January 27, 2015 - Press Release entitled 'FinCEN Fines Oppenheimer & Co. Inc. $20 Million for Continued Anti-Money Laundering Shortfalls' regarding its relationship with Bahamas-based Gibraltar Global Securities in FinCEN v. Oppenheimer & Co.
January 27, 2015 - Order Instituting Administrative and Cease-and-Desist Proceedings in U. S. Securities and Exchange Commission v. Oppenheimer & Co. Inc.
January 27, 2015 - New York-based broker-dealer Oppenheimer & Co. has agreed to be fined $20 million by federal regulators for violating securities and anti-money laundering laws while servicing Bahamas-based broker-dealer Gibraltar Global Securities, Inc. and another client.
December 17, 2014 - Ex Parte Petition to Serve "John Doe" Summonses on Federal Express Corporation, a.k.a. FedEx Express; FedEx Ground Package System, Inc., a.k.a. FedEx Ground; OHL Express, United Parcel Service, Inc., Western Union Financial Services, Inc., the Federal Reserve Bank of New York, Clearing House Payments Company LLC, and HSBC Bank USA, National Association In the Matter of The Tax Liabilities of United States tax payers who, at any time during the years ended December 31, 2005, through December 31, 2013, used the services of Sovereign Management & Legal, Ltd. and affiliates.
December 16, 2014 - Letters Rogatory in Peter Schmitt, as Administrator of Phoenix Kapitaldienst GmbH v. The Corporation Trust Company at the U. S. District Court for the District of Delaware.
December 16, 2014 - Letters Rogatory in Frank Schmitt, as Administrator of Phoenix Kapitaldienst GmbH v. Deimos Corporation at the U. S. District Court for the District of Delaware.
December 10, 2014 - Plea Agreement of Paul Dunham in USA v. Paul Dunham and Sandra Dunham at the U. S. District Court for the District of Maryland.
December 08, 2014 - Application for the appointment of a Commissioner - pursuant to a request for judicial assistance by the United Kingdom - to collect evidence for a criminal investigation into Peter Anthony Carroll, a.k.a. Tony Carroll, a.k.a. Tony Leddy, and a.k.a. Dr. Tony Leddy, for suspected narcotics trafficking.
November 20, 2014 - Application for the appointment of a Commissioner - pursuant to a request for judicial assistance from Jamaica - to collect evidence for a criminal investigation into Andrew Paul Hamilton, Dawn Satterswaite, Ann Marie Cleary, Janet Ramsay, Paulette Higgins, Dorothy Hamilton, and Terrence Allen for suspected money laundering.
October 29, 2014 - Affidavit in support of seizure for accounts in the names of IPC Corporate Services, Inc., Unicorn International Securities, LLC, Altrix Capital Limited, and Mariah International LLC at Belize Bank, accounts in the names of Belle Isle Investments Limited, Vista Mercantile, LLC, and Timeline Properties, Inc. at Heritage International Bank & Trust Limited, Inc., and accounts in the names of Unicorn International Securities, LLC and Titan International Securities, Inc. at Saxo Bank, filed at the U. S. District Court for the Eastern District of New York.