October 08, 2019 - Winding Up Petition in The Hongkong and Shanghai Banking Corporation, of Hong Kong v. Youyuan International Holdings Limited at the Grand Court of the Cayman Islands.
October 07, 2019 - Complaint alleging "a false and misleading Registration Statement and Prospectus" in Alpha Capital Anstalt, of Liechtenstein v. Intellipharmaceutics International Inc., described as a Canadian "pharmaceutical company" whose shares are listed on NASDAQ and the Toronto Stock Exchange; Isa Odidi, Amina Odidi, and Andrew Patient at the U. S. District Court for the Southern District of New York.
September 27, 2019 - Order Instituting Proceedings, Making Findings and Imposing a $20 million penalty against Herbalife Nutrition Ltd., a Cayman Islands-domiciled, Los Angeles-based multi-level marketing firm whose shares are listed on the New York Stock Exchange, regarding "false and misleading public statements in numerous U.S. regulatory filings regarding its China business model", before the U. S. Securities and Exchange Commission.
September 25, 2019 - Press Release by the Swiss Financial Market Supervisory Authority regarding China-based HNA Group Ltd.'s "false reporting" of its beneficial owners during its acquisition of Dufry AG, a Switzerland-based, publicly-listed, travel retailer.
September 25, 2019 - Report by the Swiss Financial Market Supervisory Authority regarding the "false disclosure" by HNA Group Co. Ltd., of China, of its beneficial owners, specifically the omission of Feng Chen and Jian Wang.
September 25, 2019 - Class Action Complaint regarding an Initial Public Offering in Yimin Huang v. Sundial Growers, Inc., a cannabis producer of Alberta, Canada; Torsten Kuenzlen, James Keough, Edward Hellard, Greg Mills, Gregory Turnbull, Lee Tamkee, Elizabeth Cannon, Cowen and Company LLC, of New York; BMO Nesbitt Burns Inc., of Toronto, Canada; RBC Dominion Securities Inc., of Toronto, Canada; Barclays Capital Canada Inc., of Toronto, Canada; CIBC World Markets Inc., of Toronto, Canada, and Scotia Capital Inc., of Toronto, Canada, at the U. S. District Court for the Southern District of New York.
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.
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.
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.
September 19, 2019 - Complaint alleging securities violations in City of Coral Springs Police Officers' Retirement Plan v. Farfetch Limited, a Cayman Islands-domiciled, London-based "online luxury fashion marketplace operator" whose shares are listed on the New York Stock Exchange; José Neves, Elliot Jordan, Frederic Court, Dana Evan, Jonathan Kamaluddin, Richard Liu, Dame Natalie Massenet, DBE, Jonathan Newhouse, Daniel Rimer, Michael Risman, David Rosenblatt, Goldman Sachs & Co. LLC, JPMorgan Securities LLC, Allen & Company LLC, UBS Securities LLC, Credit Suisse Securities (USA) LLC, Deutsche Bank Securities Inc., Wells Fargo Securities LLC, Cowen and Company LLC, and BNP Paribas Securities Corp. at the U. S. District Court for the Southern District of New York
