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FinCEN v. Oppenheimer & Co. Inc.: Press Release

January 27, 2015
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. Douglas Furth: Complaint

December 12, 2014
Complaint in U. S. Securities and Exchange Commission v. Douglas Furth at the U. S. District Court for the Eastern District of New York.

SEC v. Albert Scipione: Complaint

November 18, 2014
Complaint in U. S. Securities and Exchange Commission v. Albert J. Scipione at the U. S. District Court for the Middle District of Florida.

Football Talent Fund et al: Investor Alert

November 14, 2014
Investor Alert by the Anguilla Financial Services Commission against Football Talent Fund, Cavendish Asset Management Ltd., and Global Agricultural Fund Ltd.

SEC v. Bruce D. Strebinger et al: Complaint

November 3, 2014
Complaint in U. S. Securities and Exchange Commission v. Bruce D. Strebinger, Howard Chapman, and Nevis-domiciled Muskateer Investments, Inc., as defendants, and Anne E. Strebinger, Furla Blue SpA, Lance Investments S.A. and Muskateer Investments, Inc., as relief defendants, at the U. S. District Court for the Northern District of Georgia.

SEC v. Banc de Binary Ltd. et al: Order Granting Motion for Summary Judgment

October 28, 2014
Order Granting SEC's Motion for Summary Judgment against Oren Shabat Laurent, ET Binary Options Ltd., and BO Systems Ltd. in U. S. Securities and Exchange Commission v. Banc de Binary Ltd., Oren Shabat Laurent, formerly known as Oren Shabat, ET Binary Options Ltd., BO Systems Ltd., and BDB Services Ltd. at the U. S. District Court for the District of Nevada.

The Four Elements PCC: Warning

October 20, 2014
Public Notice by the Mauritius Financial Services Commission warning the public about The Four Elements PCC.

Lancelot Global PCC: Warning

October 20, 2014
Public Notice by the Mauritius Financial Services Commission warning the public about Lancelot Global PCC.

SEC v. Banc de Binary Ltd. et al: Motion for Summary Judgment

October 8, 2014
SEC's Motion for Summary Judgment against Oren Shabat Laurent, ET Binary Options Ltd., and BO Systems Ltd. in U. S. Securities and Exchange Commission v. Banc de Binary Ltd., Oren Shabat Laurent, formerly known as Oren Shabat, ET Binary Options Ltd., BO Systems Ltd., and BDB Services Ltd. at the U. S. District Court for the District of Nevada.

Channel Islands Stock Exchange: £190,000 Fine

October 1, 2014
Public Statement by the Guernsey Financial Services Commission regarding a £190,000 fine levied on The Channel Islands Stock Exchange in relation to transactions in the listed securities of Arch Guernsey ICC Limited or its incorporated cells.

SEC v. Abatement Corp. Holding Company Ltd.: Motion for Asset Freeze

September 10, 2014
Motion for Asset Freeze in U. S. Securities and Exchange Commission v. Abatement Corp. Holding Company Limited, domiciled in the Turks and Caicos Islands, as defendant, and Brenda M. Davis, International Balanced Fund, as relief defendants, at the U. S. District Court for the Southern District of Florida.

SEC v. Abatement Corp. Holding Company Ltd.: Complaint

September 10, 2014
Complaint in U. S. Securities and Exchange Commission v. Abatement Corp. Holding Company Limited, domiciled in the Turks and Caicos Islands, as defendant, and Brenda M. Davis, International Balanced Fund, as relief defendants, at the U. S. District Court for the Southern District of Florida.

SEC v. Robert Bandfield et al: Complaint

September 9, 2014
Complaint in U. S. Securities and Exchange Commission v. Robert Bandfield, Andrew Godfrey, a citizen of Belize, and IPC Corporate Services, LLC, which is domiciled in Nevis, based in Belize, at the U. S. District Court for the Eastern District of New York.

Arthur Vann: Cease and Desist

August 28, 2014
Cease and Desist Order in the matter of Arthur Vann by the Securities Commissioner of South Carolina.

SEC v. Anthony Blumberg: Complaint

August 7, 2014
Complaint alleging fraud in U. S. Securities and Exchange Commission v. Anthony G. Blumberg at the U. S. District Court for the District of New Jersey.

SEC v. Carrillo Huettel LLP et al: Amended Complaint

June 26, 2014
Amended Complaint in U. S. Securities and Exchange Commission v. Carrillo Huettel LLP, Luis J. Carrillo, Wade D. Huettel, Gibraltar Global Securities, Warren Davis, John B. Kirk, Benjamin T. Kirk, Dylan L. Boyle, James K. Hinton, Jr., Luniel de Beer, Joel P. Franklin, Pacific Blue Energy Corporation, and Tradeshow Marketing Company Ltd. at the U. S. District Court for the Southern District of New York.

SEC v. FutureGen Capital et al: Complaint

June 12, 2014
Complaint in U. S. Securities and Exchange Commission v. Lawrence P. Schmidt, FutureGen Company, d.b.a. FutureGen Capital; Commercial Equity Partners, Ltd., FGC Distressed Assets Investment #1, LLC, FutureGen Capital DDA CG Fund LLC, FGC Tax Lien Fund #2, LLC, FGC Trading Fund #1 LLC, FGC SPE No. 1 LLC, FGC SPE No. 2 LLC, and FGC CM Note Fund LLC at the U. S. District Court for the District of Columbia.

SEC v. Vineet Kalucha et al: Complaint

May 5, 2014
Complaint in U. S. Securities and Exchange Commission v. Vineet Kalucha, George Palathinkal, and Aphelion Fund Management LLC at the U. S. District Court for the Southern District of New York.

SEC v. Dave Clark et al: Dismissal Order

May 5, 2014
Order of Dismissal in U. S. Securities and Exchange Commission v. Fred Davis Clark, Jr., a.k.a. Dave Clark; Barry J. Graham, Cristal R. Coleman, a.k.a. Cristal Clark; David W. Schwarz, Ricky Lynn Stokes U. S. District Court for the Southern District of Florida - May 5, 2012

CFTC v. Royal Bank of Canada: Sanctions Order

March 28, 2014
Order Granting Motion to Compel Discovery and For Sanctions in United States Commodity Futures Trading Commission v. Royal Bank of Canada at the U. S. District Court for the Southern District of New York.

SEC v. Banc de Binary Ltd. et al: Second Amended Complaint

March 11, 2014
Second Amended Complaint in U. S. Securities and Exchange Commission v. Banc de Binary Ltd., Oren Shabat Laurent, ET Binary Options Ltd., BO Systems Ltd. Seychelles, and BDB Services Ltd. Seychelles at the U. S. District Court for the District of Nevada.

Florida Bankers Association et al v. U. S. Treasury et al: Order and Opinion

January 13, 2014
Order and Memorandum Opinion in Florida Bankers Association and Texas Bankers Association v. United States Department of Treasury, Internal Revenue Service, Jack Lew, and Steven T. Miller at the U. S. District Court for the District of Columbia. In this case, the plaintiffs challenged the legality of new IRS reporting requirements for U.S. banks to inform the IRS about certain accounts held by foreign account-holders.

SEC v. Dhia Jafar et al: First Amended Complaint

December 23, 2013
First Amended Complaint alleging insider trading involving the securities of Life Technologies Corp. and Onyx Pharmaceuticals Inc. in the U. S. Securities and Exchange Commission in Dhia Jafar, a.k.a. Dhia Yahya Dhia Al-Din Jaffar, described as an Iraq-born citizen of Belize residing in Dubai, and Omar Nabulsi, of Jordan, at the U. S. District Court for the Southern District of New York.

SEC v. Malom Group AG et al: Complaint

December 16, 2013
Complaint alleging "advance-fee investment schemes" in U. S. Securities and Exchange Commission v. Malom Group AG, of Switzerland; Martin U. Schläpfer, of Switzerland; Hans-Jürg Lips, of Switzerland; James C. Warras, of Waterford, Wisconsin; Joseph N. Micelli, of Las Vegas, Nevada; M.Y. Consultants Inc., of Nevada; Anthony B. Brandel, M. Dwyer LLC, of Las Vegas, Nevada,  and Sean P. Finn, of Whitefish, Montana, at the U. S. District Court for the District of Nevada.

Venulum Ltd. et al: Final Order and Consent to Entry of Order

September 30, 2013
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.

Hayes Capital: Public Statement

September 25, 2013
Hayes Capital - Public Statement - Jersey Financial Services Commission - Public Statement - September 25, 2013