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SEC v. Paul Bilzerian: Opinion & Contempt Order (‘Saint Kitts and Nevis Litigation’)

January 24, 2025
Memorandum Opinion and Contempt Order for allegedly violating a Court order "by instigating legal proceedings ... in the Eastern Caribbean Supreme Court" against Kevin Horstwood, described as a resident of Saint Kitts and Nevis, in U.S. Securities and Exchange Commission v. Paul Bilzerian at the U.S. District Court for the District of Columbia.

Pio Valletta: €105K Fine (Malta)

January 20, 2025
Public Notice by the Malta Financial Services Authority that it has imposed a fine of €105,000 and other penalties on Dr. Pio Valletta for operating as a corporate services provider without being registered.

Hub Investments Ltd.: License Revocation (Mauritius)

January 13, 2025
Pubic Notice by the Mauritius Financial Services Commission that it has revoked the "Global Business Licence and Investment Dealer (Full-Service Dealer Excluding Underwriting) Licence" of Hub Investments Ltd.

SEC v. Arbitrade Ltd. et al: Confidentiality & Protective Order (‘Bermuda Testimony’)

January 9, 2025
Confidentiality and Protecting Order Governing Disclosure of Personal, Sensitive, and Other Confidential Information in U.S. Securities and Exchange Commission v. Arbitrade Ltd., of Bermuda; Cryptobontix Inc., of Canada; Troy R.J. Hogg, of Canada; James L. Goldberg, Stephen L. Braverman, and Max W. Barber, as Defendants, and SION Trading FZE, of the United Arab Emirates, as Relief Defendant, at the U.S. District Court for the Southern District of Florida.

SEC v. Equity Acquisition Company Ltd. et al: Compliance Enforcement Application (‘$3.4M in Outstanding Regulatory Penalties’)

January 7, 2025
Application for an Order Enforcing Compliance with Commission Order requiring the respondents to pay $3.9 million in U.S. Securities and Exchange Commission v. Equity Acquisition Company Ltd., described as "a trust organized under the laws of Bermuda", and Carsten Klein, described as a citizen of Germany residing in Parkland, Florida, at the U.S. District Court for the Southern District of Florida.

CLTS Technologies (Gibraltar) Ltd.: License Revocation (Gibraltar)

December 18, 2024
Public Notice by the Gibraltar Financial Services Commission that it has revoked the license of CLTS Technologies (Gibraltar) Limited, which had been registered with the regulator as "a Virtual Asset Arrangement Provider", for "contraventions of the Proceeds of Crime Act 2015".

Labuan FSA: Business Restrictions (December 13, 2024)

December 13, 2024
Public Notice by the Labuan Financial Services Authority regarding business restrictions on 30 Labuan Licensed Entities "for non-compliance to minimum capital and/or other regulatory requirements".

SEC v. Chibuzo Onyeachonam et al: Complaint (‘$2.9M Fraud’)

December 11, 2024
Complaint alleging the defendants "impersonated real-life United States securities broker and investment adviser representatives online and by telephone and fraudulently obtained at least $2.9 million from mostly U.S.-based investors" in U.S. Securities and Exchange Commission v. Chibuzo Augustine Onyeachonam, Stanley Chidubem Asiegbu, and Chukwuebuka Martin Nweke-Eze, all described as citizens and residents of Nigeria, at the U.S. District Court for the District of New Jersey.

SEC v. Frederick Dencer et al: Complaint (‘$17M Fraud’)

December 10, 2024
Complaint alleging "the Standard Holdings Defendants defrauded at least 40 investors out of millions of dollars, which Defendants Tayt Dencer and his son, Luke Dencer, misappropriated to fund their lavish lifestyle" in U.S. Securities and Exchange Commission v. Frederick Tayton Dencer , Luke Abelard Dencer, Standard Holdings Inc., Standard Huaxia Ltd., of Hong Kong, and Dennis Edward Butler at the U.S. District Court for the Central District of California.

SEC v. Xtreme Fighting Championships Inc. et al: Complaint (‘$5M Securities Fraud’)

December 9, 2024
Complaint alleging "a fraudulent scheme to illegally sell large amounts of Xtreme Fighting stock to the investing public" involving entities in the Cayman Islands, Saints Kitts and Nevis, and USA in U.S. Securities and Exchange Commission v. Steve A. Smith Jr. and Xtreme Fighting Championships Inc. at the U.S. District Court for the Southern District of Florida.

Video: Regulating English Football: Football Governance Bill, Financial Fair Play & Anti-Corruption Measures

December 2, 2024
This session will look at proposed and existing laws and rules to keep English football clean and competitive, including Financial Fair Play rules and the Football Governance Bill, which would appoint an 'Independent Football Regulator' to regulate English men's elite football, including the Premier League, which is the world's third-highest grossing sports league by revenue.

Novalpina Capital Partners I GP Sàrl v. Oregon Department of Justice: Plaintiff’s Reply in Support of Petition to Set Aside Civil Investigation Demand

November 27, 2024
Plaintiff's Reply in Support of its Petition to Set Aside Civil Investigation Demand in Novalpina Capital Partners I GP Sàrl, described as "the former general partner of a private equity fund registered in the Grand Duchy of Luxembourg in which the Oregon Public Employees Retirement Fund made an investment" v. Oregon Department of Justice at the Circuit Court of the State of Oregon, for the County of Multnomah, USA.

Ontario Securities Commission v. Chuck Sullivan: Judicial Assistance (Canada)

November 25, 2024
Emergency Ex Parte Application for Judicial Assistance by the Ontario Securities Commission to compel Chuck Sullivan "to appear and testify remotely before the Capital Markets Tribunal" regarding an action against Kallo Inc., John Cecil, and Samuel Pyo for alleged fraud, filed at the U.S. District Court for the Middle District of North Carolina.

SEC v. Cyril Cabanes: Complaint (‘$250M Bribery’)

November 20, 2024
Complaint alleging violations of the Foreign Corrupt Practices Act in U.S. Securities and Exchange Commission v. Cyril Sebastien Dominique Cabanes, described as a citizen of France residing in Singapore, at the U.S. District Court for the Eastern District of New York.

MAPA Finanz GmbH: Public Warning (Switzerland)

November 18, 2024
Public Warning by the Swiss Financial Market Supervisory Authority that MAPA Finanz GmbH “is suspected of conducting unauthorised activities in the financial market”.

Labuan FSA: Business Restrictions (October 30, 2024)

October 30, 2024
Public Notice by the Labuan Financial Services Authority regarding business restrictions on 31 Labuan Licensed Entities "for non-compliance to minimum capital and/or other regulatory requirements".

Stephen Dewsnip: Disqualification (Guernsey)

October 25, 2024
Public Announcement by the Guernsey Financial Services Commission that it "decided to prohibit Mr Stephen Paul Dewsnip from performing any function on behalf of a regulated entity".

Alpmann AG: Public Warning (Switzerland)

October 22, 2024
Public Warning by the Swiss Financial Market Supervisory Authority that Alpmann AG “is suspected of conducting unauthorised activities in the financial market”.

Labuan FSA: Business Restrictions (October 18, 2024)

October 18, 2024
Public Notice by the Labuan Financial Services Authority regarding business restrictions on 26 Labuan Licensed Entities "for non-compliance to minimum capital and/or other regulatory requirements".

SEC v. Norman Meier et al: Complaint (‘$7.9M Securities Fraud’)

October 11, 2024
Complaint alleging the defendant "defrauded over 180 investors, mostly European, out of at least $7.9 million" in U.S. Securities and Exchange Commission v. Norman V. Meier, described as a citizen of Switzerland residing in Massachusetts, USA, as Defendant, and Treuhand Inc., Norman Meier International Inc., a.k.a. NMI Inc; Windeco Corporation, Texxon Oil Corp., and International Financial Services Inc., a.k.a. IFS Inc, d.b.a. IRM Inc., as Relief Defendants, at the U.S. District Court for the District of Massachusetts.

Novalpina Capital Partners I GP Sàrl v. Oregon Department of Justice: Petition to Set Aside Civil Investigation Demand

October 9, 2024
Petition to Set Aside Civil Investigation Demand in Novalpina Capital Partners I GP Sàrl, described as "the former general partner of a private equity fund registered in the Grand Duchy of Luxembourg in which the Oregon Public Employees Retirement Fund made an investment" v. Oregon Department of Justice at the Circuit Court of the State of Oregon, for the County of Multnomah, USA.

SEC v. Vy Pham: Complaint (‘Crypto Investment Fraud’)

October 9, 2024
Complaint that "arises from Defendant Vy Pham’s unregistered offers and sales of two crypto assets as securities, and from her schemes to manipulate the market for those securities " in U.S. Securities and Exchange Commission v. Vy Pham at the U.S. District Court for the District of Massachusetts.

SEC v. Russell Armand et al: Complaint (‘Crypto Investment Fraud’)

October 9, 2024
Complaint that "arises from the defendants’ unregistered and fraudulent offers and sales of crypto assets being offered and sold as securities to the investing public and their manipulative trading of those securities" in U.S. Securities and Exchange Commission v. Russell Armand, Maxwell Hernandez, Manpreet Singh Kohli, described as a resident of England and India, and Nam Tran at the U.S. District Court for the District of Massachusetts.