# SEC Litigation Release LR-18689

> Civil enforcement action · 2004-05-03

## Defendants

D.W. Heath & Associates, Inc., Private Capital Management, Inc., Private Collateral Management, Inc., and PCM Fixed Income Fund I, LLC, Daniel William Heath, and Denis Timothy O'Brien



## Key facts

- **Release number:** LR-18689
- **Release date:** 2004-05-03
- **Defendants:** D.W. Heath & Associates, Inc., Private Capital Management, Inc., Private Collateral Management, Inc., and PCM Fixed Income Fund I, LLC, Daniel William Heath, and Denis Timothy O'Brien

## Primary sources

- SEC HTML release: https://www.sec.gov/litigation/litreleases/2004/lr18689.htm
- Litigation releases index: https://www.sec.gov/litigation/litreleases

## What this is

SEC Litigation Releases are the canonical "civil enforcement" docket. The SEC files civil actions in federal court against individuals and entities for securities-law violations — fraud, insider trading, Ponzi schemes, registration violations, misleading disclosures, market manipulation. Each release announces a filing, a settlement, or a final judgment. Activist funds, plaintiff lawyers, and investigative journalists use this archive as the most-comprehensive index of US securities enforcement.

## Citation

> US Securities and Exchange Commission, Litigation Release LR-18689 (2004-05-03), D.W. Heath & Associates, Inc., Private Capital Management, Inc., Private Collateral Management, Inc., and PCM Fixed Income Fund I, LLC, Daniel William Heath, and Denis Timothy O'Brien. Retrieved via AI Analytics 2026-05-18 from https://api.ai-analytics.org/sec-litigation/18689.

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