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Aequitas Receivership Bar Date and Claims Process Information

Distribution Update: The Receiver has completed the first, second, and third interim distributions on certain Allowed Administrative, Former-Employees, Convenience Class, and Defrauded Investor claims. Click here for the details of the interim distributions. Distributions to Defrauded Investors were made to counsel representing Albers, Wurster, and Pommier litigation groups, to investment custodians, or directly to Defrauded Investors, as applicable.

On September 1, 2023, a copy of the Notice of Receiver’s (Fourth) Motion to Approve (1) Classification and Allowance of Certain Administrative and Creditor Class Claims, and (2) Approve Distributions on Account of Certain Allowed Administrative and Defrauded Investor Class Claims was mailed to the last known mailing address of those Claimants whose claims are the subject of this Motion. Please see the Exhibits attached to the Declaration of Ronald F. Greenspan in connection with the Receiver’s Motion, which was filed with the Court on August 31, 2023.

On July 16, 2021, a copy of the Notice of Receiver’s (Third) Motion to Approve Classification of Certain Claims (Administrative, Convenience Class, Creditors, and Defrauded Investors); Allow And Approve Distributions on Account of Certain Claims; And Approving Distributions to Claimants Who Elect Reclassification to Convenience Class Status was mailed to the last known mailing address of those Claimants whose claims are the subject of this Motion. Please see the Exhibits attached to the Declaration of Ronald F. Greenspan in connection with the Receiver’s Motion, which was filed with the Court on July 19, 2021.

On October 14, 2020, a copy of the Notice of Receiver’s (Second) Motion to Approve Classification of Certain Claims (Administrative, Former-Employees, Convenience Class, Defrauded Investors, Creditors, Individual Defendants, and Pass-Through Investors); and Allow and Approve Distributions on Account of Certain Claims was mailed to the last known mailing address of those Claimants whose claims are the subject of this Motion. Please see the Exhibits attached to the Declaration of Ronald F. Greenspan in connection with the Receiver’s Motion, which were filed with the Court on October 21, 2020.

On May 8, 2020, a copy of the Notice of Receiver’s Motion to Approve (1) Classification; (2) Allowance of Claims for Certain Claimants (Administrative Claims, Convenience Claims And Former Employment Claims); and (3) Approving Distributions was mailed to the last known mailing address of those Claimants whose claims are the subject of this Motion. Please see the Exhibits attached to the Declaration of Ronald F. Greenspan in connection with the Receiver’s Motion.

On March 31, 2020, the Court entered its Findings of Fact and Conclusions of Law, a copy of which can be found here. In its Order, among other things, the Court:

• Approved the Distribution Plan as expressly modified by the Receiver;

• Overruled any objections to the Receiver’s Distribution/Ponzi Determination Motion that had not been withdrawn, waived, settled, or expressly reserved pursuant to the terms of the Order;

• Permitted the Receiver to commence with distributions consistent with the terms of the Distribution Plan without further order by the Court, noting that all distributions shall be free and clear of any and all liens, claims, interests, and encumbrances;

• Directed each Defrauded Investor and other Claimant to cooperate and supply such information and documentation as is requested by the Receiver and his professionals to effectuate the Distribution Plan; and

• Made the Order binding in all respects on all creditors and interest holders of the Receivership Entity and their successors and assigns.

On April 25, 2019, the United States District Court in Portland, Oregon entered an Order Establishing the Claims Bar Date, Approving the Form and Manner of Notice and Approving the Proof of Claim Form, Procedures and other Related Relief. The court established July 31, 2019 as the deadline for claims to be submitted (the “Claims Bar Date”).

To submit a claim, Claimants and Administrative Claimants must properly complete and sign a Proof of Claim Form and, together with supporting documentation, must timely submit it to the Receiver’s Claims Agent by

• electronic mail, as an attachment in portable document format (.pdf), to Aequitas@epiqglobal.com; or

• by mail addressed to Aequitas Receivership Claims Processing Center, c/o Epiq Corporate Restructuring, LLC, P.O. Box 4421, Beaverton, OR 97076-4421; or

• by courier service addressed to Aequitas Receivership Claims Processing Center, c/o Epiq Corporate Restructuring, LLC, 10300 SW Allen Blvd., Beaverton, OR 97005.


If submitted by electronic mail or courier service, the Proof of Claim Form, with supporting documentation must be delivered to the Claims Agent not later than the Claims Bar Date. If submitted by mail, the Proof of Claim Form, with supporting documentation must be postmarked no later than the Claims Bar Date.

The Notice of Claims Bar Date, the Proof of Claim Form, information regarding procedures for submitting a claim, along with other additional and helpful information, including Frequently Asked Questions are available for downloading and review from the Claims Agent’s website (http://www.AequitasClaims.com), where inquiries related to the claim process, can also be submitted. Key documents are also available below.

Key Documents

Receiver's Motion for Order (1) Establishing Claims Bar Date, (2) Approving The Form and Manner of Notice, and (3) Approving the Proof of Claim Form, Procedures and Other Related Relief (the “Claims Motion”)

Order (1) Establishing Claims Bar Date, (2) Approving The Form and Manner of Notice, and (3) Approving the Proof of Claim Form, Procedures and Other Related Relief (the “Bar Date Order”)

Proof of Claim Form

Investor Supplement to the Proof of Claim Form

Notice of Claims Bar Date and Procedures for Submitting a Proof of Claim