Mutual Fund NAV Transfer Remediation

Remediation Information for Investors

This case is closed. You may review eligibility and related claims information for reference only.

This page provides information about the remediation for certain customers of the securities firms listed below who purchased shares of mutual funds and qualified for, but did not receive, the benefit of an NAV Transfer Program.

Enforcement actions were brought against these securities firms because they failed to have adequate supervisory systems and procedures to identify opportunities for investors to purchase Class A mutual fund shares at net asset value (NAV), or without a front-end sales charge. Each firm was ordered to provide remediation to certain eligible clients who qualified for, but did not receive the benefit of available NAV Transfer Programs.

Customers eligible for remediation: There is nothing you need to do at this time. You will be contacted by your securities firm.

For more information about a specific settlement, please visit the following pages: