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David James Coulter Cunningham: Disqualification

July 4, 2001

Disqualified Directors - David James Coulter Cunningham - Isle of Man Financial Supervision Commission.

SEC v. Eric Resteiner et al: Complaint

April 16, 2001

Complaint in U. S. Securities and Exchange Commission v. Eric Edward Resteiner, Voldemar A. VonStrasdas, Miles M. Harbur, Charles G. Dyer, Resource F, LLC, and Bunker Hill Aviation, LLC at the U. S. District Court for the District of Massachusetts.

Bainton Management Limited

April 12, 2001

Bainton Management Limited - Enforcement Actions - Isle of Man Financial Supervision Commission

Securities Commission of the Bahamas v. Alastair-Prescott Ltd. et al: Judgment

April 11, 2001

Judgment in Securities Commission of the Bahamas v. Alastair-Prescott Ltd. and 35 other defendant companies at Bahamas Supreme Court.

Fortis Fund Services (Bahamas) Limited

January 23, 2001

Public Notice 'In the Matter of The Oracle Fund Ltd. and In the Matter of Fortis Fund Services (Bahamas) Limited' issued by the Securities Commission of the Bahamas.

Petroleum Products Ltd. et al v. Bahamas Securities Commission: Judgment

July 4, 2000

Judgment in Petroleum Products Limited and Fabian Investments Limited v. Securities Commission of the Bahamas at Bahamas Supreme Court.

ITMS Nominees Limited

June 19, 2000

ITMS Nominees Limited - Enforcement Actions - Isle of Man Financial Supervision Commission

Cheyne Securities Limited

February 28, 2000

Cheyne Securities Limited - Enforcement Actions - Isle of Man Financial Supervision Commission

International Trust and Management Services (IOM) Limited

February 28, 2000

International Trust and Management Services (IOM) Limited - Enforcement Actions - Isle of Man Financial Supervision Commission

First Fuji Limited

October 12, 1999

First Fuji Limited - Enforcement Actions - Isle of Man Financial Supervisory Commission

Atrium Trading Limited

September 23, 1999

Atrium Trading Limited - Enforcement Actions - Isle of Man Financial Supervision Commission

Philip Mark Croshaw: Disqualification

September 22, 1999

Philip Mark Croshaw - Disqualified Directors - Isle of Man Financial Supervision Commission

State of Maine v. The Boston Group et al: Consent Agreement

April 26, 1999

Consent Agreement in The State of Maine Bureau of Banking, Securities Division v. The Boston Group, Anthony Peter Allocca, Michael Allocca Jr., Mark Antony Angelo, Angelo Achilles Armenta, Jeffrey Scott Blitz, Francis Joshua Coady, Nils Christian Hellpap, Clifford Frederick Mastricola, Andrew DeWayne Morgan, Jackie Eugene Rumph, and David Leonard Sheppard.

Raymond Grundeman v. Robert Seropian et al: Arbitration Award ($4.8K)

April 22, 1999

Award in the amount of $4,800 against Robert Seropian and James Kimberly in Raymond D. Grundeman v. Kensington Wells Inc., Robert Seropian, and James Kimberly in the matter of an arbitration before NASD Regulation Inc.

In the Matter of Stanford Trust Company Limited: Memorandum of Agreement

December 14, 1998

In the Matter of Stanford Trust Company Limited, d.b.a. Stanford Fiduciary Investor Services - Memorandum of Agreement - State of Florida Department of Banking and Finance - December 14, 1998

State of Maine v. The Boston Group et al: Notice of Amendment

October 22, 1998

Notice of Amendment in State of Maine Bureau of Banking, Securities Division v. The Boston Group, Anthony Peter Allocca, Michael Allocca Jr., Mark Antony Angelo, Angelo Achilles Armenta, Jeffrey Scott Blitz, Francis Joshua Coady, Nils Christian Hellpap, Clifford Frederick Mastricola, Andrew DeWayne Morgan, Jackie Eugene Rumph, Kevin Erick Scannell, and David Leonard Sheppard.

State of Maine v. The Boston Group et al: Notice of Intent to Censure

August 21, 1998

Notice of Intent to Censure in State of Maine Bureau of Banking, Securities Division v. The Boston Group, Anthony Peter Allocca, Michael Allocca Jr., Mark Antony Angelo, Angelo Achilles Armenta, Jeffrey Scott Blitz, Francis Joshua Coady, Kevin Erick Scannell, Nils Christian Hellpap, Clifford Frederick Mastricola, Andrew DeWayne Morgan, Jackie Eugene Rumph, and David Leonard Sheppard.

Investors Security Limited

July 22, 1998

Investors Security Limited - Enforcement Actions - Isle of Man Financial Supervision Commission

SEC v. Austria Trust Company Ltd. et al: Complaint

April 23, 1998

Complaint alleging fraud in U. S. Securities and Exchange Commission v. Austria Trust Company Ltd., of Belize; Bobby Lee Rodgers, and Glen Moyer, as Defendants, and City (U.K.) Ltd., as Relief Defendant, at the U. S. District Court for the Western District of Tennessee.

Queensborough Investments Limited

March 6, 1998

Queensborough Investments Limited - Enforcement Actions - Isle of Man Financial Supervision Commission

SEC v. Jerome Pinckney, et al: Order, Findings of Fact and Conclusions of Law

November 3, 1997

Order, Findings of Fact and Conclusions of Law in U. S. Securities and Exchange Commission v. Jerome Pinckney, Richard L. Arnold, Donald E. Elder, Fernando Cruz, Shaun K. R. Maxwell, Anthony Bukovich, and Six Capital Corporation at the U. S. District Court for the Eastern District of North Carolina.

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