stable Road Acquisition Corp., SRC-NI Holdings, LLC, and Brian Kabot
- Moravec, Matthew
- Morgan Stanley and Co. LLC, Morgan Stanley ABS Capital I Inc., and Morgan Stanley Mortgage Capital Holdings LLC
- Morgan Stanley & Co LLC
- Pawan Kumar Passi
- Morgan Stanley Smith Barney LLC (3-19793)
- MRI International, Inc. and Edwin Yoshihiro Fujinaga
- Murdoch Security & Investigations, Inc., Robert Goldstein, and William Vassell
- MVP Manager LLC
- Mylan N.V.
- Myron Weiner
- Navis Ventures LLC and Vassilios Trikantzopoulos
- Navistar International Corporation
- Newell Brands Inc. and Michael B. Polk
- Nikola Corporation
- Nortel Networks Corporation
- North East Capital, LLC and Anthony T. Vicidomine
- Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc.
- Oxford Investment Partners, LLC and Walter J. Clarke
- Packerland Brokerage Services, Inc. and Atlas Capital Management Corp.
- Palm House Hotel, LLLP, South Atlantic Regional Center, LLC, Joseph J. Walsh, Sr., and Robert V. Matthews
- Paragon Coin, Inc.
- 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 N. Brant
- Peter R. Kohli, DMS Advisors, Inc., and Marshad Capital Group, Inc.
- Petróleo Brasileiro S.A. – Petrobras
- PHX Financial, Inc.
- Pinnacle Investments, LLC
- Platinum Equity Advisors, LLC
- PlexCorps, Dominic LaCroix, and Sabrina Paradis-Royer
- Poloniex, LLC
- PreIPO Corp
- Prime Group Holdings, LLC
- Quantstamp, Inc.
- Raymond Allan Fine
- 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
- Reliance Financial Advisors, LLC and Walter F. Grenda, Jr.
- Renew Spinal Care, Inc., Laserscopic Medical Clinic, LLC, Joe Samuel Bailey, Barry Edward Mitchell, Laurence Grossnickle, and Charles Clement Goubert, Jr.
- Resolute Capital Partners LTD, LLC, Homebound Resources, LLC, Thomas J. Powell, and Stefan T. Toth
- Robert D. Falor
- Robert J. Vitale and Realty Acquisitions and Trust, Inc.
- Robinhood Financial, LLC
- Ronald E. Walblay, Ryholland Fielder, Inc., and Energy Securities, Inc.
- Ronald Feldstein
- Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr.
- Salomon Whitney LLC
- Satyam Computer Services d/b/a Mahindra Satyam
- Scott A. Doak
- Scott T. Wolfrum (Foundry Capital Group)
- SeaWorld Entertainment, Inc. and James Atchison
- Frederick D. Jacobs
- Securities America Advisors, Inc.
- Securities America Advisors, Inc. (3-20381)
- ShipChain, Inc.
- SICA Wealth Management, LLC and Jeffrey C. Sica
- Signator Investors, Inc. and Gregory J. Mitchell
- - Cory D. Williams
- - Colonial Tidewater Realty Income Partners, LLC, James R. Glover, and Sherman T. Hill
- Six Financial Information USA Inc.
- S&P Dow Jones Indices LLC
- Sparkster, Ltd. And Sajjad Daya
- 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
- Steven F. Muntin
- Stiefel Laboratories Inc. and Charles W. Stiefel
- Stifel, Nicolaus & Co., Inc. and David W. Noack (Wisconsin School District)
- Stoner Cats 2, LLC
- Strong Capital Management, Inc., Strong Investor Services, Inc., Strong Investments, Inc., Richard S. Strong, Thomas A. Hooker, Jr. and Anthony J. D'Amato
- Summit Planning Group, Inc and Richard Urciuoli
- Super Micro Computer, Inc.
- Howard Hideshima
- Surgalign Holdings, Inc. and Robert P. Jordheim
- Swapnil J. Rege, Swapstar Capital, LLC, and Reema Rege
- Synchronoss Technologies, Inc.
- Terraform Labs PTE, Ltd. and Do Hyeong Kwon
- Tesla, Inc.
- Elon Musk
- Theorem Fund Services, LLC
- Thomas Fisher, Kathleen Halloran, George Behrens (Nicor, Inc.)
- Thomas Gity, Sr., Thomas Gity, Jr., and Treasury Coast Property Enterprises, LLC
- Thor Technologies Inc.
- TPG Capital Advisors, LLC
- Train, Babcock Advisors LLC
- Trinity Capital Corporation
- William C. Enloe
- Tavella, et al. (Biozoom, Inc.)
- Tyson Williams
- Unikrn, Inc.
- United American Ventures, LLC, Philip Lee David Jack Thomas, Eric J. Hollowell, Matthew A. Dies, Integra Investment Group, LLC, and Anthony J. Oliva
- United Development Funding III, LP, United Development Funding IV, Hollis M. Greenlaw, Benjamin L. Wissink, Theodore F. Etter, Cara D. Obert, and David A. Hanson
- United Rentals, Inc., - Michael J. Nolan, Joseph F. Apuzzo, John N. Milne, and Terex Corporation
- Valeant Pharmaceuticals International, Inc.
- Vereit, Inc.
- Veros Partners, Inc., Matthew D. Haab, Jeffrey B. Risinger, Veros Farm Loan Holding LLC, Tobin J. Senefeld, Farm Growcap LLC, and Pincap LLC
- Visium Asset Management, LP
- Vitesse Semiconductor Corporation, Louis R. Tomasetta, Eugene F. Hovanec, Yatin D. Mody and Nicole R. Kaplan
- Volkswagen Aktiengesellschaft
- 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, CPA
- Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA
- Wellcare Health Plans, Inc.
- Todd Farha, Paul Behrens, and Thaddeus Bereday
- Wells Fargo & Company
- Weston Capital Asset Management LLC, Albert Hallac, and Keith Wellner
- Westport Capital Markets, LLC and Christopher E. McClure
- William B. Fretz, Jr., John P. Freeman, Covenant Capital Management Partners, L.P., and Covenant Partners, L.P.
- William J. Bowser, Christopher J. Ashby, Scott W. Beynon, and Jordan S. Nelson
- William D. King, CPA
- William R. Schantz, III and Verto Capital Management LLC
- Wilmington Trust Corporation
- Wireline, Inc.
- Wisteria Global, Inc. and Hiroshi Fujigami
Last Reviewed or Updated: June 7, 2021