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SEC v. Providence Financial Investments, Inc. et al: TRO Motion

June 7, 2016
Emergency Motion for a Temporary Restraining Order in U. S. Securities and Exchange Commission v. Providence Financial Investments, Inc., Providence Fixed Income Fund, LLC, Jeffory Churchfield, and Jack Jarrell at the U. S. District Court for the District of Minnesota.

SEC v. Devon Archer et al: Complaint

May 11, 2016
Complaint in U. S. Securities and Exchange Commission v. Devon D. Archer, Bevan T. Cooney, Hugh Dunkerley, Jason W. Galanis, John P. Galanis, Gary T. Hirst and Michelle A. Morton at the U. S. District Court for the Southern District of New York.

SEC v. Caledonian Bank Ltd. et al: Sentinel Trust’s Notice of Motion to Intervene

April 28, 2016
Notice of Motion to Intervene by Sentinel Trust Services Limited in the 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.

SEC v. Samuel E. Wyly et al: Request for Assistance

April 15, 2016
Request for Judicial Assistance in U. S. Securities and Exchange Commission v. Samuel E. Wyly and Donald Miller (in his capacity as Independent Executor of the Will and Estate of Charles J. Wyly Jr), Michael C. French, Louis J. Schaufele III, as defendants, and Cheryl Wyly, Evan Acton Wyly, Laurie Wyly Matthews, David Matthews, Lisa Wyly, John Graham, Kelly Wyly O'Donovan, Andrew Wyly, Christiana Wyly, Caroline D. Wyly, Martha Wyly Miller, Donald R. Miller, Jr., in his individual capacity, Charles J. Wyly III, Emily Wyly Lindsey, Jennifer Wyly Lincoln, James W. Lincoln, Persons, Trusts, Limited Partnerships and Other Entities Known and Unknown, filed at the Grand Court of the Cayman Islands.

Leonard Pichler: Officer Disqualification

April 1, 2016
Public Notice by the Mauritius Financial Services Commission announcing the disqualification of Leonard Pichler from holding the position of officer.

CityGate Securities Ltd.: License Revocation

March 31, 2016
Public Notice by Mauritius Financial Services Commission announcing the revocation of the Broker License and Global Business License of CityGate Securities Limited, which was part of the Belvedere Management Group.

SEC v. Guy Gentile: Complaint

March 23, 2016
Complaint in U. S. Securities and Exchange Commission v. Guy Gentile at the U. S. District Court for the District of New Jersey.

SEC v. Caledonian Bank Ltd. et al: Liquidators’ Letter

February 22, 2016
Liquidators' Response to an attempt by Sentinel Trust Services Limited to intervene in the U. S. Securities and Exchange Commission v. Caledonian Bank Ltd. and Caledonian Securities Ltd. at the U. S. District Court for the Southern District of New York.

SEC v. Caledonian Bank Ltd. et al: SEC Letter

February 22, 2016
SEC Letter opposing attempt to intervene by Sentinel Trust Services Limited in U. S. Securities and Exchange Commission v. Caledonian Bank Ltd. and Caledonian Securities Ltd. at the U. S. District Court for the Southern District of New York.

Alpine Consult Ltd. et al: Carbon Credit Network Liquidations

February 10, 2016
Press Release by the United Kingdom's Insolvency Service announcing that "19 companies involved in a giant boiler room scam to sell carbon credits to the public for investment have been ordered into liquidation in the public interest, following petitions presented by the Secretary of State for Business, Innovation & Skills", namely Alpine Consult Limited, Environmental Acquisitions Limited, Blue Horizons Trading Ltd., Burlington Energy Markets Ltd., Charles Stratton Limited, Claremont James Ltd., CNI (UK) Limited, Clear View Partnership Ltd., Eden Brown Group S.L., Enviro Associates Limited, Global Carbon Exchange Limited, Harman Royce Limited, Karlsson Chase Limited, Liberty Alternative Investments Limited, New Frontier Partnership Ltd., Oswald Bradshaw Limited, Pure Carbon Ltd., Seasaw Limited, and Strategic Carbon Solutions Ltd.,

SEC v. Verdmont Capital, S.A. et al: Notice of Liquidation

January 12, 2016
Notice of Liquidation of Verdmont Capital, S.A. in U. S. Securities and Exchange Commission v. Caledonian Bank Ltd., Caledonian Securities Ltd., Verdmont Capital, S.A., Clear Water Securities, Inc. and Legacy Global Markets S.A. at the U. S. District Court for the Southern District of New York.

The Global Mutual Fund PCC et al: Administrators’ First Report

December 30, 2015
First Report of the Joint Administration Managers and the Joint Liquidators (Grant Thornton) of The Global Mutual Fund PCC Limited, The Worldwide Mutual Fund PCC Limited, The Universal Mutual Fund ICC Limited, and The Trinity Global Fund - all part of the Belvedere Management Group - to The Royal Court of Guernsey and Investors.

SEC v. Caledonian Bank Ltd. et al: Plan of Discovery

December 18, 2015
Plan of Discovery regarding Verdmont Capital, S.A. in U. S. Securities and Exchange Commission v. Caledonian Bank Ltd., Caledonian Securities Ltd., Verdmont Capital, S.A., Clear Water Securities, Inc. and Legacy Global Markets S.A. at the U. S. District Court for the Southern District of New York.

SEC v. Jehu Hand et al: Complaint

December 10, 2015
Complaint in U. S. Securities and Exchange Commission v. Jehu Hand and Antonio Katz at the U. S. District Court for the District of Massachusetts.

SEC v. Caledonian Bank Ltd. et al: Opinion & Order

November 10, 2015
Opinion and Order 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.

Bermuda Monetary Authority: Regulator or Promotional Agency?

November 10, 2015
A few years ago, the then head of enforcement for the Bermuda Monetary Authority was rendered apoplectic on stage at an OffshoreAlert Conference after being asked to name a single individual or legal entity that the financial services regulator had ever penalized or disciplined since it was established in 1969. It's difficult to come up with names off the top of your head when they number so few. Financial regulators in the United States penalize more financial miscreants in a typical afternoon than the BMA has in its entire 46-year history. For promotional purposes, the BMA's message is 'We have one of the three biggest insurance markets in the world. Yes indeed, sniff, sniff, we're the world's risk capital'. For regulatory purposes, the message seems to be 'Insurance market? What insurance market?'.

SEC v. Caledonian Bank Ltd. et al: Motion for Default Motion

November 2, 2015
Motion for Default 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., Verdmont Capital S.A., Clear Water Securities, Inc. and Legacy Global Markets S.A. at the U. S. District Court for the Southern District of New York.

SEC v. Jason W. Galanis et al: Complaint

September 24, 2015
Complaint alleging fraud regarding Bermuda-based Gerova Financial Group, Ltd. in U. S. Securities and Exchange Commission SEC v. Jason W. Galanis, John P. Galanis, Jared M. Galanis, Derek M. Galanis, Gary T. Hirst, and Gavin L. Hamels at the U. S. District Court for the Southern District of New York.

James Nicholls: Disqualification

September 17, 2015
Updated Public Statement by the Jersey Financial Services Commission that it has disqualified James Nicholls, formerly of Horizon Trustees (Jersey) Limited (in Liquidation), "from holding any key person or principal person position in the business of any registered person".