SEC v. Andy Altahawi: Second Amended Complaint (‘Fraudulent NASDAQ Listing’)
Second Amended Complaint in U.S. Securities and Exchange Commission v. Andy Altahawi at the U.S. District Court for the Southern District of New York.
National Futures Association v. Mark Nichols et al: Decision
Decision in National Futures Association v. Almas Capital Management LLC and Mark G. Nichols by the National Futures Authority Hearing Panel.
PCAOB v. KPMG Bermuda et al: Sanctions Order
Order of Findings and Imposing Sanctions in Public Company Accounting Oversight Board v. KPMG Audit Limited and Damion J. Henderson, both of Bermuda.
National Futures Association v. Mark Nichols et al: Response to Complaint
Response to Complaint in National Futures Association v. Almas Capital Management LLC and Mark G. Nichols.
National Futures Association v. Mark Nichols et al: Complaint
Complaint in National Futures Association v. Almas Capital Management LLC and Mark G. Nichols.
Beverstone Fund Management et al: Suspension
Notice of Member Responsibility Action and Associate Responsibility Action in National Futures Association v. Beverstone Fund Management, of the Cayman Islands, and Roland Kaehler.
SEC v. Floyd Mayweather, Jr.: Administrative Proceeding
Order instituting cease-and-desist proceedings, making findings, and imposing an order in U. S. Securities and Exchange Commission v. Floyd Mayweather, Jr.
SEC v. Morrie Tobin et al: Complaint (‘Securities Fraud’)
Complaint in U.S. Securities and Exchange Commission v. Morrie Tobin, Milan Patel, Matthew Ledvina, described as an attorney residing in Switzerland, and Daniel Lacher at the U.S. District Court for the District of Massachusetts.
SEC v. Petroleo Brasileiro SA – Petrobras: Administrative Order
Order instituting cease and desist proceedings in U. S. Securities and Exchange Commission v. Petroleo Brasileiro S.A..
Mark Graham et al: Regulatory Penalties
Order Instituting Administrative Proceedings, Making Findings and Imposing Sanctions against Mark R. Graham, of New York, NY; Blue Capital Management, Inc., of San Juan, Puerto Rico, and Blue Alternative Asset Management, L.L.C., of New York, NY, before the U. S. Securities and Exchange Commission.
SEC v. Bruce Hauptman et al: Penalties
Findings and Sanctions in Administrative Proceedings in U. S. Securities and Exchange Commission v. Bruce A. Hauptman and Grand Teton Capital Management, LLC, both of Wyoming.
SEC v. deVere USA, Inc.: $8M Administrative Penalty
Administrative Penalty in U. S. Securities and Exchange Commission v. deVere USA, Inc.
SEC v. LongFin Corp. et al: First Amended Complaint (‘$33M Unregistered Distributions’)
First Amended Complaint in U.S. Securities and Exchange Commission v. LongFin Corp., Venkata Meenavalli, Amro Izzelden Altahawi, a.k.a. Andy Altahawi; Suresh Tammineedi, described as a citizen and resident of India, and Dorababu Penumarthi , described as a citizen and resident of the United Kingdom, at the U.S. District Court for the Southern District of New York.
Joseph Krigsfeld et al: $160K Fine & Industry Ban
Administrative Order by the U. S. Securities and Exchange Commission imposing a fine of $160,000 and industry ban on Joseph Krigsfeld, of New York, and censuring Aberon Capital Management LLC for securities fraud that, inter alia, involved Cayman Islands-domiciled Aberon Capital Master Fund.
SEC v. LongFin Corp. et al: Complaint (‘$27M Unregistered Distributions’)
Complaint in U.S. Securities and Exchange Commission v. LongFin Corp., Venkata Meenavalli, Amro Izzelden Altahawi, a.k.a. Andy Altahawi; Suresh Tammineedi, of India, and Dorababu Penumarthi , described as a citizen and resident of the United Kingdom, at the U.S. District Court for the Southern District of New York.
SEC v. Crypto Asset Management, LP et al: Findings & Sanctions
Order Instituting Administrative Proceedings, Making Findings & Imposing Sanctions In the Matter of Crypto Asset Management, LP and Timothy Enneking before the U. S. Securities and Exchange Commission.
SEC v. Biscayne Capital International LLC et al: Sanctions Order
Order in U. S. Securities and Exchange Commission v. Biscayne Capital International LLC, Roberto G. Cortes, Ernesto H. Weisson, Juan Carlos Cortes, and Frank R. Chatburn.
SEC v. Biscayne Capital International LLC et al: Administrative Proceeding
Administrative Proceeding in U. S. Securities and Exchange Commission v. Biscayne Capital International LLC, Roberto G. Cortes, Ernesto H. Weisson, Juan Carlos Cortes, and Frank R. Chatburn.
New Hampshire Department of State v. Interinvest Corp. et al: Cease and Desist Order
Cease and Desist Order by State of New Hampshire Department of State Bureau of Securities Regulation against Interinvest Corp., Hans Peter Black, and Alexander Richard Black.
FinCEN v. Oppenheimer & Co. Inc.: Press Release
Press Release entitled 'FinCEN Fines Oppenheimer & Co. Inc. $20 Million for Continued Anti-Money Laundering Shortfalls' regarding its relationship with Bahamas-based Gibraltar Global Securities in FinCEN v. Oppenheimer & Co.
SEC v. Oppenheimer & Co. Inc.: Order Instituting Administrative and Cease-and-Desist Proceedings
Order Instituting Administrative and Cease-and-Desist Proceedings in U. S. Securities and Exchange Commission v. Oppenheimer & Co. Inc.
Arthur Vann: Cease and Desist
Cease and Desist Order in the matter of Arthur Vann by the Securities Commissioner of South Carolina.
FINRA v. Rani Jarkas et al: Hearing Panel Decision
Hearing Panel Decision in FINRA Department of Enforcement v. Rani T. Jarkas and William H. Carson.
Venulum Ltd. et al: Final Order and Consent to Entry of Order
Final Order and Consent to Entry of Order In the Matter of Venulum Ltd., Venulum, Inc., and Giles D. Cadman at the State of Oregon Department of Consumer and Business Services, Division of Finance and Corporate Securities.
South Carolina Securities Commissioner v. Venulum Ltd.: Consent Order
Consent Order in Securities Commissioner of South Carolina v. Venulum Ltd.
SEC v. David R. Smith: Order Instituting Administrative Proceedings
Order Instituting Administrative Proceedings U. S. Securities and Exchange Commission v. David R. Smith.
SEC v. Igors Nagaicevs: Complaint
Complaint alleging "a brazen stock price manipulation scheme" in U.S. Securities and Exchange Commission v. Igors Nagaicevs, described as a citizen of Latvia, at the U.S. District Court for the Northern District of California.
SEC v. Martin Currie Inc. et al: Sanctions Order
Sanctions Order in U. S. Securities and Exchange Commission v. Martin Currie Inc. and Martin Currie Investment Management Ltd.
First Bermuda Securities (BVI) Ltd. et al: Censure & Fine
Consent by First Bermuda Securities (BVI) Ltd. and Jeffrey G. Conyers to a censure and $40,000 fine, respectively, and an additional fine of $10,000 for which they are jointly and severally liable to settle a regulatory investigation by FINRA.
Rani Jarkas: FINRA BrokerCheck Report
FINRA BrokerCheck Report for Rani Tarek Jarkas.
FINRA v. Rani T. Jarkas: Settlement
Order Accepting Offer of Settlement in a FINRA action styled as 'Department of Enforcement vs. Rani T. Jarkas'.
Lanfear Capital Advisers, LLC v. Rani Jarkas et al: Arbitration Award
FINRA Arbitration Award in the matter of 'Lanfear Capital Advisers, LLC vs. Rani Jarkas and Global Crown Capital, LLC'.
FINRA v. Rani Jarkas: Complaint
Complaint filed by FINRA's Department of Enforcement against Rani T. Jarkas.
Leonard Becker et al v. Rani Jarkas et al: Arbitration Award
FINRA Arbitration Award in the matter of 'Leonard and Nancy Becker vs. Global Crown Capital and Rani Jarkas'.
Ronnie Moas v. Ehrenkrantz King Nussbaum Inc. et al: Arbitration Award
Arbitration Award in Ronnie Moas v. Ehrenkrantz King Nussbaum Inc., Anthony Ottimo, Thomas Giugliano, Robert Bursky, Michael Berlin, and Robert Bursky before the NASD Dispute Resolution.
Gary B. Liebschner v. Robert Bales et al: Arbitration Award
Arbitration Award in 2003 against Robert Bales, currently suspected of murdering 16 civilians in Afghanistan while serving as a Sergeant in the U. S. Army, and others for defrauding a client.
State of Maine v. The Boston Group et al: Consent Agreement
Consent Agreement in The State of Maine Bureau of Banking, Securities Division v. The Boston Group, Anthony Peter Allocca, Michael Allocca Jr., Mark Antony Angelo, Angelo Achilles Armenta, Jeffrey Scott Blitz, Francis Joshua Coady, Nils Christian Hellpap, Clifford Frederick Mastricola, Andrew DeWayne Morgan, Jackie Eugene Rumph, and David Leonard Sheppard.
Raymond Grundeman v. Robert Seropian et al: Arbitration Award ($4.8K)
Award in the amount of $4,800 against Robert Seropian and James Kimberly in Raymond D. Grundeman v. Kensington Wells Inc., Robert Seropian, and James Kimberly in the matter of an arbitration before NASD Regulation Inc.
State of Maine v. The Boston Group et al: Notice of Amendment
Notice of Amendment in State of Maine Bureau of Banking, Securities Division v. The Boston Group, Anthony Peter Allocca, Michael Allocca Jr., Mark Antony Angelo, Angelo Achilles Armenta, Jeffrey Scott Blitz, Francis Joshua Coady, Nils Christian Hellpap, Clifford Frederick Mastricola, Andrew DeWayne Morgan, Jackie Eugene Rumph, Kevin Erick Scannell, and David Leonard Sheppard.
State of Maine v. The Boston Group et al: Notice of Intent to Censure
Notice of Intent to Censure in State of Maine Bureau of Banking, Securities Division v. The Boston Group, Anthony Peter Allocca, Michael Allocca Jr., Mark Antony Angelo, Angelo Achilles Armenta, Jeffrey Scott Blitz, Francis Joshua Coady, Kevin Erick Scannell, Nils Christian Hellpap, Clifford Frederick Mastricola, Andrew DeWayne Morgan, Jackie Eugene Rumph, and David Leonard Sheppard.
