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.
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.
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.
