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Swiss America Securities Ltd.: License Suspension

September 19, 2019
Public Notice by the Securities Commission of the Bahamas announcing the Temporary Suspension of the registration of Swiss America Securities Ltd., which is operated by Guy Gentile, a citizen of the United States.

SEC v. ICOBox et al: Complaint

September 18, 2019
Complaint alleging the "unregistered offering and unregistered broker activities of securities through so-called "token sales" or "initial coin offerings" in U. S. Securities and Exchange Commission v. ICOBox, of the Cayman Islands, and Nikolay Evdokimov, of Beverly Hills, California, at the U. S. District Court for the Central District of California.

Michelle Kwok Choi Ha: 15-Year Disqualification

September 18, 2019
News Release by the Hong Kong Securities and Futures Commission regarding the disqualification for "misconduct" of Michelle Kwok Choi Ha, a former executive director of Tack Fat Group International Limited, now known as Life Healthcare Group Limited.

Holtzbrinck Schweiz AG: Supervision

September 17, 2019
Public Notice by the Swiss Financial Market Supervisory Authority announcing the "Supervision" of self-described venture capital firm Holtzbrinck Schweiz AG, which is headed by Harold Max Burke, a citizen of the United Kingdom.

Marvell Technology Group, Ltd.: $5.5M Penalty

September 16, 2019
Order Instituting Cease-and-Desist Proceedings, Making Findings and Imposting a Civil Penalty against Marvell Technology Group, Ltd., domiciled in Bermuda, based in Santa Clara, California, before the U. S. Securities and Exchange Commission.

Vista Holding Group AG: Warning

September 16, 2019
Public Warning by the Swiss Financial Market Supervisory Authority regarding Vista Holding Group AG, which is headed by Karl Heinrich Gasser, of Zurich.

Daniloff Capital Management LLC et al: Sanctions

September 13, 2019
Order Instituting Administrative Proceedings and Imposing Remedial Sanctions regarding Synergy Hybrid Fund Ltd. and Synergy Hybrid Feeder Fund Ltd., both domiciled in the Cayman Islands, against ED Capital Management LLC, d.b.a. Daniloff Capital Management LLC, domiciled in Delaware, based in New York, and Elliott Daniloff, a.k.a. Ilya Olegovich Danilov, a citizen of Russia and the USA, before the U. S. Securities and Exchange Commission.

Sridhar Thiruvengadam: Findings

September 13, 2019
Order Instituting Administrative Proceedings and Making Findings regarding evidence that "an Indian government official had made a $2 million bribe demand" against Sridhar Thiruvengadam, a citizen of India, before the U. S. Securities and Exchange Commission.

Rafael Marconato: Sanctions

September 12, 2019
Order Instituting Proceedings, Making Findings and Imposing Remedial Sanctions regarding fraud against Rafael Marconato, described as a current rersident of Limeira, São Paulo, Brazil and a former resident of Miami, Florida, before the U. S. Commodity Futures Trading Commission.

SEC v. Mediatrix Capital Inc. et al: Complaint

September 12, 2019
Complaint alleging fraud in U. S. Securities and Exchange Commission v. Mediatrix Capital Inc., initially of Belize and then the Bahamas; Blue Isle Markets Inc., domiciled in Saint Vincent and the Grenadines, based in the Bahamas; Blue Isle Markets Ltd., of New Zealand; Michael Stephen Young, of Denver, Colorado; Michael Shawn Stewart, of Scottsdale, Arizona, and Bryant Edwin Sewall, of Dallas, Texas, and the Bahamas, as Defendants, and Mediatrix Capital Fund Ltd., of the Bahamas; Island Technologies LLC, of Puerto Rico; Victoria M. Stewart, Maria C. Young, Hanna Ohonkova Sewall, of Kiev, Ukraine; Michael C. Baker, of Denver, Colorado; Walter C. Young III, of Seattle, Washington; Arual LP, of Utah; West Beach LLC, of Puerto Rico; Salve Regina Trust, of the Cook Islands; TF Alliance LLC, of Colorado; Casa Conejo LLC, of Puerto Rico; Hase Haus LLC, of Colorado; DCC Islands Foundation, of the Bahamas; Keystone Business Trust, of Massachusetts; Weinzel LLC, of Nevada; The 1989 Foundation, of the Bahamas; Mediatrix Capital PR LLC, of Puerto Rico; Mediatrix Capital LLC, of Colorado, and Blue Isle Markets Inc., of the Cayman Islands, as Relief Defendants, at the U. S. District Court for the District of Colorado.

SEC v. Mediatrix Capital Inc. et al: Freezing Motion

September 12, 2019
Emergency Motion for an Ex Parte Asset Freeze and Temporary Restraining Order in U. S. Securities and Exchange Commission v. Mediatrix Capital Inc., initially of Belize and then the Bahamas; Blue Isle Markets Inc., domiciled in Saint Vincent and the Grenadines, based in the Bahamas; Blue Isle Markets Ltd., of New Zealand; Michael Stephen Young, of Denver, Colorado; Michael Shawn Stewart, of Scottsdale, Arizona, and Bryant Edwin Sewall, of Dallas, Texas, and the Bahamas, as Defendants, and Mediatrix Capital Fund Ltd., of the Bahamas; Island Technologies LLC, of Puerto Rico; Victoria M. Stewart, Maria C. Young, Hanna Ohonkova Sewall, of Kiev, Ukraine; Michael C. Baker, of Denver, Colorado; Walter C. Young III, of Seattle, Washington; Arual LP, of Utah; West Beach LLC, of Puerto Rico; Salve Regina Trust, of the Cook Islands; TF Alliance LLC, of Colorado; Casa Conejo LLC, of Puerto Rico; Hase Haus LLC, of Colorado; DCC Islands Foundation, of the Bahamas; Keystone Business Trust, of Massachusetts; Weinzel LLC, of Nevada; The 1989 Foundation, of the Bahamas; Mediatrix Capital PR LLC, of Puerto Rico; Mediatrix Capital LLC, of Colorado, and Blue Isle Markets Inc., of the Cayman Islands, as Relief Defendants, at the U. S. District Court for the District of Colorado.

CFTC v. FuturesFX et al: Complaint

September 10, 2019
Complaint alleging forex-related fraud in Commodity Futures Trading Commission v. FuturesFX and Simon Jousef, both of Ontario, Canada, at the U. S. District Court for the Southern District of New York.

Global Trade Solutions AG: Supervision

September 10, 2019
Public Announcement by the Swiss Financial Market Supervisory Authority that cryptocurrency firm Global Trade Solutions AG was "Subject to supervision".

LCX AG: Regulatory Notice

September 5, 2019
Public Notice by the Liechtenstein Financial Market Authority that LCX AG "has not been licensed by the FMA and has not submitted an authorization request to the FMA". Editor's Note: Research by OffshoreAlert showed that, in the Liechtenstein Commercial Register, the directors of LCX AG are identified as Katarina Metzger, Jack Michael Arrington, Max Kuo-Wei Wang, and Monty Carl Marc Metzger. On its website at www.lcx.com, the company claims to provide "Solutions for compliant digital assets and security tokens".

SEC v. Benjamin Alderson et al: Status Report – September 3, 2019

September 3, 2019
Discovery Status Report regarding securities fraud allegations against former employees of deVere USA in U. S. Securities and Exchange Commission v. Benjamin Alderson, described in the complaint in 2018 as a citizen of the United Kingdom residing in the Bahamas, and Bradley Hamilton, described in the complaint as a citizen and resident of the United Kingdom, at the U. S. District Court for the Southern District of New York.

SEC v. Morrie Tobin et al: First Amended Complaint (‘Securities Fraud’)

August 29, 2019
First Amended Complaint alleging securities fraud regarding Environmental Packaging Technologies Holdings, Inc. and CURE Pharmaceutical Holding Corp. in U. S. Securities and Exchange Commission v. Morrie Tobin, a resident of Los Angeles, California; Milan Patel, a resident of Miami, Florida; Matthew Ledvina, an attorney residing in Switzerland; Daniel Lacher, a resident of Switzerland; Brian Quinn, a resident of Newport Beach, California, and David Skriloff, a resident of New York, at the U. S. District Court for the District of Massachusetts.

SEC v. Brenda Smith et al: Complaint

August 27, 2019
Complaint for alleged securities fraud involving, inter alia, CV International Investments Ltd., of England, in U. S. Securities and Exchange Commission v. Brenda Ann Smith, Broad Reach Capital LP, Broad Reach Partners LLC, and Bristol Advisors LLC at the U. S. District Court for the District of New Jersey.

RSM US LLP: Findings & Sanctions

August 27, 2019
Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions in the matter of RSM US LLP, formerly McGladrey LLP, before the U. S. Securities and Exchange Commission.

First Abu Dhabi Bank PJSC: QAR200 Million Fine

August 25, 2019
Press Release by the Qatar Financial Centre Regulatory Authority regarding a fine of QAR 200 million (US$ 55 million) imposed on First Abu Dhabi Bank PJSC for "obstruction of investigation into market manipulation".

SEK Capital SA: Public Warning

August 22, 2019
Public Warning by the Swiss Financial Market Supervisory Authority regarding SEK Capital SA, which is operated by Kerstin Moleman, a citizen of Germany, and Simone Rastelli, a citizen of Italy.

Deutsche Bank AG: $16 Million Penalties

August 22, 2019
Order Instituting Cease-and-Desist Proceedings, Making Findings and Imposing a Cease-and-Desist Order in the matter of Deutsche Bank AG before the U. S. Securities and Exchange Commission.

ICO Rating: Sanctions Order

August 20, 2019
Order Instituting Cease-and-Desist Proceedings, Making Findings and Imposing Cease-and-Desist Order regarding Initial Coin Offerings in U.S. Securities and Exchange Commission v. ICO Rating, of Russia.

Richard Targett-Adams: Findings & Sanctions

August 19, 2019
Order Instituting Administrative Proceedings, Making Findings, & Imposing Remedial Sanctions in the Matter of Richard Targett-Adams, a resident of France, regarding Wintercap SA, of Switzerland, before the U. S. Securities and Exchange Commission.

Beverstone Fund Management et al: Decision

August 15, 2019
Decision in National Futures Association v. Beverstone Fund Management, of the Cayman Islands, and Roland Kaehler, a citizen of Canada, by the Business Conduct Committee of the National Futures Association.

Lorenz Erne: Insider Trading Penalty

August 15, 2019
Findings and Sanctions regarding insider trading in the U. S. Securities and Exchange Commission v. Lorenz Erne, of Switzerland.

SEC v. Stuart Frost et al: Complaint

August 13, 2019
Complaint alleging securities fraud regarding funds in the Cayman Islands and Delaware in U. S. Securities and Exchange Commission v. Stuart Frost, of Laguna Niguel, California, and Frost Management Company LLC, of Delaware, at the U. S. District Court for the Central District of California.

Medisun Precision Medicine, Ltd. et al: Administrative Proceedings

August 13, 2019
Order Instituting Administrative Proceedings in the matter of Medisun Precision Medicine, Ltd., of the Marshall Islands, whose shares are listed on OTC Link; Next Graphite, Inc., of Nevada, and Omni Shrimp, Inc., of Nevada, before the U. S. Securities and Exchange Commission.

CFTC v. Yukom Communications Ltd. et al: Complaint

August 12, 2019
Complaint for "an illegal and fraudulent 'binary options' trading scheme" involving companies in Anguilla, Bulgaria, Cyprus, Gibraltar, Israel, Malta, Marshall Islands, Mauritius, Saint Vincent and the Grenadines, and the United Kingdom in Commodity Futures Trading Commission v. Yukom Communications Ltd., of Israel; Linkopia Mauritius Ltd., of Mauritius; Wirestech Limited, d.b.a. BigOption, of the Marshall Islands; WSB Investments Ltd., d.b.a. BinaryBrook, of Anguilla, Gibraltar, St. Vincent and the Grenadines, and the United Kingdom; Zolarex Ltd., d.b.a. BinaryOnline, of the Marshall Islands; Yakov Cohen, an Israeli residing in Israel and Mauritius; Yossi Herzog, of Israel; Lee Elbaz, of Israel, currently incarcerated in the USA, and Shalom Peretz, of Israel, at the U. S. District Court for the Northern District of Illinois.

Swiss Global Investments Sàrl: Public Warning

August 2, 2019
Public Warning by the Swiss Financial Market Supervisory Authority regarding Swiss Global Investments Sàrl, which is owned by Kavmon Limited, of Saint Kitts and Nevis, evidently owned by or affiliated with Paul Kavanagh, a citizen of Ireland apparently residing in France, and Stuart Hamon, a citizen of the United Kingdom, and which claims on its website at www.swissglobalgroup.com to have offices in Geneva and Dubai.

Federal Trade Commission v. Ecological Fox LLC et al: Opinion on Preliminary Injunction

August 2, 2019
Memorandum Opinion in Support of Preliminary Injunction regarding alleged telemarketing fraud involving a real estate development in Belize known as Sanctuary Bay, Sanctuary Belize, and The Reserve in Federal Trade Commission v. Ecological Fox, LLC, Frank Costanzo, a.k.a. Frank Green; Luke Chadwick, Andris Pukke, a.k.a. Marc Romeo and Andy Storm; Peter Baker, Global Property Alliance, Inc., Sittee River Wildlife Reserve, Buy Belize LLC, Buy International, Inc., Foundation Development Management, Inc., Eco-Futures Development, Eco-Futures Belize Limited, Power Haus Marketing, Brandi Greenfield, BG Marketing, LLC, Prodigy Management Group, LLC, John Usher, Rod Kazazi, Foundation Partners, Belize Real Estate Affiliates, LLC, Exotic Investor, Inc., Southern Belize Realty, LLC, Sanctuary Belize Property Owners' Association, Atlantic International Bank, Ltd., Angela Chittenden, Beach Bunny Holdings, LLC, The Estate of John Pukke, John Vipulis, and Deborah Connelly at the U. S. District Court for the Central District of California.

SEC v. Benjamin Alderson et al: Status Report – August 1, 2019

August 1, 2019
Status Report regarding securities fraud allegations against former employees of deVere USA in U. S. Securities and Exchange Commission v. Benjamin Alderson, described in the complaint in 2018 as a citizen of the United Kingdom residing in the Bahamas, and Bradley Hamilton, described in the complaint as a citizen and resident of the United Kingdom, at the U. S. District Court for the Southern District of New York.

Abraaj Capital Ltd.: Fine

July 29, 2019
Decision Notice by the Dubai Financial Services Authority regarding a fine imposed on Abraaj Capital Limited (in Provisional Liquidation), of Dubai.

Abraaj Investment Management Ltd.: Fine

July 29, 2019
Decision Notice by the Dubai Financial Services Authority regarding a fine imposed on Abraaj Investment Management Limited (in Provisional Liquidation), of the Cayman Islands.

Curtis Dalton: Sanctions

July 29, 2019
Findings and Sanctions by the U. S. Commodity Futures Trading Commission regarding Curtis Dalton, of Massachusetts, d.b.a. Binary International, a binary options trader who "did business pursuant to an agreement with a British Virgin Islands company located in Cyprus".

eCharge.io AG: Public Warning

July 25, 2019
Public Warning by the Swiss Financial Market Supervisory Authority about "unauthorized activities" by cryptocurrency firm eCharge.io AG, whose 'Founders' on its website are identified as Markus Dold, of Germany; Dariia Manovytska, of Ukraine, and Holger Czesnat, of Germany.

SEC v. Panayiotis Kyriacou: Judgment

July 25, 2019
Judgment in U. S. Securities and Exchange Commission v. Panayiotis Kyriacou, a.k.a. Peter Kyriacou, of the United Kingdom, at the U. S. District Court for the Eastern District of New York.

SEC v. Beaufort Securities Ltd.: Judgment

July 25, 2019
Judgment in U. S. Securities and Exchange Commission v. Beaufort Securities Ltd., of the United Kingdom, at the U. S. District Court for the Eastern District of New York.

SEC v. Facebook Inc.: Complaint & Judgment

July 24, 2019
Complaint and Consent to Judgment regarding Cambridge Analytica, of the United Kingdom, in U. S. Securities and Exchange Commission v. Facebook Inc. at the U. S. District Court for the Northern District of California.

OneTRADEx Ltd.: Public Notice of Controllership

July 19, 2019
Public Notice by the Cayman Islands Monetary Authority regarding controllers being appointed for OneTRADEx Ltd., an online discount broker whose owners and operators appear to be Canadian.

Mubashir Ahmed Sheikh: Disqualification

July 18, 2019
Decision Notice by the Dubai Financial Services Authority imposing penalties for dishonesty on Dr. Mubashir Ahmed Sheikh regarding MAS ClearSight Ltd., of which Sheikh was chairman, director and acting Senior Executive Officer. Editor's Note: Mubashir Ahmed Sheikh currently operates CS Global Capital SA, of Switzerland, which is "a multi-line Investment Banking, Private Equity and Real Estate Advisory Business", according to its website at http://csglobalcapital.com.

Sanne Fiduciary Services Ltd.: Fine

July 17, 2019
Public Statement by the Jersey Financial Services Commission regarding a £381,010 fine imposed on Sanne Fiduciary Services Limited.

SEC v. Garrett O’Rourke et al: Complaint

July 17, 2019
Complaint alleging securities fraud involving "offshore nominee entities", including at least one in Malta, in U. S. Securities and Exchange Commission v. Garrett M. O'Rourke, of Miami Beach, Florida, and Michael J. Black, of Maryland, at the U. S District Court for the Eastern District of New York.

SEC v. Garrett O’Rourke et al: TRO Motion

July 17, 2019
SEC's Application for an Order to Show Cause, Temporary Restraining Order, and Order Freezing Assets regarding an alleged securities fraud scheme involving Canada, Malta, Philippines, Singapore, Switzerland, and the USA in U. S. Securities and Exchange Commission v. Garrett M. O'Rourke and Michael J. Black at the U. S District Court for the Eastern District of New York.