Sec. gov _ information for harmed investors

This page contains information for harmed investors about certain SEC enforcement actions. City business brokers 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. Sunbelt business brokers chicago Some of the distributions in these cases are administered by the SEC staff, and in other cases, or third-party Fund Administrator/Distribution Agent has been appointed by the Commission or court to administer the distribution. Brevard business brokers For more information regarding a certain SEC Enforcement action, please see the list of cases below.


Please note this list does not include distributions handled by a Receiver. Pro business brokers For information regarding those distributions, visit the Receiverships page.

• 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.

• Bank of America, N.A., Banc of America Mortgage Securities, Inc., and Merrill Lynch, Pierce, Fenner &Smith, Inc. Business brokers ny f/k/a Banc of America Securities LLC

• Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.), Credit Suisse Asset Management, LLC, and Samir H. Business brokers alabama Bhatt (3-14594)

• 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 (3-15098)

• Evergreen Investment Management Company, LLC, Evergreen Investment Services, Inc., Evergreen Service Company, LLC, and Wachovia Securities, LLC (3-12805)

• J.P. Business brokers jacksonville florida 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. Cre business brokers Morgan Acceptance Corporation I

• 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. Business brokers massachusetts Markovitz (3-12116 and 3-11292)

• Packetport.com, Inc., Ronald Durando, Microphase Corp., Robert H. International business brokers Jaffe, Gustave Dotoli, M. Sunbelt business brokers Christopher Agarwal, and Theodore Kunzog (3-12868)

• 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 (3-11645)

• Strong Capital Management, Inc., Strong Investor Services, Inc., Strong Investments, Inc., Richard S. Business brokers california Strong, Thomas A. Business brokers orlando Hooker, Jr. First business brokers and Anthony J. Transworld business brokers complaints D’Amato (3-11498)

• Stefan H. Business brokers arizona Benger, SHB Capital, Inc., Jason B. Business brokers raleigh nc Meyers, International Capital Financial Resources, LLC, Philip T. Business brokers pennsylvania Powers, Handler, Thayer & Duggan, LLC, Frank I. Vested business brokers login Reinschreiber, and Global Financial Management, LLC, CTA Worldwide Services, SA, and Stephan Von Hase