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Fletcher International, Ltd.: Motion to Stymie SEC Investigation

September 10, 2013
Motion of Fletcher Asset Management, Inc. for an order enjoining the Bankruptcy Trustee of Bermuda hedge fund Fletcher International, Ltd. from producing documents to the U. S. Securities and Exchange Commission, filed at the U. S. Bankruptcy Court for the Southern District of New York.

SEC v. John G. Rizzo: Complaint

August 2, 2013
Complaint alleging securities fraud in U. S. Securities and Exchange Commission v. John G. Rizzo at the U. S. District Court for the Southern District of California.

SEC v. Banc De Binary Ltd.: Complaint

June 5, 2013
Complaint in U. S. Securities and Exchange Commission v. Banc De Binary Ltd. at the U. S. District Court for the District of Nevada.

SEC v. Banc De Binary Ltd.: TRO Motion

June 5, 2013
Motion for Temporary Restraining Order in U. S. Securities and Exchange Commission v. Banc De Binary Ltd. at the U. S. District Court for the District of Nevada.

Navigating the Regulation Nightmare in Offshore Transactions

May 6, 2013
This session will arm you with basic tools to make you just a little bit dangerous when discussing international initiatives such as FATCA (including the US, UK and EU versions), AIFMD, EMIR, Dodd Frank, CFTC and a host of other acronyms that are a portent of the new age of borderless regulation. Watch NowView Trailer

SEC v. Carrillo Huettel LLP et al: Complaint

March 15, 2013
Complaint in U. S. Securities and Exchange Commission v. Carrillo Huettel LLP, Luis J. Carrillo, Wade D. Huettel, Gibraltar Global Securities Inc., 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, Tradeshow Marketing Company Ltd., and Dr. Luis Carrillo at the U. S. District Court for the Southern District of New York.

SEC v. Stanford International Bank et al: Amended Motion to Approve Settlement

March 12, 2013
Amended Joint Motion to Approve Settlement Agreement in U. S. Securities and Exchange Commission v. R. Allen Stanford, James M. Davis, Laura Pendergest-Holt, Stanford International Bank, Ltd., Stanford Group Company, and Stanford Capital Management, LLC at the U. S. District Court for the Northern District of Texas.

CFTC v. Nikolai Battoo et al: Liquidators’ Response to Contempt Motion

March 11, 2013
British Virgin Islands Liquidators' Response to Contempt Motion in U. S. Commodity Futures Trading Commission v. Nikolai Simon Battoo, BC Capital Group SA, BC Capital Group International Limited, a.k.a. BC Capital Group Limited, a.k.a. BC Capital Group Global; BC Capital Management LLP, and BC Capital Group Holdings SA at the U. S. District Court for the Northern District of Illinois.

CFTC v. Nikolai Battoo et al: Contempt Motion Against BVI Liquidators

March 4, 2013
Emergency Motion to hold Hadley Chilton and John Greenwood, of Baker Tilly (BVI) Limited, as the British Virgin Islands liquidators of funds controlled by Nikolai Batto, in contempt for allegedly violating an asset-freeze order in U. S. Commodity Futures Trading Commission v. Nikolai Simon Battoo, BC Capital Group SA, BC Capital Group International Limited, a.k.a. BC Capital Group Limited, a.k.a. BC Capital Group Global; BC Capital Management LLP, and BC Capital Group Holdings SA at the U. S. District Court for the Northern District of Illinois.

SEC v. New Stream Capital (Cayman), Ltd. et al: Complaint

February 26, 2013
Complaint in U. S. Securities and Exchange Commission v. New Stream Capital (Cayman), Ltd., New Stream Capital, LLC, David A. Bryson, Bart C. Gutekunst, Richard Pereira, and Tara Bryson at the U. S. District Court for the District of Connecticut.

SEC v. Brian Callahan et al: Deloitte BVI

February 14, 2013
Request to take evidence from Deloitte BVI in U. S. Securities and Exchange Commission v. Brian Raymond Callahan, Horizon Global Advisors Ltd., Horizon Global Advisors LLC, Diversified Global Investments (BVI) LP, The Matsers Global Fund LP, Fiduciary Select Income Fund LP, Horizon Millennium Investments LP, Pangea Offshore High Yield Portfolio LLC, Adam Manson, Distinctive Investments LLC, and Distinctive Ventures LLC at the U. S. District Court for the Eastern District of New York.

SEC v. Brian Callahan et al: VP Bank and Trust Company (BVI) Limited

February 13, 2013
Request to take evidence from VP Bank and Trust Company (BVI) Limited in U. S. Securities and Exchange Commission v. Brian Raymond Callahan, Horizon Global Advisors Ltd., Horizon Global Advisors LLC, Diversified Global Investments (BVI) LP, The Matsers Global Fund LP, Fiduciary Select Income Fund LP, Horizon Millennium Investments LP, Pangea Offshore High Yield Portfolio LLC, Adam Manson, Distinctive Investments LLC, and Distinctive Ventures LLC at the U. S. District Court for the Eastern District of New York.

SEC v. Dave Clark et al: Amended Complaint

February 4, 2013
Amended Complaint in U. S. Securities and Exchange Commission v. Fred Davis Clark, a.k.a. Dave Clark; Cristal R. Coleman, a.k.a. Cristal Clark; Barry J. Graham, David W. Schwartz, and Ricky Lynn Stokes at the U. S. District Court for the Southern District of Florida.

Isle of Man FSC v. Louis Group Structured Fund PLC et al: Judgment

February 1, 2013
Judgment in Isle of Man Financial Supervision Commission v. Louis Group Structured Fund PLC, Louis Group Structured Capital Limited, LG SP Investments Ltd., Louis Group International (Europe) Limited, Louis Group SLN Limited, Louis Group (IOM) Limited and Louis Asset Management SA at the Isle of Man High Court.

SEC v. Dave Clark et al: Complaint

January 30, 2013
Complaint alleging securities fraud in U. S. Securities and Exchange Commission v.  Fred Davis Clark, Jr., a.k.a. Dave Clark, a resident of the Cayman Islands; Cristal R. Coleman, a.k.a. Cristal Clark, a resident of the Cayman Islands; Barry J. Graham, David W. Schwarz, and Ricky Lynn Stokes, all residents of Florida, at the U. S. District Court for the Southern District of Florida.

Axiom Legal Financing Fund: Affidavit of Yolanda McCoy

January 24, 2013
Affidavit of Yolanda Banks McCoy, Head of Investments and Securities at the Cayman Islands Monetary Authority, In the Matter of Axiom Legal Financing Fund at the Grand Court of the Cayman Islands.

SEC v. Sam Wyly et al: Michelle Boucher Deposition Transcript

December 7, 2012
Return of Letters Rogatory as to Michelle Boucher, including deposition transcript of Ms. Boucher as an attachment, in U. S. Securities & Exchange Commission v. Sam Wyly, Samuel E. Wyly, Louis J. Schaufele, III, Michael C. French, and Charles J. Wyly, Jr. at the U. S. District Court for the Southern District of New York.

SEC v. Igors Nagaicevs: Complaint

November 26, 2012
Complaint alleging "a brazen stock price manipulation scheme" in U.S. Securities and Exchange Commission v. Igors Nagaicevs, described as a citizen of Latvia, at the U.S. District Court for the Northern District of California.

SEC v. Corey Ribotsky et al: Notice of Request for Assistance

November 15, 2012
Notice of Motion by The NIR Group, LLC and Corey Ribotsky for Issuance of Hague Convention Letters of Request to Take Testimony and Collect Evidence and Documents Overseas in U. S. Securities and Exchange Commission v. Corey Ribotsky, Daryl Dworkin, and The NIR Group, LLC at the U. S. District Court for the Eastern District of New York.

SEC v. Yorkville Advisors, LLC, et al: Complaint

October 17, 2012
Complaint by the U. S. Securities and Exchange Commission v. Yorkville Advisors, LLC, Mark Angelo, and Edward Schinik at the U. S. District Court for the Southern District of New York, alleging the defendants defrauded investors in hedge funds domiciled in the Cayman Islands and Delaware.

CFTC v. Nikolai Battoo et al: TRO Motion

September 6, 2012
Plaintiff's Emergency Ex Parte Motion for Statutory Restraining Order, Asset Freeze, Preliminary Injunction, Expedited Discovery, Appointment of Receiver and Other Equitable Relief in U. S. Commodity Futures Trading Commission v. Nikolai Simon Battoo, BC Capital Group Holdings SA, BC Capital Management LLP, BC Capital Group Global, BC Capital Group Limited, BC Capital Group International Limited, and BC Capital Group SA at the U. S. District Court for the Northern District of Illinois.

CFTC v. Nikolai Battoo et al: Complaint

September 6, 2012
Complaint in U. S. Commodity Futures Trading Commission v. Nikolai Simon Battoo, BC Capital Group SA, BC Capital Group International Limited, a.k.a. BC Capital Group Limited, a.k.a. BC Capital Group Global; BC Capital Management LLP, and BC Capital Group Holdings SA at the U. S. District Court for the Northern District of Illinois.

SEC v. Tracy Sunderlage et al: Motion for TRO

September 6, 2012
Motion for Temporary Restraining Order in U. S. Securities and Exchange Commission v. Tracy Lee Sunderlage, Nikolai Simon Battoo, BC Capital Group S.A., and BC Capital Group Limited at the U. S. District Court for the Northern District of Illinois.

SEC v. Tracy Sunderlage et al: Complaint

September 6, 2012
Complaint in U. S. Securities and Exchange Commission v. Tracy Lee Sunderlage, Nikolai S. Battoo, BC Capital Group S.A., and BC Capital Group Limited at the U. S. District Court for the Northern District of Illinois.

SEC v. Corey Ribotsky et al: First Amended Complaint

August 17, 2012
First Amended Complaint in U. S. Securities and Exchange Commission v. Corey Ribotsky, Daryl Dworkin, and The NIR Group, LLC at the U. S. District Court for the Eastern District District of New York.