Regulatory

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CFTC v. FTX Trading Ltd. et al: Consent Order (‘$12.7B Penalties’)

Consent Order requiring restitution of $8.7 billion and disgorgement of $4 billion in Commodity Futures Trading Commission v. FTX Trading Ltd., of Antigua and Barbuda, and Alameda Research LLC, of Delaware, USA, at the U.S. District Court for the Southern District of New York, USA.

Labuan FSA: Business Restrictions (July 27, 2024)

Public Notice by the Labuan Financial Services Authority regarding business restrictions on 25 Labuan Licensed Entities "for non-compliance to minimum capital and/or other regulatory requirements".

Equiom (Guernsey) Ltd.: £455K Fine (Guernsey)

Public Notice by the Guernsey Financial Services Commission that it has imposed a fine of £455,000 on Equiom (Guernsey) Limited, described as "a large business with a high-risk appetite and a significant number of high-risk relationships", for regulatory breaches, including those involving citizens of Russia.

SEC v. Juan Campo: Complaint (‘Securities Fraud’)

Complaint alleging "three fraudulent schemes to create the false impression that View Systems, a publicly traded penny stock company, was actively engaged in potentially lucrative lines of business in order to make it attractive to investors" in U.S. Securities and Exchange Commission v. Juan Campo, a.k.a. John Campo, described as a citizen of Colombia, at the U.S. District Court for the District of Columbia, USA.

SEC v. Patrick Orlando: Complaint (‘Securities Fraud’)

Complaint alleging "fraudulent conduct and materially false and misleading statements and omissions made by Patrick Orlando, in his capacity as the Chief Executive Officer and Chairman of Digital World Acquisition Corp." in U.S. Securities and Exchange Commission v. Patrick Orlando at the U.S. District Court for the District of Columbia.

Thierry Grun: Auditor Disqualification (Luxembourg)

Public Notice by the Luxembourg CSSF that it has imposed "the permanent deregistration from the public register and the permanent prohibition for the réviseur d’entreprises agréé (approved statutory auditor)" of Thierry Grun.

Saturn4FX Sàrl: Public Warning (Switzerland)

Public Warning by the Swiss Financial Market Supervisory Authority that Saturn4FX International Management Sàrl, now known as Saturn4FX Sàrl, “is suspected of conducting unauthorised activities in the financial market”.

SEC v. John Brda et al: Complaint (‘Torchlight Energy Resources Stock Fraud’)

Complaint alleging "a fraudulent scheme to manipulate the price of Torchlight Energy Resources, Inc. stock and sell Torchlight stock to investors at inflated prices" in U.S. Securities and Exchange Commission v. John Brda and Georgios Palikaras, described as a citizen of Greece residing in Halifax, Nova Scotia, Canada, at the U.S. District Court for the Southern District of New York.

Astorica SA: Public Warning (Switzerland)

Public Warning by the Swiss Financial Market Supervisory Authority that Astorica SA “is suspected of conducting unauthorised activities in the financial market”.

Safe Trust SNC: Public Warning (Switzerland)

Public Warning by the Swiss Financial Market Supervisory Authority that Safe Trust SNC “is suspected of conducting unauthorised activities in the financial market”.

SEC v. Ilit Raz: Complaint (‘$21M Investment Fraud’)

Complaint alleging a $21 million fraud involving Joonko Diversity Inc. in U.S. Securities and Exchange Commission v. Ilit Raz, described as a citizen and resident of Israel, at the U.S. District Court for the Southern District of New York.

ChainDigger GmbH: Public Warning (Switzerland)

Public Warning by the Swiss Financial Market Supervisory Authority that ChainDigger GmbH (in Liquidation) “is suspected of conducting unauthorised activities in the financial market”.

MCA Intelifunds Ltd.: €360K Fine (Cyprus)

Public Notice by the Cyprus Securities and Exchange Commission that it has imposed a fine of €360,000 on MCA Intelifunds Limited, trading as FXORO, for regulatory breaches.

Atlas Administration AG: Public Warning (Switzerland)

Public Warning by the Swiss Financial Market Supervisory Authority that Atlas Administration AG (in Liquidation) “is suspected of conducting unauthorised activities in the financial market”.

SEC v. Mark Borden: Complaint (‘Unregistered Broker for Securities Fraudster’)

Complaint alleging the defendant "acted as an unregistered broker" for Charlie Abujudeh, who is a convicted securities fraudster, and others in U.S. Securities and Exchange Commission v. Mark Borden, described as "an attorney licensed to practice law in Canada and a resident of Thornhill, Ontario, Canada", at the U.S. District Court for the Eastern District of New York.

SEC v. SION Trading FZE: Notice of Joint Liability (‘$37M Crypto Fraud’)

SEC's Notice of Joint Liability Against Relief Defendant SION Trading FZE, of the United Arab Emirates, regarding an alleged crypto-based investment fraud scheme 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, as Relief Defendant, at the U.S. District Court for the Southern District of Florida.

CFTC v. KuCoin et al: Complaint (‘Unregistered Crypto Exchange’)

Complaint in U.S. Commodity Futures Trading Commission v. Mek Global Limited, of the Seychelles; PhoenixFin PTE. Ltd., of Singapore; Flashdot Limited, of the Cayman Islands, and Peken Global Limited, of the Seychelles, "collectively doing business as a centralized digital asset exchange under the name 'KuCoin'", at the U.S. District Court for the Southern District of New York.

SEC v. Michael Caridi: Letters Rogatory (Fabio Gesufatto et al, Canada)

SEC's unopposed motion for the issuance of letters rogatory to Fabio Gesufatto, Blu Stella Consulting Group Inc., Ommid Faghani, Kevin Rod, Scott Reeves, Elie Boustani, and Francois Latreille, who were described as citizens of Canada residing in Quebec, Canada, for a complaint alleging securities fraud in U.S. Securities and Exchange Commission v. Michael Caridi at the U.S. District Court for the District of Connecticut.

DexTech AG: Public Warning (Switzerland)

Public Warning by the Swiss Financial Market Supervisory Authority that DexTech AG “is suspected of conducting unauthorised activities in the financial market”.