Monkton Insurance Services Ltd.: Controllers Appointed
Monkton Insurance Services Ltd. - Controllers Appointed - Public Notice - Cayman Islands Monetary Authority
SEC, CFTC & IRS Whistleblowing Chiefs to speak at OffshoreAlert Conference
For the first time in one public forum, the chiefs of the SEC, CFTC and IRS whistleblower offices will discuss Whistleblowing as a tool to fight financial crime at The 10th Annual OffshoreAlert Conference. Sean McKessy (SEC), Vince Martinez (CFTC),
SEC v. Locust Offshore Fund Ltd.: Notice of Default
Notice of Default in U. S. Securities and Exchange Commission v. Locust Offshore Fund Ltd. at the U. S. District Court for the District of Massachusetts.
SEC v. Locust Offshore Management, LLC: Notice of Default
Notice of Default in U. S. Securities and Exchange Commission v. Locust Offshore Management, LLC at the U. S. District Court for the District of Massachusetts.
SEC v. Andrey Hicks: Notice of Default
Notice of Default in U. S. Securities and Exchange Commission v. Andrey Hicks at the U. S. District Court for the District of Massachusetts.
Aaug Insurance Co. Ltd. et al v. Financial Services Commission: Fixed Date Claim Form
Fixed Date Claim Form in Aaug Insurance Co. Ltd. and Premier Assurance Group Ltd. v. British Virgin Islands Financial Services Commission at the British Virgin Islands High Court.
SEC v. Venulum Ltd. et al: SEC’s Unopposed Motion for Final Judgment
SEC's Unopposed Motion for Final Judgment in U. S. Securities and Exchange Commission v. Giles Cadman, a resident of the United Kingdom; Venulum Ltd., domiciled in the British Virgin Islands; and Venulum Inc., domiciled in Canada.
SEC v. Venulum Ltd. et al: Complaint
Complaint in U. S. Securities and Exchange Commission v. Venulum Ltd., domiciled in the British Virgin Islands; Venulum Inc., domiciled in Canada; and Giles Cadman, a resident of the United Kingdom, alleging that the defendants raised $22 million from more than 1,750 U. S. investors in two unregistered securities offerings.
SEC v. Pentagon Capital Management Plc et al: Opinion
Opinion in U. S. Securities and Exchange Commission v. Pentagon Capital Management Plc and Lewis Chester at the U. S. District Court for the Southern District of New York.
Justin Krzysztof Jozef Nicpon: Public Statement
Justin Krzysztof Jozef Nicpon - Public Statement - Jersey Financial Services Commission - February 3, 2012
SEC v. Kareem Serageldin et al: Complaint
Complaint alleging securities fraud in U. S. Securities and Exchange Commission v. Kareem Serageldin, David Higgs, Faisal Siddiqui, and Salmaan Siddiqui, all of Credit Suisse, at the U. S. District Court for the Southern District of New York.
Trustcorp Services Ltd. et al: Public Statement
Trustcorp Services Limited et al - Public Statement - Jersey Financial Services Commission - January 31, 2012
Bahamas Securities Commission v. Accuvest Funds Securities Ltd. et al: Judgment
Judgment in the Executive Director of the Securities Commission of the Bahamas v. Accuvest Funds Securities Limited and South American Investment Fund Limited at Bahamas Supreme Court.
parkers-consulting.co.uk
parkers-consulting.co.uk - Domain Whois
Sanwa Holdings: Investor Warning
Sanwa Holdings - Investor Warning - Austrian Financial Market Authority - December 21, 2011
Global Invest Switzerland AG
Global Invest Switzerland AG -Â Unauthorised institutions (black list) - Swiss Financial Market Supervisory Authority
SEC v. Stefan H. Benger et al: Second Amended Complaint
Second Amended Complaint in SEC v. Stefan H. Benger, SHB Capital, Inc., Jason B. Meyers, International Capital Financial Resources, LLC, Philip T. Powers, Frank I. Reinschreiber, Global Financial Management, LLC, CTA Worldwide Services, SA, and Stephan Von Hase at the U. S. District Court for the Northern District of Illinois.
Titan Invest PLC: Investor Warning
Titan Invest PLC - Investor Warning - Austrian Financial Market Authority - December 20, 2011
Marsh & Reede Capital: Investor Warning
Marsh & Reede Capital - Investor Warning - Austrian Financial Market Authority - December 17, 2011
SEC v. Allen Weintraub et al: SEC’s Witness List
SEC's Witness List in SEC v. Allen Weintraub and AWMS Acquisition, Inc., d.b.a. Sterling Global Holdings, at the U. S. District Court for the Southern District of Florida.
Carbon Advisory Council
Carbon Advisory Council -Â Unauthorised institutions (black list) - Swiss Financial Market Supervisory Authority
Carter Litwin Inc.
Carter Litwin, Inc. -Â Unauthorised institutions (black list) - Swiss Financial Market Supervisory Authority
Swiss Fidelity Investment AG
Swiss Fidelity Investment AG -Â Unauthorised institutions (black list) - Swiss Financial Market Supervisory Authority
Bahamas Supermarkets Limited: Public Notice (December 2011)
Bahamas Supermarkets Limited - Public Notice - Securities Commission of the Bahamas - December 14, 2011
BOZ Bank of Zurich
BOZ Bank of Zurich - Unauthorised institutions (black list) - Swiss Financial Market Supervisory Authority
First Standard Management
First Standard Management -Â
Unauthorised institutions (black list) - Swiss Financial Market Supervisory Authority
Farrel, Thornton, Lloyd & Brown: Investor Warning
Farrel, Thornton, Lloyd & Brown - Investor Warning - Austrian Financial Market Authority - December 3, 2011
SEC v. Michael R. Balboa et al: Complaint
Complaint alleging securities fraud in U. S. Securities and Exchange Commission v. Michael R. Balboa and Gilles T. De Charsonville at the U. S. District Court for the Southern District of New York.
Bermuda Monetary Authority v. The South of England Protection and Indemnity Association (Bermuda) Limited: Reasons for Winding-Up Order
Reasons for Winding-Up Order in Bermuda Monetary Authority v. The South of England Protection and Indemnity Association (Bermuda) Limited at Bermuda Supreme Court.
Europa Funds Limited: Decision Notice
Europa Funds Limited - Decision Notice - Cayman Islands Monetary Authority - November 28, 2011
Highfield Leveraged Arbitrage Fund: Decision Notice
Highfield Leveraged Arbitrage Fund - Decision Notice - Cayman Islands Monetary Authority - November 28, 2011
West End Fixed Income Partners (Cayman) Ltd.: Decision Notice
West End Fixed Income Partners (Cayman) Ltd. - Decision Notice - Cayman Islands Monetary Authority - November 28, 2011
The Swiss Intrex Commodity Futures Exchange
The Swiss Intrex Commodity Futures Exchange -Â Unauthorised institutions (black list) - Swiss Financial Market Supervisory Authority
Eclipse Advisory B.V.: Investor Warning
Eclipse Advisory B.V. - Investor Warning - Austrian Financial Market Authority - November 22, 2011
GeFin Geneva Financial Authority
GeFin Geneva Financial Authority - Unauthorized Institutions - Swiss Financial Market Supervisory Authority
Prospero Capital AG
Prospero Capital AG - Unauthorized Institutions - Swiss Financial Markets Supervisory Authority
SEC v. Patrick Rooney et al: Complaint
Complaint in Securities and Exchange Commission v. Patrick Rooney and Solaris Management, LLC at the U. S. District Court for the Northern District of Illinois.
SEC v. John A. Mattera et al: Complaint
Complaint in SEC v. John A. Mattera, Bradford Van Siclen, The Praetorian Global Fund, Ltd., Praetorian G Power I, LLC, Praetorian G Power II, LLC, Praetorian G Power IV, LLC, Praetorian G Power V, LLC, Praetorian G Power VI, LLC, John R. Arnold, First American Service Transmittals, Inc., Joseph Almazon, Spartan Capital Partners, and David E. Howard at the United States District Court for the Southern District of New York.
SAMM (Schweiz) AG
SAMM (Schweiz) AG - Unauthorised institutions (black list) - Swiss Financial Market Supervisory Authority
First Bermuda Securities (BVI) Ltd. et al: Censure & Fine
Consent by First Bermuda Securities (BVI) Ltd. and Jeffrey G. Conyers to a censure and $40,000 fine, respectively, and an additional fine of $10,000 for which they are jointly and severally liable to settle a regulatory investigation by FINRA.
SEC v. Arrowhead Capital Management LLC et al: Complaint
Complaint in U. S. Securities and Exchange Commission v. Arrowhead Capital Management LLC, James N. Fry, and Michelle W. Palm at the U. S. District Court for the District of Minnesota.
Parkers Consulting: Investor Warning
Parkers Consulting - Investor Warning - Austrian Financial Market Authority - November 3, 2011
Usedcars Warehouse Limited: Public Warning
Usedcars Warehouse Limited - Public Warning - Isle of Man Financial Supervision Commission - November 3, 2011
In the Matter of Douglas Ralph Garrod: Settlement Agreement
In the Matter of Douglas Ralph Garrod - Settlement Agreement - Investment Dealers Association of Canada - November 1, 2011
SIPC v. MF Global Inc.: Complaint
Complaint in Securities Investor Protection Corporation v. MF Global Inc. at the U. S. District Court for the Southern District of New York.
Chenglong International: Investor Warning
Chenglong International - Investor Warning - Austrian Financial Market Authority - October 28, 2011
SEC v. Andrey Hicks et al: SEC’s Supplemental Facts
SEC's Supplemental Facts in Support of Temporary Restraining Order, Order Freezing Assets, and Order for Other Equitable Relief in SEC v. Andrey Hicks, Locust Offshore Management, LLC and, as Relief Defendant, Locust Offshore Fund, Ltd. at the U. S. District Court for the District of Massachusetts.
SEC v. Scott Kupersmith et al: Complaint
Complaint in U. S. Securities and Exchange Commission v. Scott Kupersmith and Frederick Chelly at the U. S. District Court for the District of New Jersey.
SEC v. Andrey Hicks et al: Complaint
Complaint in U. S. Securities and Exchange Commission v. Andrey Hicks, Locust Offshore Management, LLC and, as relief defendant, Locust Offshore Fund, Ltd. at the U. S. District Court for the District of Massachusetts.
SEC v. Andrey Hicks et al: Emergency Motion for Temporary Restraining Order
Emergency Ex Parte Motion for for Temporary Restraining Order in U. S. Securities and Exchange Commission v. Andrey C. Hicks, Locust Offshore Management, LLC and, as relief defendant, Locust Offshore Fund, Ltd. at the U. S. District Court for the District of Massachusetts.
