United States District Court for the Southern District of New York

RTI Ltd. v. The Bank of New York Mellon Corporation et al: Discovery Application (Cyprus & Russia)

April 13, 2012

Application by RTI Limited, of Jersey, in the Channel Islands, to take discovery from The Bank of New York Mellon Corporation, Deutsche Bank Trust Company Americas, JPMorgan Chase N.A., and Citibank N.A. for use in legal proceedings in Cyprus and Russia alleging corruption, fraud, and kickbacks by a former employee of United Company Rusal PLC group of companies, filed at the U.S. District Court for the Southern District of New York.

Otkritie International Investment Management Ltd. et al v. Wells Fargo Bank et al: Discovery Application (England)

April 13, 2012

Third Application by Otkritie International Investment Management Limited, of the British Virgin Islands; Otkritie Securities Limited, of England, and Otkritie Financial Corporation JSC, of Russia, to take discovery from the Bank of New York Mellon, Barclays Capital, Deutsche Bank Trust Company Americas, J.P. Morgan Chase Bank, N.A., Standard Chartered Bank, and Wells Fargo Bank, N.A. for use in legal proceedings in England, filed at the U. S. District Court for the Southern District of New York.

USA v. S. George Milter et al: Criminal Indictment

April 12, 2012

Indictment in USA v. S. George Milter and Cliffe R. Bodden at the U. S. District Court for the Southern District of New York.

CFTC v. Royal Bank of Canada: Complaint

April 2, 2012

Complaint in U. S. Commodity Futures Trading Commission v. Royal Bank of Canada at the U. S. District Court for the Southern District of New York.

SEC v. Quorne Ltd. and Michael Sarkesian: Amended Complaint

March 29, 2012

Amended Complaint in U.S. Securities and Exchange Commission v. Quorne Limited, of the British Virgin Islands, and Michael Sarkesian, a resident of Switzerland, at the U. S. District Court for the Southern District of New York.

SEC v. Quorne Ltd. and Michael Sarkesian: Judgment ($709K Penalties)

March 29, 2012

Final Judgment for $709,806 in U.S. Securities and Exchange Commission v. Quorne Limited, of the British Virgin Islands, and Michael Sarkesian, a resident of Switzerland, at the U. S. District Court for the Southern District of New York .

Gerova Financial Group, Ltd. v. Maxim Group, LLC et al: First Amended Complaint

March 23, 2012

First Amended Complaint in Gerova Financial Group, Ltd. v. Maxim Group, LLC, Clifford Teller, and Michael Rabinowitz at the U. S. District Court for the Southern District of New York.

USA v. Christopher Michael Coke: Government’s Sentencing Reply Memorandum

March 15, 2012

Government's Sentencing Reply Memorandum in USA v. Christopher Michael Coke at the U. S. District Court for the Southern District of New York.

USA v. Hans Thomann: Criminal Indictment

March 13, 2012

Indictment in USA v. Hans Thomann, a resident of Switzerland, for alleged fraud and money laundering involving UBS AG and Wegelin & Co.

USA v. Josef Beck: Criminal Indictment

March 13, 2012

Indictment in USA v. Josef Beck, a resident of Switzerland, for alleged fraud and money laundering involving UBS AG, Wegelin & Co., and Beck Verwaltungen AG, an asset management firm controlled by Beck.

Kenneth Krys et al v. Thomas Hackl: Default Judgment

March 8, 2012

Default Judgment against Thomas Hackl in Kenneth Krys and Christopher Stride, as Joint Official Liquidators of SphinX Ltd. et al, v. Thomas Hackl at the U. S. District Court for the Southern District of New York - March 8, 2012

USA v. Francisco Tineo: Criminal Indictment

March 6, 2012

Criminal Indictment for alleged securities fraud in USA v. Francisco Tineo at the U. S. District Court for the Southern District of New York.

UBS AG et al v. Jeffrey Chernick et al: Complaint

March 1, 2012

Complaint in UBS AG, UBS Financial Services, Inc., and UBS Securities, LLC v. Jeffrey Chernick and Simba International, Ltd. at the U. S. District Court for the Southern District of New York - March 1, 2011

ACE American Insurance Co. et al v. Christiana Insurance, LLC: Christiana’s Opposition to Amended Petition to Confirm Arbitration Award

March 1, 2012

Christiana's Opposition to Amended Petition to Confirm Arbitration Award in ACE American Insurance Co., Arch Specialty Insurance Co., Axis Re Limited, BRT Syndicate 2987, Catlin Syndicate on behalf of SJC Syndicate 2003, HDI-Gerling Industrie Versicherung AG, Infrassure Ltd., Liberty Mutual Insurance Company, Markel International, National Union Fire Insurance Company of Pittsburgh, Pennsylvania, Scor Reinsurance Company, Swiss Reinsurance America Corporation, and Zurich American Insurance Company v. Christiana Insurance, LLC at the U. S. District Court for the Southern District of New York.

USA v. Michael R. Balboa: Criminal Indictment

March 1, 2012

Indictment for securities fraud regarding Bermuda-domiciled Millennium Global Emerging Credit Master Fund, Ltd. in USA v. Michael Balboa at the U. S. District Court for the Southern District of New York.

ACE American Insurance Co. et al v. Christiana Insurance, LLC: Notice of Amended Petition to Confirm Arbitration Award

February 29, 2012

Notice of Amended Petition to Confirm Arbitration Award in ACE American Insurance Co., Arch Specialty Insurance Co., Axis Re Limited, BRT Syndicate 2987, Catlin Syndicate on behalf of SJC Syndicate 2003, HDI-Gerling Industrie Versicherung AG, Infrassure Ltd., Liberty Mutual Insurance Company, Markel International, National Union Fire Insurance Company of Pittsburgh, Pennsylvania, Scor Reinsurance Company, Swiss Reinsurance America Corporation, and Zurich American Insurance Company v. Christiana Insurance, LLC at the U. S. District Court for the Southern District of New York.

Rasoul Akhmatov v. China Sky One Medical, Inc. et al: Class Action Complaint

February 24, 2012

Class Action Complaint alleging securities fraud in Rasoul Akhmatov v. China Sky One Medical, Inc., Yan-Qing Liu, Xiao-Yan Han, Yu-Bo Hao, Yu-Kun Zhang, and Hong-Yu Pan at the U. S. District Court for the Southern District of New York.

Otkritie International Investment Management Ltd. et al v. JPMorgan Chase et al: Discovery Application

February 23, 2012

Second Application by Otkritie International Investment Management Limited, of the British Virgin Islands; Otkritie Securities Limited, of England and Wales; and Otkritie Financial Corporation JSC, of Russia, to issue subpoenas to Bank of New York Mellon, Deutsche Bank Trust Company Americas, JPMorgan Chase Bank, Standard Chartered Bank, and Wells Fargo Bank for the production of documents for use in a civil complaint filed by Otkritie International Investment Management Limited against Georgy Urumov and Denning Capital Limited at the High Court in the United Kingdom.

USA v. Christopher Michael Coke: Government’s Sentencing Memorandum

February 22, 2012

Government's Sentencing Memorandum in USA v. Christopher Michael Coke at the U. S. District Court for the Southern District of New York.

Spot Mobile International, Ltd. v. LV Administrative Services, Inc. et al: Complaint

February 22, 2012

Complaint in Spot Mobile International, Ltd., formerly known as Rapid Link Corporation, v. Laurus Master Fund, Ltd. (in liquidation), domiciled in the Cayman Islands; LV Administrative Services, Inc., domiciled in Delaware; Valens Offshore SPV II, Corp., domiciled in Delaware; Valens U.S. SPV I, LLC, domiciled in Delaware; John A. Jenkins, and David Grin at the U. S. District Court for the Southern District of New York.

Universal Trading & Investment Co., Inc. v. Yulia Tymoshenko: Plaintiff’s Memo Opposing Motion to Set Aside Default Judgment

February 21, 2012

Plaintiff's Memorandum Opposing Defendant Yulia Tymoshenko's Motion to Set Aside Default Judgment in Universal Trading & Investment Co., Inc. v. Yulia Tymoshenko at the U. S. District Court for the Southern District of New York.

USA v. John Kinnucan: Criminal Indictment

February 21, 2012

Indictment alleging securities fraud in USA v. John Kinnucan at the U. S. District Court for the Southern District of New York.

USA v. John Kinnucan: Criminal Complaint and Arrest Warrant

February 16, 2012

Criminal Complaint and Arrest Warrant in USA v. John Kinnucan at the U. S. District Court for the Southern District of New York.

Solano Lima Pinheiro: Discovery Application

February 15, 2012

Application of Solano Lima Pinheiro, a shareholder of now-defunct Brazilian broker-dealer Dinamica Distribuidora de Titulos e Valores Mobiliarios S.A., to take discovery of Citibank NA and NAI Global, a.k.a. Commercial Properties, for litigation in Brazil regarding an alleged securities fraud committed by Naji Nahas.

SEC v. Pentagon Capital Management Plc et al: Opinion

February 14, 2012

Opinion in U. S. Securities and Exchange Commission v. Pentagon Capital Management Plc and Lewis Chester at the U. S. District Court for the Southern District of New York.

USA v. Michael Berlinka et al: Transcript of Status Conference

February 10, 2012

Transcript of a Status Conference in USA v. Michael Berlinka, Urs Frei, Roger Keller, and Wegelin & Co. that was held at the U. S. District Court for the Southern District of New York on February 10, 2012.

Universal Trading & Investment Co., Inc. v. Yulia Tymoshenko: Motion to Set Aside Default

February 9, 2012

Motion to Set Aside Default in Universal Trading & Investment Co., Inc. v. Yulia Tymoshenko at the U. S. District Court for the Southern District of New York.

Overseas Ventures, LLC v. ResidenSea Management, Ltd. et al: Complaint

February 9, 2012

Complaint in Overseas Ventures, LLC, of Michigan, v. ROW Management, Ltd., Inc., d.b.a. ResidenSea Management, Ltd., domiciled in Florida; The World of ResidenSea II, Ltd., domiciled in the Bahamas; and Shetland International Investments, Ltd., domiciled in Switzerland.

USA v. Todd Newman et al: Criminal Indictment

February 7, 2012

Indictment for securities fraud in USA v. Todd Newman, Anthony Chiasson, Jon Horvath, and Danny Kuo at the U. S. District Court for the Southern District of New York.

Gerova Financial Group, Ltd. v. Maxim Group, LLC et al: Complaint

February 2, 2012

Complaint in Gerova Financial Group, Ltd., domiciled in Bermuda, v. Maxim Group, LLC, of New York; Michael Rabinowitz, and Clifford Teller for alleged breach of contract, fraud, negligence, breach of the duty of good faith and fair dealing, and unjust enrichment.

USA v. All Funds at UBS AG in Name of Wegelin & Co.: Forfeiture Complaint

February 2, 2012

Forfeiture Complaint by USA v. All Funds at UBS AG Held in the name of Swiss private bank Wegelin & Co., filed at the U. S. District Court for the Southern District of New York.

USA v. Wegelin & Co. et al: Superseding Indictment

February 2, 2012

Superseding Indictment in USA v. Wegelin & Co., Michael Berlinka, Urs Frei, and Roger Keller at the U. S. District Court for the Southern District of New York.

SEC v. Kareem Serageldin et al: Complaint

February 1, 2012

Complaint alleging securities fraud in U. S. Securities and Exchange Commission v. Kareem Serageldin, David Higgs, Faisal Siddiqui, and Salmaan Siddiqui, all of Credit Suisse, at the U. S. District Court for the Southern District of New York.

Jack Murrin v. China Organic Agriculture, Inc. et al: Class Action Complaint

January 24, 2012

Class Action Complaint in Jack Murrin v. China Organic Agriculture, Inc., Jinsong Li, Qian Qi, Andy Guo, Xuefeng Guo, Weihong Xia, Bo Shan, Qinghua Zhang, and Steven Xu at the U. S. District Court for the Southern District of New York.

Ludmila Loginovskaya v. Oleg Batratchenko et al: Complaint

January 13, 2012

Complaint in Ludmila Loginovskaya v. Oleg Batratchenko, Alexei Chekhlov, Peter Kambolin, Thor United Corp., Thor United Corp. (Nevis), Thor Optima LLC, Thor Asset Management, Inc., Thor Real Estate Management LLC, Thor Opti-Max LLC, Thor Capital LLC, Thor Futures LLC, Thor Realty LLC, Thor Realty Holdings LLC, Systematic Alpha Management LLC, and Systematic Alpha Futures LLC at the U. S. District Court for the Southern District of New York.

Universal Trading & Investment Co, Inc. et al v. Credit Suisse AG et al: Complaint

January 11, 2012

Complaint in Universal Trading & Investment Co, Inc., and Foundation Honesty International, Inc., both of Massachusetts, v. Credit Suisse AG, of New York; Credit Suisse (Guernsey) Ltd., of Guernsey; Credit Suisse Trust Ltd., of Guernsey; Philip John Glanfield, of Guernsey; Pamela Freda Kay Le Cheminant, of Guernsey; and Julia Rosalind Church, of Guernsey, at the U. S. District Court for the Southern District of New York.

USA v. Kenneth Heller: Heller’s Sentencing Memorandum

January 6, 2012

Heller's Sentencing Memorandum in USA v. Kenneth Heller, a client of Swiss banks UBS AG and Wegelin & Co., at the U. S. District Court for the Southern District of New York. Heller's cooperation contributed to the indictment against Wegelin & Co. bankers Michael Berlinka, Urs Frei and Roger Keller, according to Heller's sentencing memorandum.

WCHCC (Bermuda) Limited v. Granite Insurance Company: Complaint

January 6, 2012

Complaint in WCHCC (Bermuda) Limited v. Granite Insurance Company at the U. S. District Court for the Southern District of New York.

Otkritie International Investment Management Ltd. et al v. Deutsche Bank et al: Discovery Application

January 4, 2012

Application by Otkritie International Investment Management Limited, of the British Virgin Islands; Otkritie Securities Limited, of England and Wales; and Otkritie Financial Corporation JSC, of Russia, to issue subpoenas to Deutsche Bank AG and JPMorgan Chase & Co. for the production of documents for use in a civil complaint filed by Otkritie International Investment Management Limited against Georgy Urumov and Denning Capital Limited at the High Court in the United Kingdom.

USA v. Michael Berlinka et al: Criminal Indictment

January 3, 2012

Indictment in USA v. Michael Berlinka, Urs Frei, and Roger Keller, all of Zurich, Switzerland, at the U. S. District Court for the Southern District of New York for allegedly conspiring with U.S. taxpayers and others to hide more than $1.2 billion in assets from the IRS.

Application of Have Result Investments Limited for Judicial Assistance: Declaration of Maximiliano Frola

December 27, 2011

Declaration of Maximiliano Frola for an Application of Have Result Investments Limited for Judicial Assistance, filed at the U. S. District Court for the Southern District of New York.

Tamara Starshinova et al v. Oleg Batratchenko et al: Complaint

December 23, 2011

Complaint alleging securities fraud in Tamara Starshinova, Marina Vasilyanskaya, and Rapail Tzentziper v. Oleg Batratchenko, Peter Kambolin, Alexei Chekhlov, Thor United Corp. (USA), Thor United Corp. (Nevis), Thor Asset Management, Inc., Thor Opti-Max, LLC, Thor Real Estate Management, LLC, Thor Capital, LLC, Thor Futures, LLC, Thor Optima Fund, Ltd., Thor Opti-Max Fund, Ltd., Thor Guarant Real Estate Fund, Ltd. (BVI), Thor Realty Holdings, LLC, Systematic Alpha Management, LLC, f.k.a. Thor Asset Management USA LLC, Systematic Alpha Diversified Fund, Ltd., Systematic Alpha Diversified Master Fund, Ltd., Systematic Alpha Futures Fund, Ltd., f.k.a. Thor Optima Fund, Ltd.; Systematic Alpha Futures Fund, L.P., f.k.a. Thor Optima Fund, L.P.; and Systematic Alpha Futures, LLC, f.k.a. Thor Optima, LLC, f.k.a. Thor Alpha Plus, LLC, at the U. S. District Court for the Southern District of New York.

Kingate Global Fund Ltd. et al v. Deutsche Bank Securities, Inc.: Complaint

December 21, 2011

Complaint in Kingate Global Fund Ltd. and Kingate Euro Fund Ltd., both domiciled in the British Virgin Islands, v. Deutsche Bank Securities, Inc. at the U. S. District Court for the Southern District of New  York, alleging Deutsche Bank reneged on a commitment to purchase the bankruptcy claims of the Kingate Funds in the Bernard Madoff fraud.

Have Result Investments Ltd. v. Standard Chartered Bank et al: Discovery Application

December 20, 2011

Application for Judicial Assistance in Have Result Investments Limited v. Standard Chartered Bank, Credit Suisse, The BNY Mellon (formerly The Bank of New York), and HSBC Bank USA, N.A. regarding accounts in the names of Maxipetrol Petroleros de Occidente S.A., Oxipetrol Petroleros de Occidente S.A., Cranwest Business LLC, Shenzhen Jianchen Investment Corporation, and/or Daniel Lalin.

Vyacheslav M. Burdman v. China Medical Technologies, Inc. et al: Class Action Complaint

December 19, 2011

Class Action Complaint in Vyacheslav M. Burdman v. China Medical Technologies, Inc., Wu Xiaodong, and Takyung Tsang at the U. S. District Court for the Southern District of New York.

USA v. David Weinreb: Criminal Complaint

December 16, 2011

Criminal Complaint alleging securities fraud in USA v. David Weinreb, a.k.a. David Harry, a.k.a. Herbert Weinreb, at the U. S. District Court for the Southern District of New York.

Brookfield Asset Management, Inc. et al v. AIG Financial Products Corp. et al: Second Amended Complaint

December 6, 2011

Second Amended Complaint in Brookfield Asset Management, Inc., f.k.a. Hees International Bancorp Inc., of Canada, and Brysons International, Ltd., f.k.a. Brysons International Bank, Ltd., of Barbados, v. AIG Financial Products Corp. and American International Group, Inc. at the U. S. District Court for the Southern District of New York.

Context Partners Fund LP v. Jon Corzine et al: Complaint

December 6, 2011

Complaint in Context Partners Fund LP v. Jon Corzine, Henri J. Steenkamp, David P. Bolger, Eileen S. Fusco, David Gelber, Martin Glynn, Edward L. Goldberg, David L. Schamis, and Robert S. Sloan at the U. S. District Court for the Southern District of New York.

SEC v. Michael R. Balboa et al: Complaint

December 1, 2011

Complaint alleging securities fraud in U. S. Securities and Exchange Commission v. Michael R. Balboa and Gilles T. De Charsonville at the U. S. District Court for the Southern District of New York.

Albert A. Ross v. Lloyds Banking Group Plc: Complaint

November 23, 2011

Class Action Securities Complaint in Albert A. Ross v. Lloyds Banking Group Plc, formerly Lloyds TSB Group Plc; Sir Victor Blank, Chairman of Lloyds; and Eric Daniels, CEO of Lloyds, at the U. S. District Court for the Southern District of New York.