September 24, 2020 - Public Statement by the Luxembourg CSSF that it has imposed a fine of €27,000 on Natixis Investment Managers S.A. for regulatory breaches.
September 24, 2020 - Public Statement by the Luxembourg CSSF that it has imposed a fine of €23,000 on Quamvest S.A. for regulatory breaches.
September 24, 2020 - Public Statement by the Luxembourg CSSF that it has imposed "a warning on the investment fund manager Notz, Stucki Europe S.A." for regulatory breaches.
September 24, 2020 - Administrative Order imposing a fine of $18 million in U. S. Securities and Exchange Commission v. Bayerische Motoren Werke Aktiengesellschaft, of Germany; BMW of North America, LLC and BMW US Capital, LLC, both of Delaware, regarding "inaccurate disclosures ... of its retail vehicle sales volume in the United States".
September 23, 2020 - Administrative Order imposing a fine of $120,000 on Marex Spectron International, Ltd., of England, described as "a registered introducing broker".
September 23, 2020 - Ex Parte Application by the Ontario Securities Commission to take discovery from Adriana Rios Garcia, a.k.a. Adriana Shaw, described as a resident of Miami and Colombia and the "principal" of Global Bioenergy Resource SAS, of Colombia, for use in "proceedings before the Commission" against First Global Data Ltd., Global Bioenergy Resources Inc., Nayeem Ali, Maurice Aziz, Harish Bajaj, and Andre Itwaru for alleged fraud, filed at the U. S. District Court for the Southern District of Florida.
September 23, 2020 - Florida residents Jorge Falcon and Leonardo Cornide used insolvent Cayman Islands-domiciled Premier Assurance Group SPC as their own "piggy bank", Cayman's financial regulator has claimed.
September 23, 2020 - Public Notice by the Cayman Islands Monetary Authority announcing it has appointed Jeffrey Stower and Jason Robinson, of KPMG, to assume control of Premier Assurance Group SPC Ltd. and "found Jorge Eduardo Falcon and Leonardo Cornide, two of Premier's directors, not fit and proper to hold the position of director of a licensee".
September 23, 2020 - Public Statement by the Malta Financial Services Authority that it has imposed a fine of €150,000 and a 10-year ban on Dennis Muscat for "providing investment services without a licence on a regular and habitual basis".
September 22, 2020 - Complaint alleging securities fraud in U. S. Securities and Exchange Commission v. Verley Lee Sembritzky, Jr., of Houston, Texas; Bounty of the Ocean Inc., of the Bahamas, and Ocean Harvest LLC, of Delaware, at the U. S. District Court for the Southern District of Texas.
