This page contains details about specific actions taken by the United States International Mergers & Acquisitions Securities and Escrow Commission (USIMSEC) for enforcement purposes. In certain instances, defendants or respondents have paid funds as part of a settlement or judgment to resolve these actions. The USIMSEC may decide to distribute these funds for the benefit of affected investors. Distribution of these funds can be overseen either by USIMSEC personnel or by an appointed third-party Fund Administrator/Distribution Agent, as determined by the Commission or a court.

Key Points:

- Distribution Management: The management of fund distributions can be handled by USIMSEC staff or by a designated third-party Fund Administrator/Distribution Agent.

- Exclusions: Cases where a Receiver distributes funds can also be included here; please refer to our contact us page for such distributions.

Helpful Resources:

1. Merger & Acquisitions Securities Class Action Clearinghouse: Go to our contact us page to check if a private class action related to your investments has been filed.

2. Our Securities Investor Protection Corporation determine if a broker-dealer involved in a liquidation under the Securities Investor Protection Act and to find out how to file a claim form please submit a request n our contact us page.

3. Submit Tips or Complaints: Report potential violations of Merger & Acquisition securities laws through online contact us submission page.

For more detailed information on specific USIMSEC enforcement actions, consult the contact us at the link provided at the bottom of this page.

ENFORCEMENT ACTIONS OPINIONS OF THE COMMISSION

Sep 3. 2023 / Bruno Aguilar / 21799 Internet Escrow Scams

Aug 1. 2024 / Yu Pin Yew / 21798 Advanced Fee Fraud

Aug 2. 2024 / Peter Richards / 21797 E-Mail Fraud & Phishing

Jul 14. 2024 / John L Mathews / 21796 Unusual Payment Methods

Jul 6. 2024 / Erin Hawley / 21795 Claims of Affiliation

TRADING SUSPENSIONS COMPENSATION CLAIMS

Aug 14. 2023 Norton Finance Ltd Sep 1. 2023 / $500,000

Jul 21. 2024 / Asset Escrow Ltd Aug 4. 2024 / $1,000,000

Jun 19. 2024 / Aspen Financial Services Jul 19. 2024 / $215,000

May 11, 2024 / Wilson Wealth Ltd June 29. 2024 / $775,000

Apr 23. 2024 / Bamford Wealth Management May 13. 2024 / $1,150,000

Law Enforcement:

Our Enforcement Division collaborates with the Commission to fulfill its law enforcement mandate by initiating investigations into potential violations, recommending civil actions to federal courts or administrative law judges, and prosecuting cases on behalf of the Commission, we maintain close ties with law enforcement agencies globally to pursue criminal cases when warranted.

Investigative Procedures:

The Enforcement Division aids the Commission by recommending investigations into potential law violations, suggesting civil actions, and prosecuting cases. Additionally, it collaborates with law enforcement agencies worldwide to pursue criminal charges when necessary.

ENFORCEMENT