July 10, 2020 - British nationals Benjamin Alderson and Bradley Hamilton have agreed to pay penalties totaling $750,000 to settle a fraud complaint by the SEC regarding their employment with investment firm deVere USA.
July 09, 2020 - Administrative Order imposing an industry ban on Benjamin Alderson, a resident of the United Kingdom and a former CEO of deVere USA Inc., before the U. S. Securities and Exchange Commission.
July 08, 2020 - Final Judgment regarding an allegation that the defendant "defrauded hundreds of clients and prospective clients resident in the United States by misleading them about the benefits of irreversibly transferring their United Kingdom pensions to an offshore pension plan while concealing serious conflicts of interest" in U. S. Securities and Exchange Commission v. Benjamin Alderson, a citizen of the United Kingdom and a former employee of deVere USA, Inc., at the U. S. District Court for the Southern District of New York.
July 08, 2020 - Final Judgment regarding an allegation that he "defrauded hundreds of clients and prospective clients resident in the United States by misleading them about the benefits of irreversibly transferring their United Kingdom pensions to an offshore pension plan while concealing serious conflicts of interest" in U. S. Securities and Exchange Commission v. Bradley Hamilton, a citizen of the United Kingdom and a former employee of deVere USA, Inc., at the U. S. District Court for the Southern District of New York.
July 07, 2020 - Complaint "to permanently enjoin an arbitration" in AltaCorp Capital, of Calgary, Alberta, Canada v. Financial Industry Regulatory Authority Inc., FINRA Regulation Inc., formerly known as FINRA Dispute Resolution Inc., and John Cloghesy at the U. S. District Court for the Southern District of New York.
July 07, 2020 - Class Action Complaint alleging securities fraud in Carol A. Brown v. Wirecard AG, of Germany; Markus Braun, Jan Marsalek, Burkhard Ley, Alexander von Knoop, Susanne Steidl, Wulf Matthias, and Ernst & Young GmbH Wirtschaftspruefungsgesellschaft at the U. S. District Court for the Eastern District of Pennsylvania.
July 01, 2020 - Forfeiture Complaint regarding "assets involved in and traceable to an international conspiracy to, among other things, launder money misappropriated from 1Malaysia Development Berhad, a strategic investment and development company wholly-owned by the government of Malaysia" in USA v. Funds allegedly associated with Khadem Abdulla Al Qubais, a citizen of the United Arab Emirates, held in the names of Vasco Investments Services SA, of the British Virgin Islands, and Eagle Strategic Investment Fund at Bank Privée Edmond de Rothschild, in Luxembourg, at the U. S. District Court for the Central District of California.
June 30, 2020 - Writ of Summons by Simon Conway, Michael Jervis, and Mohammed Farzadi, as Joint Official Liquidators of Abraaj Holdings (in Official Liquidation) v. The GHF Group Limited at the Grand Court of the Cayman Islands.
June 29, 2020 - Class Action Complaint alleging securities fraud in Stephen Brahms, of Redwood, California v. Kirkland Lake Gold Ltd., described as a Canadian company that "operates gold mines in Canada and Australia" and whose shares are listed on the NYSE, and Anthony P. Makuch at the U. S. District Court for the Southern District of New York.
June 29, 2020 - Complaint for damages of $705,271 and an application for a preliminary injunction in Troy Hogg, of Ontario, Canada v. Stephen Braverman, described as a resident of California; Rozgold Capital LLC, described as a California company; Olde Monmouth Stock Transfer Inc., described as a New Jersey company, formerly known as Next Group Holdings Inc., based in Atlantic Highlands, NJ, and Cuentas Inc., described as a Florida company based in Miami, FL, at the U. S. District Court for the Eastern District of New York.
