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.
American Intercapital Depository & Trust: Liquidator’s Final Report
Final Report of the Liquidator for American Intercapital Depository & Trust.
Harris Trust Private Wealth Management
Harris Trust Private Wealth Management -Â Unauthorised institutions (black list) - Swiss Financial Market Supervisory Authority
SEC v. Corey Ribotsky et al: Complaint
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 of New York.
The Private Bank Group
The Private Bank Group -Â Unauthorised institutions (black list) - Swiss Financial Market Supervisory Authority
Bahamas Supermarkets Limited: Public Notice (September 2011)
Bahamas Supermarkets Limited - Public Notice - Securities Commission of the Bahamas - September 22, 2011
Bridport Advisory
Bridport Advisory -Â Unauthorised institutions (black list) - Swiss Financial Market Supervisory Authority
Dynamic Wealth Management
Dynamic Wealth Management -Â Unauthorised institutions (black list) - Swiss Financial Market Supervisory Authority
Leonor Swiss AG
Leonor Swiss AG -Â Unauthorised institutions (black list) - Swiss Financial Market Supervisory Authority
Leonor Swiss GmbH
Leonor Swiss GmbH - Unauthorised institutions (black list) - Swiss Financial Market Supervisory Authority
Mondial Group
Mondial Group -Â Unauthorised institutions (black list) - Swiss Financial Market Supervisory Authority
X’CI X’CHANGE gmbh
X'CI X'CHANGE gmbh - Unauthorised institutions (black list) - Swiss Financial Market Supervisory Authority
American Great Lakes Insurance Company Ltd.: Public Statement
American Great Lakes Insurance Company Ltd. - Public Statement - BVI Financial Services Commission - September 19, 2011
LEK Equity Holding
LEK Equity Holding -Â Unauthorised institutions (black list) - Swiss Financial Market Supervisory Authority
Sinopart Corporation
Sinopart Corporation - Unauthorised institutions (black list) - Swiss Financial Market Supervisory Authority
Delap Capital Services
Delap Capital Services -Â Unauthorised institutions (black list) - Swiss Financial Market Supervisory Authority
Wolfgang Investment Group
Wolfgang Investment Group -Â Unauthorised institutions (black list) - Swiss Financial Market Supervisory Authority
North-West Financial Broker
Advisory Warning - North-West Financial Broker - BVI Financial Services Commission - September 12, 2011
CFTC v. InterForex, Inc.: Motion for Preliminary Injunction
Motion for Preliminary Injunction in U. S. Commodity Futures Trading Commission v. InterForex, Inc. at the U. S. District Court for the Northern District of Illinois.
Luisa Victoria Cabral Smith: Public Statement
Luisa Victoria Cabral Smith - Public Statement - Jersey Financial Services Commission - September 7, 2011
CFTC v. InterForex, Inc.: Complaint
Complaint in the U. S. Commodity Futures Trading Commission v. InterForex, Inc. at the U. S. District Court for the Northern District of Illinois.
Gibraltar Global Securities Inc.: News Release on September 7, 2011
British Columbia Securities Commission Executive Director's Bulletin: Securities regulator issues notice of hearing alleging that unregistered Bahamian company Gibraltar Global Securities Inc. engaged in misconduct.
Gibraltar Global Securities Inc.: Notice of Hearing
Gibraltar Global Securities Inc. - Notice of Hearing - British Columbia Securities Commission - September 6, 2011
Bank EFG AG
Bank EFG AG - Unauthorized Institutions - Swiss Financial Market Supervisory Authority