Investor Information
On this page, you will find links to the Web sites of securities regulatory organizations and class action notices, as well as useful information on Cortland Trust, Inc., our money market fund company.
SEC Disclosure Reports
To view trade order information by quarter for the most recent three quarters, click on the link below.
FINRA Public Disclosure Web Site
Curian Clearing, LLC is a member of the Financial Industry Regulatory Authority (FINRA). We are required to inform you of the availability of the FINRA BrokerCheck Brochure, which contains information on the FINRA BrokerCheck Program. You may request this brochure by contacting FINRA at 800-289-9999. Or, to view the FINRA BrokerCheck site via the Web, please click on the link below and follow the instructions to look up a Securities Firm or Broker in BrokerCheck.
Current Class Action Notices
You have the responsibility for deciding whether to participate in any class action claims affecting securities in your Program Account. Please click on the links below to view current class action notices. Each notice includes instructions on how to join the class action or provides a contact person for obtaining additional information. To join in such class actions, you must complete the appropriate forms for any securities held in your Program Account and then submit them as instructed in the notice or by the law firm representing the class. Your failure to complete and submit such forms may result in your inability to take part in any recoveries on class action settlements.
- Alliance Data Corp. (PDF)
- American International Group, Inc.
- American Italian Pasta Company Notice (PDF) | Proof of Claim and Release (PDF)
- American Tower Corporation
- ANDRX Corporation (PDF)
- Apollo Group, Inc. (PDF)
- Charlotte Russe Holding, Inc.
- Chicago Bridge & Iron Co. N.V.
- Delphi Corporation
- Diebold Inc. (PDF)
- Freddie Mac f.k.a. Federal Home Loan Mortgage Corporation (PDF)
- Hudson United Bancorp (PDF)
- IBM Corporation (PDF)
- Isolagen, Inc. (PDF)
- KLA-Tencor Corporation (PDF)
- Lattice Semiconductor, Corp. (PDF)
- LeapFrog Enterprises, Inc.
- LNR Property Corp. (PDF)
- OSI Pharmaceuticals, Inc. Notice (PDF) | Proof of Claim and Release (PDF)
- Repsol YPF, S.A. (PDF)
- Royal Dutch Petroleum/Shell Transport Class Action Notice (PDF) | SEC Settlement Notice (PDF) | Claim Form (PDF)
- St. Paul Travelers Companies, Inc.
- Stone Energy Corporation (PDF)
- Telik, Inc. Notice (PDF) | Proof of Claim and Release (PDF)
- Veritas Software Corporation (PDF)
Cortland Overview
By clicking on the links below, you can access important financial documents for the Cortland Money Market Fund's, Curian Capital's money market offering.