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Investors Claims Funds
This page lists the SEC enforcement cases in which a Receiver, Disbursement Agent, or Claims Administrator has been appointed. Funds that are recovered and available for investors will be distributed according to an approved plan.
In addition to seeing whether a claims fund has been established, you may want to find out whether a private class action has been filed against the company you invested in. If you're aware of violations of the securities laws, please tell us by using our online complaint form.
If your broker-dealer has gone out of business, you can visit the website of the Securities Investor Protection Corporation to find out whether your firm is the subject of a liquidation proceeding and how you can obtain a claim form.
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4NExchange, LLC, Paul R. Grant and Ronald Bassett |
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Advanced Financial Services, Larry W. Tyler, et al. |
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Alpha Telcom, Inc. |
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Ashbury Capital Partners, L.P., Ashbury Capital Management, L.L.C., and Mark Yagalla |
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Association of Individual Ministries and Charles Groeschel |
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Basic Energy & Affiliated Resources, Inc. |
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Benjamin Franklin Cook and Dennel Financial Limited |
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Bennett Funding Group, Inc. |
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Bentley Financial Services, Inc. |
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BIJ Financial Services |
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Bryan J. Egan/BryCar Financial Corp. |
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Capital Consultants, LLC, Jeffrey L. Grayson, and Barclay L. Grayson |
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Cash 4 Titles, Charles Richard Homa, and Michael Gause |
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Centennial Technologies, Inc. Insider Trading—Emanuel Pinez |
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Chemical Trust, et al. |
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Concord Capital Inc., Scott Yoshizumi, et al. |
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Credit Bancorp, Ltd. |
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Cross Financial Services, Inc. |
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Cyprus Funds, Inc. and Latin American Services Co., Ltd. |
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David A. Colvin and Intellinet Publishing, Inc. |
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David M. Mobley/Maricopa Investment Fund, Ltd. |
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D. H. Blair & Co, Inc |
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D.W. Heath & Associates, Inc. et al. |
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Elfindepan S.A., et al |
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Financial Security Assurance Holdings Ltd. |
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First American Reliance, Inc. |
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First Choice Management Services, Inc. and Gary Van Waeyenberghe |
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Funding Resource Group, Inc. |
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Genesis Leasing IX, Inc. et al. |
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Gilbert A. Zwetsch and James H. Ridinger (Market America, Inc.) |
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Glen Eugene Miller, LD&B Management, Inc., Rich Barlow, Acquire Venture Fund Group, et al. |
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Global Express Capital Real Estate Investment Fund I, LLC et al. |
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Global Telelink Services, Inc. |
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Great White Marine & Recreation, Inc. |
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Health Maintenance Centers, Inc. et al. |
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Heartland Financial Services, Inc. |
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Heartland Group, Inc. |
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Homestore, Inc. |
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IMS/CPAs & Associates, Vernon T. Hall, Stanley E. Hargrave and Jerome B. Vernazza |
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The Infinity Group Company |
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International Capital Management, Inc. |
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Invest Better 2001 |
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IPIC International, et al. |
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James R. Harrold, et al. |
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James P. Lewis, Jr., Financial Advisory Consultants, et al. |
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J.T. Wallenbrock & Associates, Citadel Capital Management Group, Larry Toshio Osaki, and Van Y. Ichinotsubo |
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Le Club Prive S.A. |
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LinkTel Communications, Inc. |
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MX Factors, LLC et al. |
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Merrill Scott & Associates, Ltd., et al. |
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Millennium Financial, Ltd. and Newpont Fiduciaries & Nominees, S.A. |
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Mutual
Benefits Corp., et al. |
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Net World Marketing, Inc. |
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Nevis Capital Management, LLC, David Wilmerding, III, and Jon C. Baker |
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New Times Securities Services, Inc, New Age Financial Securities, Inc. and William Goren |
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Oracle Trust Fund, Jubilee Trust Fund, Elkosh Trust Fund, Jerome DeFries and Kevin McQueen |
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Phoenix Telecom, L.L.C. |
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Physicians Guardian Unit Investment Trust |
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PinnFund USA, Inc. |
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Presto Telecommunications, Inc. |
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Resource Development International LLC, et al. |
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Robertson Stephens, Inc. |
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Sebastian International Enterprises, Inc. |
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SG Ltd. (Stock Generation Ltd.) et al. |
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Southern Financial Group, Inc. |
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Starcash, Inc. et al. |
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Systems of Excellence and Charles O. Huttoe |
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Tel-One, Inc. |
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Terry L. Dowdell, et al. |
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TLC Investments & Trade Co., et al. |
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United American International, Inc. |
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Vestron Financial Corporation, et al. |
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Viatical Capital, Inc., d/b/a Life Settlement Network, Life Investment Funding Enterprises, Inc., Charles D. York, and Robert K. Coyne |
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Vivendi Universal, S.A. |
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W.L. Ware Enterprises and Investments, Inc. and Warren L. Ware |
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Web Hosting Headquarters Partnership |
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Wellington Bank and Trust, Ltd. et al. |
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World Class Limousines, Inc., 1-800-GET-LIMO, Inc. and 1-800-GET-LIMO Service, Inc. |
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Yes Entertainment, LLC, et al. |
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Zappa International Corp. |
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Archive of Investors Claims Funds Notices
http://www.sec.gov/divisions/enforce/claims.htm
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