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SEC v. Cyril Cabanes: Complaint (‘$250M Bribery’)

November 20, 2024
Complaint alleging violations of the Foreign Corrupt Practices Act in U.S. Securities and Exchange Commission v. Cyril Sebastien Dominique Cabanes, described as a citizen of France residing in Singapore, at the U.S. District Court for the Eastern District of New York.

BIT Mining Ltd.: Order (‘Japan Bribery’)

November 18, 2024
Administrative Order regarding "violations of the anti-bribery, books and records, and internal accounting controls provisions of the Foreign Corrupt Practices Act" in U.S. Securities and Exchange Commission v. BIT Mining Ltd., of the Cayman Islands.

SEC v. Norman Meier et al: Complaint (‘$7.9M Securities Fraud’)

October 11, 2024
Complaint alleging the defendant "defrauded over 180 investors, mostly European, out of at least $7.9 million" in U.S. Securities and Exchange Commission v. Norman V. Meier, described as a citizen of Switzerland residing in Massachusetts, USA, as Defendant, and Treuhand Inc., Norman Meier International Inc., a.k.a. NMI Inc; Windeco Corporation, Texxon Oil Corp., and International Financial Services Inc., a.k.a. IFS Inc, d.b.a. IRM Inc., as Relief Defendants, at the U.S. District Court for the District of Massachusetts.

SEC v. Vy Pham: Complaint (‘Crypto Investment Fraud’)

October 9, 2024
Complaint that "arises from Defendant Vy Pham’s unregistered offers and sales of two crypto assets as securities, and from her schemes to manipulate the market for those securities " in U.S. Securities and Exchange Commission v. Vy Pham at the U.S. District Court for the District of Massachusetts.

SEC v. Russell Armand et al: Complaint (‘Crypto Investment Fraud’)

October 9, 2024
Complaint that "arises from the defendants’ unregistered and fraudulent offers and sales of crypto assets being offered and sold as securities to the investing public and their manipulative trading of those securities" in U.S. Securities and Exchange Commission v. Russell Armand, Maxwell Hernandez, Manpreet Singh Kohli, described as a resident of England and India, and Nam Tran at the U.S. District Court for the District of Massachusetts.

SEC v. Gotbit Consulting LLC et al: Complaint (‘Crypto Investment Fraud’)

October 9, 2024
Complaint in U.S. Securities and Exchange Commission v. Gotbit Consulting LLC, a.k.a. Gotbit Hedge Fund, described as a Belize company that "purports to have offices in Armenia, Portugal, Turkey, Vietnam, the United Arab Emirates, and the United Kingdom", and Fedor Kedrov, of Russia, at the U.S. District Court for the District of Massachusetts.

CFTC v. Traders Domain FX Ltd. et al: Complaint (‘Investment Fraud’)

September 30, 2024
Complaint in Commodity Futures Trading Commission v. Traders Domain FX Ltd., d.b.a. The Traders Domain, described as a Saint Vincent and the Grenadines company based in Canada; Fredirick Teddy Joseph Safranko, a.k.a. Ted Safranko, of Canada; David William Negus-Romvari, of Canada; Ares Global Ltd., d.b.a. Trubluefx, of Saint Lucia; Algo Capital LLC, Algo FX Capital Advisor LLC, now known as Quant5 Advisor LLC; Robert Collazo Jr., Juan Herman, a.k.a. JJ Herman; John Fortini, Steven Likos, Michael Shannon Sims, Holton Buggs Jr., Centurion Capital Group Inc., Alejandro Santiestaban, a.k.a. Alex Santi; Gabriel Beltran, and Archie Rice at the U.S. District Court for the Southern District of Florida.

SEC v. Olayinka Oyebola et al: Complaint (‘Fraudulent Audits’)

September 30, 2024
Complaint accusing the defendants of "enabling and concealing a massive, multi-year fraudulent scheme in wholesale abdication of their professional obligations as independent public accountants and financial industry gatekeepers" in U.S. Securities and Exchange Commission v. Olayinka Temitope Oyebola, an accountant residing in Nigeria, and Olayinka Oyebola & Co. (Chartered Accountants), described as a Nigerian accounting firm "with branch offices in Houston, Texas, and Ontario, Canada", at the U.S. District Court for the Southern District of New York.

CFTC v. Aipu Ltd. et al: Complaint (‘$3.6M Investment Fraud’)

September 27, 2024
Complaint alleging a "fraudulent investment scheme" that defrauded "at least $3,630,848.90 from not less than 32 customers" in Commodity Futures Trading Commission v. Aipu Limited, of England; Fidefx Investments Limited, of England; Chao Li, of China; Qian Bai, of China, and Lan Bai, of Oklahoma, USA, at the U.S. District Court for the Western District of Washington.

SEC v. Robert Westbrook: Complaint (‘$3.75M Hack-to-Trade Fraud’)

September 27, 2024
Complaint alleging "a fraudulent scheme by Westbrook to hack into the computer systems of U.S. public companies to deceptively obtain material nonpublic information about their corporate earnings and to use that information to profit by trading in advance of the companies’ public earnings announcements" in U.S. Securities and Exchange Commission v. Robert B. Westbrook, "whose last known address" is in Chelsea, England, at the U.S. District Court for the District of New Jersey.

SEC v. Paul Bilzerian et al: Complaint (‘Revenue Fraud’)

September 27, 2024
Complaint alleging "Ignite - a Canadian company that sells disposable vape pens and other nicotine e-liquid products and whose shares traded in the United States - engaged in a scheme, orchestrated largely by recidivist Bilzerian, who controls Ignite, to fraudulently report revenue" in U.S. Securities and Exchange Commission v. Ignite International Brands Ltd., of Ontario, Canada; Paul Bilzerian, described as "a resident of St. Kitts and the father of Ignite’s Chief Executive Officer"; Paul Dowdall, described as "a resident of Ontario, Canada and a Chartered Professional Accountant registered with the Chartered Professional Accountants of Ontario"; Scott Rohleder, described as a resident of North Carolina, USA; John Schaefer, described as a resident of Yorktown Heights, New York, USA; International Investments Ltd., of Saint Kitts; Accell Audit & Compliance PA, of Tampa, Florida, USA, and Christopher Hiestand, described as a resident of San Antonio, Texas, USA, at the U.S. District Court for the Southern District of New York.

SEC v. Akshay Kamboj et al: Complaint (‘$4.1M Investment Fraud’)

September 27, 2024
Complaint alleging "used fake trading data and forged audit reports to convince dozens of investors to invest approximately $16 million in a currency trading hedge fund managed by their firm, Crawford Ventures IM, LLC" in U.S. Securities and Exchange Commission v. Akshay Kamboj and Dev Kamboj, described as residents of Gurguram, India, at the U.S. District Court for the Southern District of New York.

SEC v. Anthony Lotito et al: Complaint (‘Bitcoin Mining Leaseback Fraud’)

September 20, 2024
Complaint alleging the defendants "fraudulently offered and sold unregistered securities as distributors for a purported sale leaseback program involving cryptocurrency-related technology" in U.S. Securities Exchange and Commission v. Anthony Lotito, Joseph Hagan, Revolution Leasing & Administration LLC, and SCRYPTmob II LLC at the U.S. District Court for the District of New Jersey.

SEC v. Nicholas Bowerman: Complaint (‘Accounting Fraud’)

September 5, 2024
Complaint alleging the defendant "intentionally manipulated Pipeline’s financial results, which were incorporated into CIRCOR’s consolidated financial statements" in U.S. Securities and Exchange Commission v. Nicholas Bowerman, described as a resident of Darlington, England, who is "a former finance director at Pipeline Engineering, a business unit of CIRCOR International, Inc., a former publicly traded company based in Massachusetts", at the U.S. District Court for the District of Massachusetts.

SEC v. Justin Smith et al: Complaint (‘$2.7M Securities Fraud’)

August 27, 2024
Complaint alleging "Defendants fabricated more than $75 million in assets, forged documents, and repeatedly lied to raise money for their company, Healthcare Solutions, as part of a scheme to defraud investors out of millions of dollars" that, inter alia, involved "an entity registered in Sweden called Landes and Compagnie Trust Privé KB, a/k/a Landes & Cie Private Trust" in U.S. Securities and Exchange Commission v. Justin D. Smith and Joshua Constantin at the U.S. District Court for the Eastern District of New York.

CFTC v. TOTSA TotalEnergies Trading SA: $48M Fine (‘Market Manipulation’)

August 27, 2024
Administrative Order by the U.S. Commodity Futures Trading Commission imposing a fine of $48 million on TOTSA TotalEnergies Trading SA, formerly known as TOTSA Total Oil Trading SA, of Switzerland, for allegedly attempting to manipulate the market for futures contracts linked to EBOB, which was described as "a type of refined gasoline used primarily in automobiles in Europe".

SEC v. Austal Ltd. et al: Motion to Approve Consent Judgment ($24M Fine)

August 26, 2024
Motion to Approve Consent Judgment regarding allegations that the defendants "engaged in a deceptive scheme to fraudulently overstate revenues and earnings before interest and tax" in U.S. Securities and Exchange Commission v. Austal Ltd., described as "an Australian defense contractor", and Austal USA LLC at the U.S. District Court for the Southern District of Alabama.

SEC v. Austal Ltd. et al: Complaint (‘Australian Defence Contractor Fraud’)

August 26, 2024
Complaint alleging the defendants "engaged in a deceptive scheme to fraudulently overstate revenues and earnings before interest and tax" in U.S. Securities and Exchange Commission v. Austal Ltd., described as "an Australian defense contractor", and Austal USA LLC at the U.S. District Court for the Southern District of Alabama.

SEC v. Abra: Complaint (‘Unregistered Crypto Lending’)

August 26, 2024
Complaint alleging the defendant failed to register the offers and sales of its retail crypto asset lending product, Abra Earn in U.S. Securities and Exchange Commission v. Plutus Lending, LLC, d.b.a. Abra, at the U.S. District Court for the District of Columbia.

SEC v. Bernardo Mendia-Alcaraz et al: Complaint (‘$3.3M Securities Fraud’)

August 23, 2024
Complaint alleging the defendants "raised approximately $3.3 million from at least 41 investors through a fraudulent scheme" in U.S. Securities and Exchange Commission v. Bernardo Mendia-Alcaraz, a.k.a. Bernardo Mendia, described as a dual citizen of Mexico and USA, and Toltec Capital LLC, as Defendants, and Edith Ramirez Cano. described as a citizen of Mexico residing in California, USA, and Fondo Toltec S de RL de CV, of Mexico, as Relief Defendants, at the U.S. District Court for the Northern District of California, USA.

SEC v. Nova Tech Ltd. et al: Complaint (‘$650M Fraudulent Crypto Trading Scheme’)

August 12, 2024
Complaint alleging "a fraudulent crypto trading investment and pyramid scheme" in U.S. Securities and Exchange Commission v. Nova Tech Ltd., of Saint Vincent and the Grenadines; Cynthia Petion, described as a citizen of the United States residing in Panama; Eddy Petion, described as a citizen of the United States residing in Panama; Martin Zizi, James Corbett, Corrie Sampson, Dapilinu Dunbar, John Garofano, and Marsha Hadley at the U.S. District Court for the Southern District of Florida.

CFTC v. FTX Trading Ltd. et al: Consent Order (‘$12.7B Penalties’)

August 7, 2024
Consent Order requiring restitution of $8.7 billion and disgorgement of $4 billion in Commodity Futures Trading Commission v. FTX Trading Ltd., of Antigua and Barbuda, and Alameda Research LLC, of Delaware, USA, at the U.S. District Court for the Southern District of New York, USA.

SEC v. Juan Campo: Complaint (‘Securities Fraud’)

July 26, 2024
Complaint alleging "three fraudulent schemes to create the false impression that View Systems, a publicly traded penny stock company, was actively engaged in potentially lucrative lines of business in order to make it attractive to investors" in U.S. Securities and Exchange Commission v. Juan Campo, a.k.a. John Campo, described as a citizen of Colombia, at the U.S. District Court for the District of Columbia, USA.

SEC v. John Brda et al: Complaint (‘Torchlight Energy Resources Stock Fraud’)

June 25, 2024
Complaint alleging "a fraudulent scheme to manipulate the price of Torchlight Energy Resources, Inc. stock and sell Torchlight stock to investors at inflated prices" in U.S. Securities and Exchange Commission v. John Brda and Georgios Palikaras, described as a citizen of Greece residing in Halifax, Nova Scotia, Canada, at the U.S. District Court for the Southern District of New York.

SEC v. Ilit Raz: Complaint (‘$21M Investment Fraud’)

June 11, 2024
Complaint alleging a $21 million fraud involving Joonko Diversity Inc. in U.S. Securities and Exchange Commission v. Ilit Raz, described as a citizen and resident of Israel, at the U.S. District Court for the Southern District of New York.

CFTC v. Falcon Labs Ltd.: $1.7M Disgorgement & Fine

May 13, 2024
Order by the Commodity Futures Commission imposing a fine and disgorgement totaling $1,768,512 on Falcon Labs Ltd., a crypto prime brokerage domiciled in the Seychelles, for operating as "a futures commission merchant" without being registered.

SEC v. Mark Borden: Complaint (‘Unregistered Broker for Securities Fraudster’)

April 8, 2024
Complaint alleging the defendant "acted as an unregistered broker" for Charlie Abujudeh, who is a convicted securities fraudster, and others in U.S. Securities and Exchange Commission v. Mark Borden, described as "an attorney licensed to practice law in Canada and a resident of Thornhill, Ontario, Canada", at the U.S. District Court for the Eastern District of New York.

SEC v. SION Trading FZE: Notice of Joint Liability (‘$37M Crypto Fraud’)

March 29, 2024
SEC's Notice of Joint Liability Against Relief Defendant SION Trading FZE, of the United Arab Emirates, regarding an alleged crypto-based investment fraud scheme in U.S. Securities and Exchange Commission v. Arbitrade Ltd., of Bermuda; Cryptobontix Inc., of Canada; Troy R.J. Hogg, of Canada; James L. Goldberg, Stephen L. Braverman, and Max W. Barber, as Defendants, and SION Trading FZE, as Relief Defendant, at the U.S. District Court for the Southern District of Florida.

CFTC v. KuCoin et al: Complaint (‘Unregistered Crypto Exchange’)

March 26, 2024
Complaint in U.S. Commodity Futures Trading Commission v. Mek Global Limited, of the Seychelles; PhoenixFin PTE. Ltd., of Singapore; Flashdot Limited, of the Cayman Islands, and Peken Global Limited, of the Seychelles, "collectively doing business as a centralized digital asset exchange under the name 'KuCoin'", at the U.S. District Court for the Southern District of New York.

SEC v. Michael Caridi: Letters Rogatory (Fabio Gesufatto et al, Canada)

March 14, 2024
SEC's unopposed motion for the issuance of letters rogatory to Fabio Gesufatto, Blu Stella Consulting Group Inc., Ommid Faghani, Kevin Rod, Scott Reeves, Elie Boustani, and Francois Latreille, who were described as citizens of Canada residing in Quebec, Canada, for a complaint alleging securities fraud in U.S. Securities and Exchange Commission v. Michael Caridi at the U.S. District Court for the District of Connecticut.

Cloopen Group Holding Ltd.: Cease and Desist Order (‘Accounting Fraud’)

February 6, 2024
Cease and Desist Order in U.S. Securities and Exchange Commission v. Cloopen Group Holding Limited, described as a Cayman Islands-domiciled, China-based "provider of cloud-based communications products and services to enterprises of various sizes located primarily in China", in an administrative proceeding before the Securities and Exchange Commission.

SEC v. Sam Lee et al: Complaint (‘$1.7B HyperFund Crypto Fraud’)

January 29, 2024
Complaint alleging "a global, crypto asset-related, multi-level marketing pyramid and Ponzi scheme that raised over $1.7 billion from victims worldwide, including millions from U.S. investors" in U.S. Securities and Exchange Commission v. Xue Samuel Lee, a.k.a. Sam Lee, described as a citizen of Australia residing in Dubai, United Arab Emirates, and Brenda Indah Chunga, a.k.a. Bitcoin Beautee, at the U.S. District Court for the District of Maryland.

SEC v. Michael Caridi: Amended Complaint (‘Fraud’)

January 22, 2024
Amended Complaint alleging "a fraudulent scheme by Caridi, the former chairman and chief executive of Tree of Knowledge International, Inc." in U.S. Securities and Exchange Commission v. Michael Caridi at the U.S. District Court for the District of Connecticut.

CFTC v. Debiex et al: Complaint (‘Pig Butchering Fraud’)

January 17, 2024
Complaint alleging fraud in Commodity Futures Trading Commission v. Debiex, as Defendant, and Zhāng Chéng Yáng, described as "a Chinese ntional", as Relief Defendant, at the U.S. District Court for the District of Arizona.

SEC v. Shanchun Huang: Complaint (‘Securities Fraud’)

January 11, 2024
Complaint alleging "the Chief Executive Officer (“CEO”) of Future FinTech Group Inc. (“Future FinTech”), a Nasdaq-listed corporation, manipulated the stock price of Future FinTech by buying hundreds of thousands of Future FinTech shares to artificially increase the company’s stock price shortly before and after he became CEO in March 2020" in U.S. Securities and Exchange Commission v. Shanchun Huang, described as a resident of London, England, at the U.S. District Court for the Southern District of New York.

SEC v. Terraform Labs Pte. Ltd. et al: Opinion and Order (‘$40B Crypto Fraud & Unregistered Securities’)

December 28, 2023
Opinion and Order granting, inter alia, SEC's motion for summary judgment "involving defendants’ unregistered offers and sales of LUNA and MIR in violation of Sections 5(a) and (5c) of the Securities Act" in U.S. Securities and Exchange Commission v. Terraform Labs Pte Ltd., of Singapore, and Do Hyeong Kwon, described in the complaint as a resident of South Korea and Singapore, at the U.S. District Court for the Southern District of New York.

SEC v. Rishi Kapoor et al: Asset Freeze Motion (‘$93M Fraud’)

December 27, 2023
SEC's Emergency Ex Parte Motion for Asset Freeze in U.S. Securities and Exchange Commission v. Rishi Kapoor, Location Ventures LLC, Urbin LLC, Patriots United LLC, Location Properties LLC, Location Properties LLC, Location Development LLC, Location Capital LLC, Location Ventures Resources LLC, Location Equity Holdings LLC, Location GP Sponsor LLC, 515 Valencia Sponsor LLC, LV Montana Sponsor LLC, Urbin Founders Group LLC, Urbin CG Sponsor LLC, 515 Valencia Partners LLC, LV Montana Phase I LLC, Stewart Grove 1 LLC, Stewart Grove 2 LLC, Location Zamora Parent LLC, Urbin Coral Gables Partners LLC, Urbin Coconut Grove Partners LLC, Urbin Miami Beach Partners LLC, and Urbin Miami Beach II Phase 1 LLC at the U.S. District Court for the Southern District of Florida.

SEC v. Dozy Mmobuosi et al: Complaint (‘Securities Fraud’)

December 18, 2023
Complaint "halt an ongoing fraud carried out by three related companies" in U.S. Securities and Exchange Commission v. Mmobuosi Odogwu Banye, a.k.a. Dozy Mmobuosi, described as a resident of London, England; Tingo Group Inc., described as a Delaware company based in New Jersey; Agri-Fintech Holdings Inc., f.k.a. Tingo Inc., described as a Nevada company based in Utah, and Tingo International Holdings Inc., described as a Delaware company based in Stamford, Connecticut, at the U.S. District Court for the Southern District of New York.