U. S. Securities and Exchange Commission

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SEC v. Kai Petersen et al: Complaint

September 26, 2019
Complaint alleging a $100 million-plus 'binary options' fraud in U. S. Securities and Exchange Commission v. Kai Christian Petersen, a resident of Germany; Gil Beserglik, a citizen of Israel, and Raz Beserglik, a citizen of Israel, as Defendants, and Shraga Holdings Ltd. and Lembex Global Investments Ltd., both of the British Virgin Islands, as Relief Defendants, at the U. S. District Court for the Central District of California.

Leonardo Cornide et al: Penalties

September 25, 2019
Administrative Order imposing financial penalties on Leonardo Cornide and Jorge Falcon, both of Florida, regarding "the failure to disclose conflicts of interest by Cornide and Falcon, acting as investment advisers to Premier Assurance Group, SPC Ltd., a Cayman Islands-registered insurance company".

Chip Hackley: Cease & Desist Order

September 25, 2019
Cease & Desist Order by the U. S. Securities and Exchange Commission against Chip Hackley regarding an alleged stock manipulation scheme.

SEC v. Carlos Ghosn et al: Complaint

September 23, 2019
Complaint alleging securities fraud regarding Japanese automobile manufacturer Nissan Motor Co. Ltd. in U. S. Securities and Exchange Commission v. Carlos Ghosn, a citizen of Brazil, France, and Lebanon, and Gregory L. Kelly, a resident of Brentwood, Tennessee, at the U. S. District Court for the Southern District of New York.

SEC v. Carlos Ghosn: Final Judgment

September 23, 2019
Final Judgment imposing a $1 million fine in U. S. Securities and Exchange Commission v. Carlos Ghosn, a citizen of Brazil, France, and Lebanon, at the U. S. District Court for the Southern District of New York.

SEC v. Gregory Kelly: Final Judgment

September 23, 2019
Final Judgment imposing a $100,000 fine in U. S. Securities and Exchange Commission v. Gregory L. Kelly at the U. S. District Court for the Southern District of New York.

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.

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.

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.

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. 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.

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.

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.

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.

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.

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.

SEC v. Jason Sugarman: Complaint

June 26, 2019
Complaint alleging securities fraud involving, inter alia, insurers in Bermuda and Liechtenstein in U. S. Securities and Exchange Commission v. Jason Sugarman, a former officer and director of Bermuda-based insurance firm Valor Group Ltd., at the U. S. District Court for the Southern District of New York.

SEC v. Worldwide Markets Ltd. et al: Complaint

June 25, 2019
Complaint alleging fraud in U. S. Securities and Exchange Commission v. Worldwide Markets Ltd., of the British Virgin Islands; TAB Networks Ltd., of New Jersey, and Thomas E. Plaut, of New Jersey, at the U. S. District Court for the District of New Jersey.

SEC v. Donald LaGuardia, Jr.: Complaint

June 24, 2019
Complaint alleging fraud involving funds in Delaware and the Cayman Islands, where the group's registered agent was Ogier Fiduciary Services (Cayman) Ltd., in U. S. Securities and Exchange Commission v. Donald LaGuardia, Jr., of New Jersey, at the U. S. District Court for the Southern District of New York.

SEC v. Kit Mun Chan et al: Complaint

June 19, 2019
Complaint alleging fraud in U. S. Securities and Exchange Commission v. Kit Mun Chan, of Malaysia; Lau Kean Chong, of Singapore; Chong Poui Fan, of Malaysia; Binji Lu, of China, and Youn Chien Wong, of Malaysia, at the U. S. District Court for the Southern District of New York.

SEC v. Roland Mathys: Amended Complaint

June 13, 2019
Amended Complaint in U. S. Securities and Exchange Commission v. Roland M. Mathys, of Switzerland, at the U. S. District Court for the Southern District of New York.

SEC v. Kik Interactive Inc.: Complaint

June 4, 2019
Complaint alleging the sale of $100 million in unregistered digital tokens in U. S. Securities and Exchange Commission v. Kik Interactive Inc., of Canada, at the U. S. District Court for the Southern District of New York.

SEC v. Unknown Traders in Securities of Anadarko Petroleum Corp.: Complaint

April 29, 2019
Complaint in U. S. Securities and Exchange Commission v. One or More Unknown Traders in the Securities of Anadarko Petroleum Corp. using accounts at Cowen International Ltd., of the United Kingdom, and Renaissance Securities (Cyprus) Limited, of Cyprus, at the U. S. District Court for the Southern District of New York.

SEC v. ABRAAJ Investment Management Ltd. et al: Complaint

April 11, 2019
Complaint in U. S. Securities and Exchange Commission v. ABRAAJ Investment Management Limited, of the Cayman Islands, and Arif Naqvi, a Pakistani national, at the U. S. District Court for the Southern District of New York.

SEC v. Benjamin Alderson et al: Nigel Green Documents Production

March 29, 2019
Request for international judicial assistance to Malta for the production of documents by Nigel Green, founder of deVere Group Ltd., for use in the U. S. Securities and Exchange Commission v. Benjamin Alderson and Bradley Hamilton at the U. S. District Court for the Southern District of New York.

SEC v. Benjamin Alderson et al: deVere Documents Production

March 29, 2019
Request for international judicial assistance to Malta for the production of documents by deVere Group Ltd. and deVere & Partners Ltd. for use in the U. S. Securities and Exchange Commission v. Benjamin Alderson and Bradley Hamilton at the U. S. District Court for the Southern District of New York.

SEC v. Benjamin Alderson et al: Judicial Assistance Request

March 29, 2019
Request for international judicial assistance to Malta to examine Beverley Yeomans, described as "a Director of deVere Group Ltd." and "personal assistant to Nigel Green", for use in the U. S. Securities and Exchange Commission v. Benjamin Alderson and Bradley Hamilton at the U. S. District Court for the Southern District of New York.

Guy Gentile v. SEC: Order

March 8, 2019
Order in Guy Gentile, owner of a broker-dealer in the Bahamas called MintBroker International Ltd., d.b.a. SureTrader, v. U. S. Securities and Exchange Commission at the U. S. District Court for the District of New Jersey.

Guy Gentile v. SEC: Opinion

March 8, 2019
Opinion on Plaintiff's Application for a Temporary Restraining Order and Motion for a Preliminary Injunction in Guy Gentile, owner of a broker-dealer in the Bahamas called MintBroker International Ltd., d.b.a. SureTrader, v. U. S. Securities and Exchange Commission at the U. S. District Court for the District of New Jersey.

Guy Gentile v. SEC: TRO Motion

March 5, 2019
Motion for a Temporary Restraining Order and Motion for Order to Show Cause for Preliminary Injunction in Guy Gentile, owner of a broker-dealer in the Bahamas called MintBroker International Ltd., d.b.a. SureTrader, v. U. S. Securities and Exchange Commission at the U. S. District Court for the District of New Jersey.

SEC v. Benjamin Alderson et al: Malta Judicial Assistance

February 15, 2019
Notice of Motion by the Defendants for the issuance of letters of request to the Central Authority of the Republic of Malta for assistance to compel deVere Group Ltd. and deVere & Partners Ltd. to provide documents and for Nigel Green and Beverley Yeomans to provide documents and testimony in the U. S. Securities and Exchange Commission v. Benjamin Alderson and Bradley Hamilton at the U. S. District Court for the Southern District of New York.

SEC v. Joshua Sason et al: Complaint

February 15, 2019
Complaint in U. S. Securities and Exchange Commission v. Joshua Sason, Marc Manuel, Kautilya Sharma, a.k.a. Tony Sharma; Perian Salviola, Magna Management LLC, formerly known as Magna Group LLC; Magna Equities II LLC, formerly known as Hanover Holdings I LLC; MG Partners Ltd., of Gibraltar; and Pallas Holdings LLC at the U. S. District Court for the Southern District of New York.

Guy Gentile v. SEC: Complaint

February 8, 2019
Complaint in Guy Gentile, owner of a broker-dealer in the Bahamas called MintBroker International Ltd., d.b.a. SureTrader v. U. S. Securities and Exchange Commission at the U. S. District Court for the District of New Jersey.

SEC v. Alpha Capital Anstalt: Final Judgment

February 6, 2019
Final Judgment in U. S. Securities and Exchange Commission v. Alpha Capital Anstalt, of Liechtenstein, at the U. S. District Court for the Southern District of New York.