Broker-dealers occupy a unique position in the class action ecosystem: you hold client records that are essential to building claims, and you often serve as the intermediary through which recoveries flow. Whether you have proprietary trading activity of your own, or you're managing the process on behalf of institutional clients, CCC can help you do it right.

The Problem

Class action filing for broker-dealers is complicated by two distinct challenges. On the proprietary side, volume and speed make it easy for eligible positions to go unfiled. On the client side, the recordkeeping burden and the complexity of matching client accounts to settlement criteria creates operational friction that most firms aren't equipped to absorb.

The result is routine: eligible claims go unfiled, or are filed incompletely, and recoveries are lost.

The Solution

CCC works with broker-dealers on both tracks. For proprietary positions, we extract and normalize your trading data and file on your behalf. For client accounts, we can work through your operations infrastructure to identify eligibility at the account level and manage the full filing process — so your clients receive what they're owed without your team carrying the administrative weight.

Why CCC?

Our team's roots are in the back office. CCC's CEO James Tharin is a former CBOE market maker, and our operations staff bring over 150 combined years of financial industry experience. We understand how broker-dealer data is structured, how client account records are held, and how to navigate the nuances of proprietary versus agency eligibility.

We've worked with broker-dealers of all sizes since 1992. We know your environment.

CCC Services for Broker-Dealers

• Proprietary and client-level portfolio monitoring
• Trade data extraction and normalization
• Claim preparation and filing — proprietary and client accounts
• Deficiency resolution and administrator correspondence
• Client-level recovery reporting
• Recognized loss calculation per position
• Claim monetization on demand
• Proceeds allocation and tracking

Let's Get Started

Whether it's your book or your clients' — CCC helps broker-dealers capture every recovery they're entitled to. Reach out today.