Archive of Completed Distributions
June 7, 2021
Note: This is a nonexclusive list of archived distributions, and every attempt is made to ensure that the material and information contained herein is accurate and complete at the time of publication. However, technical inaccuracies may occur, and the information contained herein may no longer be current. For more information, contact the Office of Distributions at ENFOfficeofDistributions@sec.gov.
This page contains information for completed distributions.
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
- 12daily Pro
- 4NExchange, LLC, Paul R. Grant and Ronald Bassett
- A.B. Financing Investments, Inc. (ABFI) and Anthony Blissett
- A.S. Goldmen
- Advanced Financial Services, Larry W. Tyler, et al.
- Advanced Technologies Group, Ltd., et al.
- Aegon USA Investment Management, LLC, Transamerica Asset Management, Inc., Transamerica Capital Inc., and Transamerica Financial Advisors, Inc.
- AIM Advisors, Inc. and AIM Distributors, Inc.
- Aladdin Capital Management LLC and Aladdin Capital LLC and Joseph A. Schlim
- Alexander Rekeda Xavier Capdepon and Gwen Snorteland; and Delaware Asset Advisers and Wei (Alex) Wei
- Alliance Capital Management, L.P. (3-11359)
- John D. Carifa (3-11915)
- Michael J. Laughlin (3-11916)
- Gerald T. Malone (3-11914)
- Alphabridge Capital Management, LLC, Thomas T. Kutzen and Michael J. Carino (3-16670)
- American Express Financial Advisors Inc.
- American International Group, Inc. (AIG)
- American Skandia Investment Services, Inc.
- American Waste Services and Waste Management Insider Trading, William A. Rothrock et al.
- Americorp Securities, Inc. and Drew Edgar Schaefer
- Ameriprise Financial Services, Inc. (formerly American Express Financial Advisors Inc.)
- AOB Commerce, Inc., et al.
- Apex Fund Services (US), Inc.
- Ark Asset Management Co., Inc.
- Armando Ruiz and Maradon Holdings, LLC
- Art Intellect, Inc.
- Yale I. Asbell
- Ashbury Capital Partners, L.P., Ashbury Capital Management, L.L.C., and Mark Yagalla
- Association for Betterment through Education and Love, Inc. and Anthony O. DeGregorio, Sr.
- Association of Individual Ministries and Charles Groeschel
- Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC
- Banc of America Securities LLC
- Banc One Investment Advisors Corporation
- Barclays Capital Inc.
- Barry B. Clare
- Basic Energy & Affiliated Resources, Inc.
- BBC Equities, LLC and Bravata Financial Group, Inc. et al.
- Beacon Hill Asset Management, et al.
- Bear, Stearns & Co., and Bear, Stearns Securities Corp.
- Ben-Wal Leasing, Ben-Wal Management, and Jerry E. Benson
- Benjamin Franklin Cook and Dennel Financial Limited
- Bennett Funding Group, Inc.
- Benny L. Judah and Excel Lease Fund, Inc.
- Bethany Liou and Golden California Regional Center, LLC
- Better Life Club
- BetzDearborn Inc. Insider Trading Distribution Fund
- BIJ Financial Services
- Billion Coupons, Inc. (aka Billion Coupons Investment) and Marvin R. Cooper
- Biltmore Financial Group, et al.
- Bio-Heal Laboratories, Inc., et al.
- BISYS Group
- Blue Capital Management, Inc., Blue Alternative Asset Management, L.L.C., and Mark Graham
- BNY Mellon Securities LLC
- Mark Shaw
- Bottom Line of South Florida, Inc., Andres L. Pimstein, et al.
- Bradford C. Bleidt and Allocation Plus Asset Management Company, Inc.
- Bridge Premium Finance, LLC (f/k/a Berjac of Colorado, LLC), Michael J. Turnock, William P. Sullivan, II
- Bridgeway Capital Management, Inc. and John Noland Ryan Montgomery
- Bristol-Myers Squibb Company
- Broadband Wireless International Corporation
- Bryan J. Egan/BryCar Financial Corp.
- Burrill Capital Management, LLC; G. Steven Burrill, CPA; Victor A. Hebert, Esq.; and Helena C. Sen, CPA
- Cadaret, Grant & Co., Inc.
- Canadian Imperial Holdings Inc. and CIBC World Markets Corp.
- Capital Consultants, LLC, Jeffrey L. Grayson, and Barclay L. Grayson
- Capital Enhancement Club
- Cardinal Health, Inc.
- Cash 4 Titles, Charles Richard Homa, and Michael Gause
- Cash Link Systems, Inc. et al.
- Cavanagh et al. (Electro-Optical Systems Corporation)
- CBI Industries
- Centennial Technologies, Inc. Insider Trading—Emanuel Pinez
- CEP Holdings, Inc. D/B/A Colonendparenthesis.net, Trevor Reed, Clayton Kimbrell and Colon End Parenthesis Trust, LLC
- Donald F. Chamberlin and David N. Chamberlin
- Charis Johnson, LifeClicks, LLC, and 12daily Pro
- Charles Schwab Investment Management, Inc., et al.
- Chemical Trust, et al.
- Club Atlanta Travel, Inc.
- CNC Trading Company, Inc.
- 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
- Comprehensive Capital Management, Inc.
- Computer Associates International, Inc.
- ConAgra Foods, Inc., et al.
- Concord Capital Inc., Scott Yoshizumi, et al.
- Concorde America, Inc., et al.
- Continental Wireless Cable Television, Inc.
- Cornerstone Capital and Laura Jean Kent
- Cornerstone Prodigy Group, Inc. and Executive Netprofits, Inc.
- Credit First Fund, LP, David R. Lund, et al.
- Cross Financial Services, Inc.
- Currency Trading International, Inc., et al.
- Cyprus Funds, Inc. and Latin American Services Co., Ltd.
- D. H. Blair & Co, Inc.
- D.W. Heath & Associates, 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.
- Discover Capital Holdings Corp., et al.
- Discover Capital Holdings Corp., Indianapolis Securities, Inc., Eli Dinov, Ari Dinov, David Rubinov (a/k/a David Rubin), and Stronghold Associates, Inc.
- Donald Matthew Greth and Brenda B. Melton
- E-Biz Ventures
- Edward D. Jones & Co.
- Edward S. Digges, et al.
- Elfindepan S.A., et al
- Emanuel L. Sarris, Sr. and Sarris Financial Group, Inc. (Kenzie Funds)
- Emvest Mortgage Fund, LLC, Emvest, Inc., and Milon Lyle Brock
- Enron
- Enterprise Trust Company, et al.
- Estate of Donald Matthew Greth and Brenda B. Melton
- Euro Security Fund Distribution Plan
- Evergreen Investment Management Company, LLC, Evergreen Investment Services, Inc., Evergreen Service Company, LLC, and Wachovia Securities, LLC
- Evergreen Investment Management Company, LLC et al.
- Excel Lease Fund, Inc.
- Federated Investment Management Company, Federated Securities Corp. and Federated Shareholder Services Company
- Fidelity National Capital Investors, Inc.
- Federal National Mortgage Association (Fannie Mae)
- Financial Security Assurance Holdings Ltd.
- First American Reliance, Inc.
- First Command Financial Planning
- Floyd Leland Ogle, et al.
- Folger Nolan Fleming Douglas Capital Management, Inc., Neil C. Folger and David M. Brown
- FOMAC International, Inc.
- Founding Partners Capital Management Company and William Gunlicks
- Frank D. Gruttadauria et al.
- Franco et al. (Nalco Chemical Company)
- Franklin Advisers, Inc.
- Fred Alger Management, Inc. and Fred Alger & Company Incorporated
- Freedom Financial, Inc., et al.
- Fremont Investment Advisors, Inc. et al.
- Friendly Power Company
- FTC Capital Markets, Inc.
- Funding Resource Group, Inc.
- Gemstar-TV Guide International, Inc. (Henry C. Yuen)
- General American Life Insurance Company and William C. Thater
- Genesis Leasing IX, Inc. et al.
- Geneva Group and Nicholas Garcia
- Gen-See Capital Corporation and Richard S. Picoli
- Gerald T. Malone (3-11914)
- Germenis et al.
- Gerson Asset Management
- Gilbert A. Zwetsch and James H. Ridinger (Market America, Inc.)
- Glen Eugene Miller, LD&B Management, Inc., Rich Barlow, Acquire Venture Fund Group, et al.
- GLG Partners, Inc. and GLG Partners, L.P.
- Glittergrove Investments, Ltd.
- Global Assets Partners 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
- Global Telelink Services, Inc.
- GMB Capital Management LLC; GMB Capital Partners LLC; Gabriel Bitran and Marco Bitran
- Goelzer Investment Management, Inc. and Gregory W. Goelzer
- Gold-Quest International, et al.
- Golden State Equity Investors, Inc.(Grifco International, Inc.)
- Grant Thornton LLP, Doeren Mayhew & Co. P.C., Peter M. Behrens, CPA, Marvin J. Morris, CPA and Benedict P. Rybicki, CPA
- Gray Financial Group, Inc., Laurence O. Gray, Robert C. Hubbard, IV
- Great White Marine & Recreation, Inc.
- Harbour Investments Inc.
- Harvey M. Burstein and James D. Loeffelbein
- Health Maintenance Centers, Inc. et al.
- HealthSouth Corporation
- Heartland Financial Services, Inc.
- Heartland Group, Inc.
- Hennessee Group LLC and Charles J. Gradante
- Homestore, Inc.
- Huntington Bancshares, Inc., Thomas E. Hoaglin, Michael J. McMennamin, and John Van Fleet, CPA
- Huron Consulting Group Inc., Gary L. Burge, CPA, and Wayne F. Lipski, CPA
- Hurst Capital Corporation
- i2 Technologies, Inc.
- IMS/CPAs & Associates, Vernon T. Hall, Stanley E. Hargrave and Jerome B. Vernazza
- The Infinity Group Company
- International Capital Management, Inc.
- International Equity Advisors, LLC and Richard Roger Lund
- International Funding Association, Ronald Stephen Holt, et al.
- Internet Capital Holdings, Inc.
- InverWorld, Inc.
- Invesco Funds Group, Inc.
- Invest Better 2001
- Inviva, Inc., et al.
- IPIC International, et al.
- Itex Corporation, 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.
- JCS Enterprises, Inc.
- Janus Capital Management LLC
- Jeffrey Fishman and Medemil LLC
- J. Michael Scarborough and Royal Alliance Associates, Inc.
- JPMorgan Chase & Co.
- J. Robert Dobbins, Dobbins Capital Corp., Dobbins Offshore Capital, LLC, Dobbins Partners, L.P., and Dobbins Offshore, Ltd.
- John D. Carifa (3-11915)
- John David McAfee and Jimmy Gale Watson, Jr.
- John W. Adams and AIP, LLC
- John Wayne Zidar et al.
- Jon W. James, J.W. James & Associates, et al.
- Jordan Enterprises LLC, et al.
- Joseph Contini, D/B/A Personal Portfolio Watch
- J.P. Morgan Securities
- KBRA
- Kenneth C. Meissner, James Doug Scott, and Mark S. “Mike” Tomich (Arete, LLC)
- Kenneth Roy Weare, also known as Roy Weaver, J&K Global Marketing Corporation, and AAA-Auction.com, Inc.
- K.L. Group, LLC, et al.
- Knight Securities L.P.
- KS Advisors, et al.
- K.W. Brown and Company, Kenneth Brown, et al.
- Le Club Prive S.A.
- LinkTel Communications, Inc.
- Lloyd E. Wollmershauser a/k/a The PennyStockMan
- Marcin Malarz, Jacek Sienkiewicz, and Arthur Lin
- Marco Investment Management, LLC and Steven S. Marco
- Mark A. Jones (The Bridge Fund)
- Mark D. Montana, individually and d/b/a M & M Properties, and M & M Financial, Inc., et al.
- Mary Beth Stevens (consolidated with Paul Oliver 3-13554)
- Massachusetts Financial Services Co.
- 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.
- Massachusetts Financial Services Co., John W. Ballen, and Kevin R. Parke
- MBIA Inc.
- Medemil LLC et al.
- Megafund Corporation
- Merrill Scott & Associates, Ltd., et al.
- Metis Wealth Advisors, LLC and Juan R. Montermoso (3-16955)
- Michael J. Laughlin (3-11916)
- Michael J. McCloskey, et al. (Dean Foods)
- Michael J. McNaul, II et al.
- Michael Lauer, Lancer Management Group, LLC, and Lancer Management Group II, et al.
- Michael S. Wilson, CPA and Cotterman-Wilson, CPAs, Inc.; James T. Budden and Alexander W. Budden
- Mid-America Foundation, Inc., Robert R. Dillie, et al.
- Milan Capital Group, Inc.
- Millennium Financial, Ltd. and Newpont Fiduciaries & Nominees, S.A.
- 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
- Mizuho Securities USA Inc.
- Mobile Billboards of America, Inc., et al.
- Morgan Asset Management, Inc.; Morgan Keegan & Company, Inc.; James C. Kelsoe, Jr.; and Joseph Thompson Weller, CPA
- Morgan Stanley & Co. Incorporated
- Morgan Stanley DW, Inc.
- MX Factors, LLC et al.
- Nasdaq Market Makers
- Nations Warranty Group, Inc., Jonathan W. Mikula, John B. Craddock and JW&P Consulting, LLC
- Net World Marketing, Inc.
- Nevis Capital Management, LLC, David Wilmerding, III, and Jon C. Baker
- NexstarCommunications, LLC
- New Times Securities Services, Inc, New Age Financial Securities, Inc. and William Goren
- New York Life Investment Management LLC
- Norman G. Cornelius and Avalon Custom Homes, Inc.
- North American Clearing, Inc., Richard L. Goble, Bruce B. Blatman and Timothy J. Ward
- North American Medical Products, Inc.
- Northshore Asset Management LLP, et al.
- Novus Technologies, LLC, et al.
- NVID International, Inc.
- Ohana International, Inc., Financial Solutions, and Christiano Hashimoto
- Oracle Trust Fund, Jubilee Trust Fund, Elkosh Trust Fund, Jerome DeFries and Kevin McQueen
- Orthofix International N.V.
- Jeffrey Hammel, CPA
- Brian McCollum
- Kenneth Mack and Bryan McMillian
- 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
- Packetport.com, Inc., Ronald Durando, Microphase Corp., Robert H. Jaffe, Gustave Dotoli, M. Christopher Agarwal, and Theodore Kunzog
- PaineWebber Direct Investments
- Par Three Financial Group, Inc. and Melvin D. Ruth
- Paramount Capital Management, Inc. and William C. Bolton
- Paul W. Oliver (consolidated with Mary Beth Stevens 3-13553)
- Paul D. Poetter, et al.
- Pay Pop, Inc.
- Perennial Fund I LP, et al.
- Peter Kuperman and QED Benchmark Management, L.L.C.
- Philip D. Phillips, individually and d/b/a American Heartland Sagebrush Securities Investments Inc. and Sagebrush Securities, American Heartland, Inc., et al.
- Phoenix Telecom, L.L.C.
- Physicians Guardian Unit Investment Trust
- Pilgrim Baxter & Associates, Ltd., Gary L. Pilgrim and Harold J. Baxter
- Pinnacle Development Partners LLC and Gene A. O’Neal
- Pittsford Capital Income Partners, L.L.C., et al.
- Platinum Investment Corporation, et al.
- Pleasure Time, Inc. d/b/a Telephone Information Systems (TIS) Worldwide Lottery Program
- Premium Income Corp, et al.
- Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Rose M. Rudden, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells
- Provident Royalties, LLC et al.
- Prudential Equity Group, LLC, formerly known as Prudential Securities Inc.
- Prudential Equity Group, LLC f/k/a Prudential Securities Inc. (3-12400)
- Putnam Investment Management LLC (3-11317)
- Putnam Investment Management LLC (3-11868)
- Quantek Asset Management, LLC, Bulltick Capital Markets Holdings, LP, Javier Guerra, and Ralph Patino
- Qwest Communications International Inc.
- Rainmaker Managed Living, LLC, et al.
- Raymond James Financial Services, Inc. and J. Stephen Putnam
- Raytheon Company et al.
- RBC Capital Markets, LLC (formerly known as RBC Capital Markets Corp.)
- RenaissanceRe Holdings, Ltd.
- Resource Development International LLC, et al.
- Rey Salomon, Jr., and Ellen H Development LLC
- Ritchie Capital Management L.L.C., Ritchie Multi-Strategy Global Trading, Ltd., A.R. Thane Ritchie, and Warren Louis DeMaio
- Robert L. Shull, et al.
- Rockford Funding Group
- Robertson Stephens, Inc.
- Ronald E. Huxtable II
- Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr.
- Royal Dutch Petroleum Company and The "Shell" Transport and Trading Company
- RS Investments Management, Inc. et al.
- Sandra Dyche
- Sarkauskas and Associates, Inc. and James M. Sarkauskas
- Nicholas Savva
- SG Ltd. (Stock Generation Ltd.) et al.
- Smith Barney Fund Management LLC and Citigroup Global Markets, Inc.
- Southwest Securities, Inc., Daniel R. Leland, Kerry M. Rigdon and Kevin J. Marsh
- Spear & Jackson, Inc.
- Specialist: Bear Wagner Specialists LLC, Fleet Specialist, Inc., LaBranche & Co. LLC, Spear, Leeds & Kellogg Specialists LLC, Van der Moolen Specialists USA, LLC, Performance Specialist Group LLC, SIG Specialists, Inc.
- Spiro Germenis, Oracle Services, Inc., and Oracle Evolution, LLC
- Starcash, Inc. et al.
- Sterling Foster & Co.
- Steve H. Karroum a/k/a Mustapha Karroum and FX & Beyond Corporation
- Steve Madden Ltd.
- Steven Durrelle Williams
- Striker Petroleum, LLC, Mark Roberts and Christopher Pippin
- Strong Capital Management, et al.
- Success Trade, Inc., Success Trade Securities, Inc., and Fuad Ahmed
- Sun Electric or Heekin Can Corp.
- Superior Opportunities, Inc.
- Sweetwater Investments, Inc. and Dennis Gibb
- Taberna Capital Management, LLC, Michael Fralin, and Raphael Licht
- Take-Two Interactive Software, Inc.
- Tecumseh Holdings Corporation, et al.
- Tel-One, Inc.
- Teresa V. Fernandez and Wharton Investments, Inc.
- Time Warner Inc.
- TLC Investments & Trade Co., et al.
- Triangle Industries Insider Trading — Samir Traboulsi, et al.
- Tyco International Ltd.
- UBS Financial Services Inc. of Puerto Rico (3-16846)
- Ramiro L. Colon, III
- UBS Financial Services Inc. of Puerto Rico (3-14863)
- UBS Willow Management L.L.C., et al. (3-16909)
- Uniprime Capital Acceptance, Inc. and Alfred J. Flores
- United American International, Inc.
- Universal Express et al.
- Universo Foneclub Corporation et al.
- Value Line, Inc., Value Line Securities, Inc., Jean Bernhard Buttner, and David Henigson
- VCAP Securities, LLC, and Brett Thomas Graham
- Veras Capital Master Fund, et al.
- Vestron Financial Corporation, et al.
- Vineet Kalucha, George Palathinkal, and Aphelion Fund Management, LLC
- Vineet Kalucha, George Palathinkal, and Aphelion Fund Management, LLC
- Virtual Cash Card, et al.
- Virtual Private Marketplace, Ltd., Gary L. Moody, Steven R. Moody, and Billpay Systems LLC
- Vivendi Universal, S.A.
- W.L. Ware Enterprises and Investments, Inc. and Warren L. Ware
- Waddell & Reed, Inc.
- Waddell & Reed, Inc., Waddell & Reed Investment Management Company, and Waddell & Reed Services Company
- Warren Energy, Inc.
- Watermark Financial Services Group, Inc., et al.
- Wayne F. Gorsek, Lyndell F. Parks and P. Brenden Gebben
- Wealth International Network Notice of Hearing
- Wealth International Network Plan of Distribution
- Web Hosting Headquarters Partnership
- Weiss Research, Inc., Martin Weiss, and Lawrence Edelson
- Wellco Energy L.L.C., Justin William Rifkin, Patrick V. Looper, Richard G. Pacheco, and Dustin D. White
- Wellington Bank and Trust, Ltd. et al.
- Wellness Universe, et al.
- Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC and Shawn Patrick McMurtry
- Wells Fargo Securities LLC (f/k/a Wachovia Capital Markets LLC)
- Wellspring Capital Group, Inc. and Blake A. Prater
- West Coast Asset Management, Inc. and Lance W. Helfert
- Westgate Capital Management and James Nicholson
- Wheat, First Securities, Inc. f/k/a First Union Capital Markets Corp. and Teressa L. Cawley
- Whitworth Energy Resources, Ltd., Williston Basin Holding Corp., Amerivest Financial Group
- William L. Brotherton and International Business Consortium, Inc.
- WorldCom
- Worldwide Funding III Limited LLC
- Xerox Corporation
- Yes Entertainment, LLC, et al.
- Zappa International Corp.
- Zurich Capital Markets Inc.
- Zurich Financial Services
Last Reviewed or Updated: April 24, 2025