R. Carter Freeman

JANAS Associates engages in the provision of investment banking and advisory services. It offers buy side and sell side merger and acquisitions, corporate finance, crisis management, due diligence, and management consulting services. The firm specializes in aerospace and defense, agriculture, consumer products and services, distribution and supply chain, electronics and technology, and environmental and real estate. The company was founded by R. Carter Freeman in 1989 and is headquartered in Pasadena, CA.

Financial Industry Regulatory Authority, Inc. engages in the provision of securities regulation, complementary compliance, and technology-based services. Its services include writing and enforcing rules governing the activities of securities firms with brokers, examining firms for compliance with those rules, fostering market transparency, and educating investors. The company was founded in 2007 and is headquartered in Washington, DC.

The Securities Investor Protection Corporation either acts as trustee or works with an independent court-appointed trustee in a missing asset case to recover funds. The statute that created SIPC provides that customers of a failed brokerage firm receive all non-negotiable securities that are already registered in their names or in the process of being registered. Recovered funds are used to replenish SIPC's reserve in the event that the reserve is tapped in the early stages of a liquidation proceeding.