Beaufort Management Services Ltd.: License Suspension
Press Release by the Mauritius Financial Services Commission concerning Beaufort Management Services Ltd.
SEC v. Beaufort Securities Ltd. et al: Complaint
Complaint in U. S. Securities and Exchange Commission v. Beaufort Securities Ltd. and Panayiotis Kyriacou, a.k.a. Peter Kyriacou, at the U. S. District Court for the Eastern District of New York.
Vincent Charles Roberts: Public Statement
Public statement by the Jersey Financial Services Commission announcing a financial services industry ban against Vincent Charles Roberts after determining him to be "not fit and proper".
SEC v. Brian Sodi et al: Complaint
Complaint in U. S. Securities and Exchange Commission v. Brian Robert Sodi, Capital Financial Media, LLC, and List Data Solutions LLC at the U. S. District Court for the Northern District of Alabama.
Smiths Gore and Son’s Reserve Loan Company: Public Statement
Public Statement by the British Virgin Islands Financial Services Commission regarding Smiths Gore and Son's Reserve Loan Company.
Caribbean Commercial Investment Bank Ltd. v. Eastern Caribbean Central Bank et al: Opinion and Order Staying Adversary Proceedings
Opinion and Order Staying Adversary Proceedings in Caribbean Commercial Investment Bank Ltd. v. Caribbean Commercial Bank (Anguilla) Ltd., National Commercial Bank of Anguilla Ltd., and Eastern Caribbean Central Bank and in National Bank of Anguilla (Private Banking Trust) Ltd. v. National Bank of Anguilla, National Commercial Bank of Anguilla and Eastern Caribbean Central Bank, both at the U. S. Bankruptcy Court for the Southern District of New York.
Excellence Investment Umbrella SICAV Plc: Liquidation Order
Public Notice regarding Directive to Excellence Investment Umbrella SICAV Plc by the Malta Financial Services Authority.
Apex Fund Services (IOM) Ltd.: Public Statement
Public Statement by the Isle of Man Financial Services Authority regarding a civil penalty imposed on Apex Fund Services (IOM) Limited.
Solicitors Regulation Authority v. Andrew Lindsay et al: Judgment
Judgment in Solicitors Regulation Authority v. Andrew Lindsay and Marina Frankel at the Solicitors Disciplinary Tribunal.
Meinl Bank (Antigua) Ltd.: License Revocation
Notice of the revocation of the license of Meinl Bank (Antigua) Ltd. by the Antigua and Barbuda Financial Services Regulatory Commission.
David Francis v. Jersey FSC: Judgment
Judgment in David Jonathan Francis v. Jersey Financial Services Commission at the Royal Court of Jersey.
Tauri Ursa Fund Ltd. et al: Investor Alert
Investor Alert by the Anguilla Financial Services Commission regarding Tauri Ursa Fund Ltd. and Tauri Ursa Partners Ltd.
Biscayne Capital Ltd.: Winding-Up Application
Letter to 'All clients and custodians of Biscayne Capital Ltd.' disclosing an Application for Winding-Up by the Securities Commission of the Bahamas.
Law Society of Upper Canada v. David Lesperance: Notice of Application
Notice of Application - Conduct in The Law Society of Upper Canada v. David Sylvio Lesperance at The Law Society Tribunal Hearing Division.
Rajindersingh Borthosow: Cancellation of Disqualification
Determination of the Mauritius Financial Services Review Panel cancelling the disqualification of Rajindersingh Borthosow.
SEC v. Stephen B. Pence: Michael Stegawski’s Motion to Quash Subpoena
Michael Stegawski's Motion to Quash Subpoena or for the Entry of a Protective Order in U. S. Securities and Exchange Commission v. Stephen B. Pence at the U. S. District Court for the Southern District of Florida.
SEC v. Guy Gentile: Amended Complaint
Amended Complaint in U. S. Securities and Exchange Commission v. Guy Gentile at the U. S. District Court for the District of New Jersey.
Anthony Fenech et al: Regulatory Penalties
Regulatory penalties in Malta Financial Services Authority v. Anthony Fenech, Ian Zammit, and Joseph Xuereb.
BOI Bank Corporation: Abandoned Property – September 28, 2017
'Abandoned Property' reported by BOI Bank Corporation, domiciled in Antigua and Barbuda.
Ontario Securities Commission v. David Sidders et al: Statement of Allegations
Statement of Allegations in Ontario Securities Commission v. Donna Hutchinson, Cameron Edward Cornish, David Paul George Sidders, and Patrick Jelf Caruso.
Titan Volatility Fund Offshore Ltd. et al: Warning Notice
Warning Notice by the Cayman Islands Monetary Authority against Titan Volatility Fund Offshore Ltd. and Titan Volatility Fund LP.
Titan Global Return Fund Offshore Ltd. et al: Warning Notice
Warning Notice by the Cayman Islands Monetary Authority against Titan Global Return Fund Offshore Ltd. and Titan Global Return Fund LP.
Titan Asia Volatility Fund Ltd. et al: Warning Notice
Warning Notice by the Cayman Islands Monetary Authority against Titan Asia Volatility Fund Ltd. and Titan Asia Volatility Fund LP.
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.
Guernsey FSC v. Belvedere Group: Letter
Letter from Guernsey Financial Services Commission concerning an investigation, known as 'Project Sauveur', into the Belvedere Management Group.
Blenheim Fiduciary Group Ltd.: Financial Penalty
Public Statement announcing financial penalty in Guernsey Financial Services Commission v. Blenheim Fiduciary Group Limited.
Michael Doyle et al: Director Disqualifications
Director disqualifications in Guernsey Financial Services Commission v. Michael Joseph Doyle and Belinda Doyle, nee Belinda Lanyon.
Allen Stanford Receiver v. Hunton & Williams: Motion to Approve Settlement
Motion to Approve Settlement with Hunton & Williams in Ralph Janvey, as Court-appointed Receiver for the Stanford Receivership Estate; The Official Stanford Investors Committee, Pam Reed, Samuel Troice, Michoacan Trust v. Greenberg Traurig, LLP, Hunton & Williams, LLP, and Yolanda Suarez at the U. S. District Court for the Northern District of Texas.
Cumulus Eastern European Property Fund Ltd.: Winding Up Announcement
News release by the Bermuda Monetary Authority announcing the winding up of Cumulus Eastern European Property Fund Limited.
Global Bank of Commerce Ltd.: Abandoned Property – August 3, 2017
'Abandoned Property' reported by Global Bank of Commerce Ltd., domiciled in Antigua and Barbuda.
Law Society of Upper Canada v. David Lesperance: License Suspension Continuation
Reasons for Decision in The Law Society of Upper Canada v. David Sylvio Lesperance at The Law Society Tribunal.
SEC v. Clear Water Securities, Inc. et al: Final Judgment Against Clear Water Securities and Legacy Global Markets
Final Judgment Against Clear Water Securities, Inc. and Legacy Global Markets S.A. in U. S. Securities and Exchange Commission v. Caledonian Bank Ltd., Caledonian Securities Ltd., Clear Water Securities, Inc., Legacy Global Markets S.A., and Verdmont Capital, S.A. at the U. S. District Court for the Southern District of New York.
Beechwood Re: Controllers Appointed
Public Notice by the Cayman Islands Monetary Authority announcing that Controllers have been appointed for Beechwood Re.
SEC v. Guy Gentile: Nancy Brown Declaration
Declaration of Nancy A. Brown in U. S. Securities and Exchange Commission v. Guy Gentile at the U. S. District Court for the District of New Jersey.
Brett Jolly: Director Disqualification
Case Details of the Director Disqualification of Brett Jolly by the United Kingdom Insolvency Service.
New World Oil & Gas Plc: Public Statement
Public Statement in Jersey Financial Services Commission v. New World Oil & Gas Plc.
CFTC v. Jason Scharf et al: SRO Motion
Ex Parte Motion for Statutory Restraining Order in U. S. Commodity Futures Trading Commission v. Jason B. Scharf, d.b.a. Citrades.com and AutoTradingBinary.com; CIT Investments LLC, Brevspand EOOD, C I T Investments Ltd., A&J Media Partners, Inc., Michael Shah, and Zilmil, Inc. at the U. S. District Court for the Middle District of Florida.
CFTC v. Jason Scharf et al: Complaint
Complaint in U. S. Commodity Futures Trading Commission v. Jason B. Scharf, d.b.a. Citrades.com and AutoTradingBinary.com; CIT Investments LLC, Brevspand EOOD, C I T Investments Ltd., A&J Media Partners, Inc., Michael Shah, and Zilmil, Inc. at the U. S. District Court for the Middle District of Florida.
BVI Financial Services Commission v. Harneys Insurance Management Services Ltd.: Fixed Date Claim Form
Fixed Date Claim Form in the British Virgin Islands Financial Services Commission v. Harneys Insurance Management Services Limited at the British Virgin Islands High Court.
Capital Solutions Ltd. et al: Directors’ Bans & Fines
Public Announcement regarding directors' bans and fines in Guernsey Financial Services Commission v. Capital Solutions Limited, Stillwater Worldwide Limited, Stillwater Investment Enterprise Limited, Philip Anthony John Montague, Terence Joseph Scullion, and David John De Carteret.
Providence Financial Investments, Inc. et al v. John Abio et al: Complaint
Complaint in Maria Yip, as Trustee of Providence Financial Investments, Inc. and Providence Fixed Income Fund, LLC, v. John Abio, a.k.a. Tre Brandenberg, and Abio Financial Group, Inc. at the U. S. Bankruptcy Court for the Southern District of Florida.
Kingsend Capital Partners, Ltd.: Fund Cancellation
Decision Notice announcing termination of fund registration in Cayman Islands Monetary Authority v. Kingsend Capital Partners, Ltd.
Craigmuir Authorised Representative Ltd.: Administrative Penalty
Administrative Penalty against Craigmuir Authorised Representative Limited by the British Virgin Islands Financial Services Commission.
SEC v. Naris Chamroonrat et al: Amended Complaint
Amended Complaint alleging fraud in U. S. Securities and Exchange Commission v. Naris Chamroonrat, described as a citizen of the USA and Thailand; Yaniv Avnon, a citizen of Israel; Ran Armon, a resident of Thornhill, Ontario, Canada; G Six Trading Y.R. Ltd., of Israel, and Adam L. Plumer, of Las Vegas, Nevada, USA, as Defendants, and NKO Holdings Co. Ltd., of Hong Kong, as Relief Defendant, at the U. S. District Court for the District of New Jersey.
Andrew Grimes: Decision Notice
Decision Notice in Dubai Financial Services Authority v. Andrew Grimes.
SEC Performance Review: Behind The Enforcement Statistics
After a thorough review of 15 years of SEC enforcement actions, Professor Urska Velikonja found that the widely-circulated statistics were invalid, and the metrics deeply flawed, with the SEC double and triple counting many of its enforcement actions and overstating fines.
Caribbean Commercial Investment Bank Ltd. v. Eastern Caribbean Central Bank et al: Complaint
Complaint in Caribbean Commercial Investment Bank Ltd. v. Caribbean Commercial Bank (Anguilla) Ltd., National Commercial Bank of Anguilla Ltd., and Eastern Caribbean Central Bank at the U. S. Bankruptcy Court for the Southern District of New York.
Cornerstone Private Capital Group Ltd.: Unlicensed Activity
Public Notice by the Securities Commission Commission of the Bahamas regarding Cornerstone Private Capital Group Ltd.
Solicitors Regulation Authority v. Alan Hutson et al: Judgment
Judgment in Solicitors Regulation Authority v. Alan George Hutson and Rachel Mary Hutson at the Solicitors Disciplinary Tribunal.
National Bank of Anguilla (Private Banking & Trust) Ltd. v. National Bank of Anguilla Ltd. et al: Amended Complaint
Amended Complaint in National Bank of Anguilla (Private Banking & Trust) Ltd. v. National Bank of Anguilla Ltd., National Commercial Bank of Anguilla Ltd., and the Eastern Caribbean Central Bank at the U. S. Bankruptcy Court for the Southern District of New York.
