Frequently Asked Questions

If you have any questions that are not addressed here, please contact us directly.

I recently received a Notice and Proof of Claim form in connection with a class action. What is this about?
The Notice will have a section that describes the history of the litigation. This section should provide you with a detailed background of the case. You may also wish to view the Current Cases section of this website for additional documents pertaining to this case.
How did you get my name?
Your name and address were included on a list that was provided to us by one of the following: (1) the stock transfer agent or (2) your investment advisor.
What are my options?
Generally, you have the following options: (1) complete and submit a claim; (2) request exclusion from the Class [you do not wish to participate and you will not participate in any distribution. You also will not be bound by any judgment or order in the litigation]; (3) do nothing at all [you will not participate in the distribution of the settlement, but you will be bound by any judgment or order in the litigation].
Can I exclude myself from the Class?
The Notice you received contains specific information as to the steps you need to take in order to request exclusion from the Class. In most cases, your request for exclusion must be received by us by a set deadline, and must include all of the following: (1) a statement that you wish to be excluded from the Class; (2) your name, address, and telephone number; (3) if a securities settlement, your purchases and sales of the securities in question during the Class Period, including dates, quantities, dollar amounts. Please understand, if you submit a valid exclusion request you will have no rights under the Stipulation and will not participate in the distribution of the Net Settlement Fund. However, you also will not be bound by the Judgment Release. The Notice that you received will have specific mailing instructions. Unless otherwise instructed, mail your exclusion request to:

Name of Litigation
c/o RSM US LLP
751 Arbor Way, Suite 200
Blue Bell, PA 19422

I just heard about this case but did not receive a Notice and Proof of Claim. Can I obtain one?
You can obtain a Notice and Proof of Claim from the Current Cases section of this website, you can email us from the Current Cases section of this website, or you can write us at the following address and we will send one to you:

Name of Litigation
c/o RSM US LLP
751 Arbor Way, Suite 200
Blue Bell, PA 19422

I only received a Notice. Is there a Proof of Claim that I have to complete?
In some cases only a Notice is mailed because a claim process may not yet be a part of the settlement. If and when we are instructed to mail claim forms, we will send it out to everyone who received the Notice. Therefore, please notify us of any address change by submitting the Change of Address Form from this website.
Why did I receive multiple copies of the Notice and Proof of Claim Form?
We sometimes receive multiple lists of potential class members from various sources. Therefore, we may have received your name and address more than once. Although we make every attempt to identify these duplications, it is possible your name and/or address differs slightly on each list and both end up being included on the mailing list. If you receive more than one Notice and Proof of Claim, you only have to file one claim.
Do I have to attend the Settlement Hearing?
In all cases, the Court schedules a hearing to consider the fairness, reasonableness, and adequacy of the Proposed Settlement and to consider plaintiffs' counsel request for the award of attorney's fees and expenses. You do not have to appear at the Hearing. You will be represented by plaintiffs' counsel.
What documentation do I have to send?
Please access the Supporting Documentation page of this website for detailed information as to the acceptable documentation that should be attached to your claim. In addition, please read the instruction section of the Proof of Claim for specific information relative to your settlement.
  • For all securities settlements, if we request that you provide your holdings at the beginning and at the end of the class period, please make certain that your holdings at the beginning of the class period plus your total purchases less your total sales should equal your holdings at the end of the class period. If they do not, please explain that to us.
  • If your securities were received into your account or the securities were delivered out of your account, please provide us with relevant information as to the original purchaser and cost of the securities, and the ultimate seller. Receipts of securities: You must provide information as to the date the original purchase took place. Deliveries of securities: You must provide information as to who or what account received the securities.
Do I need to send my original documentation?
No. Keep your original documentation and send us copies. In addition, we do not return your claim or your documentation. Therefore be certain to retain a copy of everything that you send us.
What do I do if I have more transactions than will fit on the claim form?
Make copies of the relevant pages of the claim form and write the additional transactions on the copies. Please sign each additional page and mail it along with the original claim form.
Why do you need my Social Security Number or Taxpayer ID Number?
We usually request this information for identification purposes, only. In addition, we may need it for tax purposes. Please be advised that we will maintain the confidentiality of your information.
If I am not a resident of the United States and do not have a Social Security Number of Taxpayer ID Number, is there any information that you require?
You do not need to complete the section of the Proof of Claim that asks for your U.S. tax id numbers. However, please indicate that you are a foreign resident and provide us with a completed IRS Form W-8BEN, if required.
Where do I submit my completed claim form?
Mail it, together with the supporting documentation, to the address listed in the Proof of Claim Form.

If you desire an acknowledgement that we received your claim, please send it Certified Mail, Return Receipt Requested. Otherwise we will not contact you to confirm receipt.

When will I receive a check?
The distribution will take place once all claims have been reviewed and the claims processing is complete. This claims process usually takes between 6 to 12 months after the deadline for filing claims.
Will I receive an amount equal to my out of pocket loss?
Not necessarily. All distributions from the Net Settlement Fund will be made in accordance with the Court approved Plan of Allocation, which is described in the Notice that you received. Please be aware that your actual distribution will usually be based on your pro-rata share of the Net Settlement Fund.
Is the distribution taxable?
You should consult with your tax advisor to determine the tax consequences of any distribution you receive from the Net Settlement Fund. We are unable to provide you with this advice.
Can I still file a Proof of Claim if the deadline for filing claims has passed?
Yes. However, your claim will be reflected as a late claim and the Court will determine whether late claims will be accepted. Please be advised that we can not guarantee that late claims will be allowed. Therefore, you should make every effort to file your claim prior to the filing deadline.
How can I change the address that you currently have in your system?
You can access the Change of Address page of this website to inform us of any address change or you can send written notification of your correct address to:

Name of Litigation
c/o RSM US LLP
751 Arbor Way, Suite 200
Blue Bell, PA 19422

Be sure to indicate the name of litigation, your name, old address, new address, and your claim number, if known, or your Social Security Number or Tax ID.

I am a bank, broker or other nominee and would like to file electronically for all of my clients?
For instructions on electronic filings, click here or call us at (800) 222-2760 and we will assist you with the electronic filing of your claim.
My distribution check is now void. How can I get another check issued to me?
You will need to send us a letter requesting a check reissue and you must return the original check. The request should include the name of the litigation, your name and current address and any change in name that needs to take place (ie, deceased individual). You can mail your request to the following address:

Name of Litigation
c/o RSM US LLP
751 Arbor Way, Suite 200
Blue Bell, PA 19422