United States of America

Complaint in National Futures Authority v. Dafex Global Ltd. and Yury Epstein.

Compliance Order imposing a fine of $50 on The Bank of Nova Scotia, before the Commodity Futures Trading Commission.

Spoofing Order imposing financial penalties totaling $60.4 million on The Bank of Nova Scotia, before the Commodity Futures Trading Commission.

False Statements Order imposing a fine of $17 million on The Bank of Nova Scotia, before the Commodity Futures Trading Commission.

Statement of Charges and Notice of Hearing regarding the "false and misleading marketing" of opiod products in the matter of Teva Pharmaceutical Industries Ltd., of Israel; Teva Pharmaceuticals USA Inc., of Pennsylvania; Cephalon Inc., of Delaware; Watson Laboratories Inc., of Nevada; Actavis Pharma Inc., of Delaware; Actavis LLC, of Delaware; Actavis Elizabeth LLC, of Delaware; Allergan Plc, of Ireland, and Allergan Finance LLC, of Nevada, before the New York State Department of Financial Services.

Administrative Order imposing penalties totaling $12.2 million on Interactive Brokers LLC, of Greenwich, Connecticut, for regulatory breaches involving client accounts that were used for fraud, before the Commodity Futures Trading Commission.

Administrative Order imposing penalties of $11.5 million on Interactive Brokers LLC, described as "a registered broker0dealer headquartered in Greenwich, Connecticut", before the U. S. Securities and Exchange Commission.

Administrative Order imposing penalties totaling $21.7 million against World Acceptance Corporation, of South Carolina, for "violations of the anti-bribery, books and records, and internal accounting controls provisions of the Foreign Corrupt Practices Act" regarding a "bribery scheme" involving "WAC's former wholly-owned subsidiary in Mexico, WAC de Mexico, S.A. de CV".

Emergency Cease and Desist Order by the Texas State Securities Board against Mind Capital, a.k.a. Mind Capital OÜ, a.k.a. Mind Capital Tech SL; Gonzalo Garcia Pelayo, Oscar Garcia Pelayo, Rubén Arcas, Manuel Arniz, Cristina Kelly Lopez, Alejandro Mejía, all of Spain and Estonia, and Craig Knitzel, of Texas, regarding a suspected investment fraud involving a "crypto-fiat arbitrage trading program".

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.

Consent Order regarding "the Bank's relationship with Jeffrey Epstein" in New York Department of Financial Services v. Deutsche Bank AG, of Germany; Deutsche Bank AG, New York Branch, and Deutsche Bank Trust Company of the Americas.

Order by the Public Company Accounting Oversight Board fining and revoking the registration of HLB Mann Judd and barring and fining Darryl Swindells and Aidan Smith, all of Australia, for violating "rules and auditing standards"

Administrative Order imposing penalties against Novartis AG, described as a Switzerland-based "global provider of pharmaceutical and healthcare products", for "improper activities", including "improper payments", "forged contracts", and "false books and records", involving its subsidiaries and affiliates in Greece, Singapore, South Korea, and Vietnam, before the U. S. Securities and Exchange Commission.

Order Instituting Proceedings and Imposing Penalties on Gain Capital UK Limited, of the United Kingdom, before the Commodity Futures Trading Commission.

Ex Parte Cease and Order by the State of Vermont Department of Financial Regulation against Patrick Mazza, of Toronto, Canada, and Evolution Mentor Capital Inc., of Ontario, Canada, "to protect the financial health and welfare of Vermont residents" regarding a "cryptocurrency mining scheme" that the regulator described as "fraudulent" and "not registered" as a security.

Administrative Order imposing a $900,000 fine on Argo Group International Holdings, Ltd., a Bermuda-domiciled provider of insurance and reinsurance whose shares are listed on the New York Stock Exchange, for failing to disclose "over $5.3 million" in perquisites to Mark E. Watson III, its former CEO, president, and director, before the U. S. Securities and Exchange Commission.

Decision by the National Futures Association permanently barring Bainbridge Asia Limited, of Hong Kong, and Wai Man Yip, a.k.a. Patrick Yip, before the National Futures Association.

Order Instituting Administrative Proceedings against  Gibraltar Global Securities, Inc., described as "a Bahamian broker-dealer", before the U. S. Securities and Exchange Commission

Administrative Order imposing disgorgement, interest, and a civil penalty totaling $29.3 million against BitClave PTE Ltd., described as "an early-stage blockchain services company that operates through an entity in Singapore and maintains its principal place of operations in San Jose, California", for conducting an unregistered Initial Coin Offering, before the U. S. Securities and Exchange Commission.

Order Instituting Administrative Proceedings against Warren Anthony Davis, described as a citizen of the Bahamas and founder and president of Gibraltar Global Securities Inc., "a Bahamian broker-dealer", regarding the sale of shares of Magnum d'Or, "a penny stock".

Administrative Order imposing a fine of $3.5 million against Morningstar Credit Ratings, LLC for breaching "a conflict of interest rule, by issuing or maintaining credit ratings where MCR employees who participated in determining or monitoring the credit ratings also participated in the sales or marketing of a product or service of MCR", before the U. S. Securities and Exchange Commission.

Order Imposing Penalties for securities violations on 1Globe Capital, LLC, described as a Delaware company based in Boston, MA, and Beijing, China that is "a family office that purchases stock listed on US exchanges", and Jiaqiang 'Chiang' Li, described as a resident of Boston and Beijing, regarding trading in Sinovac Biotech Ltd., described as an Antigua and Barbuda-domiciled firm based in China whose shares are listed on NASDAQ, before the U. S. Securities and Exchange Commission.

Administrative Order imposing a $5 million civil money penalty against Bloomberg Tradebook LLC for "omissions of material facts and material misstatements made by Tradebook, then an agency broker-dealer, in connection with its use of an undisclosed order routing arrangement called the Low Cost Router", before the U. S. Securities and Exchange Commission.

Administrative Order suspending chartered accountant Jeffery A. Curran, of Calgary, Canada, from appearing before the U. S. Securities and Exchange Commission regarding "false accounting" by Penn West Petroleum Ltd., of which he was Vice President of Accounting and Reporting.

Administrative Order suspending chartered accountant Todd H. Takeyasu, of Calgary, Canada, from practicing before the U. S. Securities and Exchange Commission after the regulator determined that he "engaged in accounting practices that resulted in false and misleading journal entries that had no adequate documentary support or basis in reality" while serving as the Chief Financial Officer of Penn West Petroleum, Ltd.

Administrative Order imposing monetary penalties totaling $3.2 million against Everest Capital LLC, of Delaware, and Marko Dimitrijevic, of Coral Gables, Florida, regarding Cayman Islands-domiciled Everest Global Fund LP, before the U. S. Securities and Exchange Commission.

Administrative Order imposing monetary penalties totaling $126,559 for insider trading against Wei Duan, a citizen of China, regarding Momo, Inc., a Cayman Islands company based in China, before the U. S. Securities and Exchange Commission.

Administrative Order imposing monetary penalties on American Bondholders Foundation, LLC, of Delaware, and Jonna Bianco, of Tennessee, regarding "thousands of defaulted bonds issued by the Republic of China between 1912 and 1942", before the U. S. Securities and Exchange Commission.

Consent Order settling allegations of facilitating tax evasion in New York State Department of Financial Services v. Bank Hapoalim BM and Bank Hapoalim BM, New York Branches.

Administrative Order Instituting Proceedings alleging "improper professional conduct" involving, inter alia, British Virgin Islands-domiciled, United Kingdom-based Interactive Multi-Media Auction Corporation, now known as Stop Sleep Go Inc., and Delaware-domiciled, South Korea-based IMK Group Inc. against PLS, CPA, a.k.a. PLS CPAs; Chang G. Park, CPA, a.k.a. Changgeun Park; Joseph Yongyun Lee, CPA, a.k.a. Yong Yun Lee, and Juchi Lee, CPA, a.k.a. Juchi Lee Fernandez, a.k.a. Ju-Chi Lee, a.k.a. Ju Chi Lee, a.k.a. Sue Lee, before the U. S. Securities and Exchange Commission.

Administrative Order imposing a fine of $115,000 and other penalties against Brian L. Ferdinand regarding Liquid Holdings Group Inc., a Delaware firm whose shares were listed on NASDAQ, and QuantX Management LLP, a British "partner-funded trading firm that allocated capital to traders", before the U. S. Securities and Exchange Commission.

Administrative Order imposing a fine of $25,000 against Kenneth D. Shifrin regarding Liquid Holdings Group Inc., a Delaware firm whose shares were listed on NASDAQ, and QuantX Management LLP, a British "partner-funded trading firm that allocated capital to traders", before the U. S. Securities and Exchange Commission.

Administrative Order imposing a fine of $40,000 against Brian M. Storms regarding Liquid Holdings Group Inc., a Delaware firm whose shares were listed on NASDAQ, and QuantX Management LLP, a British "partner-funded trading firm that allocated capital to traders", before the U. S. Securities and Exchange Commission.

Consent Order between the New York State Department of Financial Services, Industrial Bank of Korea, and Industrial Bank of Korea, New York Branch pursuant to which the banks agreed to pay fines totaling $35 million for violations of New York Bank Secrecy Act and Anti-Money Laundering laws.

Administrative Order imposing disgorgement and interest totaling $24.5 million against Eni SpA, described as "an Italian multinational oil and gas company", before the U. S. Securities and Exchange Commission.

Consent Order by the New York State Department of Financial Services imposing a fine of $45 million on Athene Annuity and Life Company, of New York, and Athene Holding Ltd., of Bermuda, for operating without an insurance license.

Complaint in National Futures Association v. Bainbridge Asia Limited, described as "forex dealer" domiciled in Hong Kong, and Wai Man Yip., a.k.a. Patrick Yip/

Administrative Order Imposing disgorgement of $157,000 and a fine of $157,000 - to be paid over 330 days under a payment plan - for promoting an Initial Coin Offering by Bitcoiin2Gen "without disclosing that the issuer was paying him for the promotions" against "well-known Hollywood actor and producer" Steven Seagal, a United States citizen residing in Russia, before the U. S. Securities and Exchange Commission.

Order Instituting Proceedings, Making Findings & Imposing Sanctions, including a $10 million fine, against MetLife, Inc., domiciled in Delaware, based in New York, NY, regarding, inter alia, an "error related to accounting for variable annuity guarantees assumed by a MetLife subsidiary, MetLife Reinsurance Company of Bermuda, from a former operating joint venture in Japan", before the U. S. Securities and Exchange Commission.

Order Making Findings and Imposing Sanctions, including disgorgement of $43.7 million, against Tim Leissner, a former senior officer with Goldman Sachs, regarding alleged "bribes and kickbacks to government officials in Malaysia and the Emirate of Abu Dhabi', before the U. S. Securities and Exchange Commission.

Order Making Findings and Imposing Remedial Sanctions against David F. Bandimere regarding "two Ponzi schemes" - Nevis-domiciled IV Capital Ltd. and New Mexico-domiciled Universal Consulting Resources LLC - before the U. S. Securities and Exchange Commission.

Order Instituting Proceedings, Making Findings and Imposing Remedial Sanctions for failing to register as a Futures Commission Merchant against XBT Corp. Sarl, d.b.a. First Global Credit, a cryptocurrency exchange firm domiciled in Switzerland, before the Commodity Futures Trading Commission.

Order Instituting Proceedings, Making Findings and Imposing Sanctions for violating "the registration and exchange trading provisions of the Securities Act and the Exchange Act" against XBT Corp Sarl, d.b.a. First Global Credit, a cryptocurrency exchange firm domiciled in Switzerland, formerly d.b.a. First Global Credit Nevis, before the Securities and Exchange Commission.

Order Instituting Administrative Proceedings, Making Findings and Imposing a $24 million penalty for conducting an unregistered Initial Coin Offering "worth several billion dollars" against Block.one, described as a Cayman Islands-domiciled "technology company" with "offices in Hong Kong and Blacksburg, Virginia", before the U. S. Securities and Exchange Commission. Editor's Note: On its website at www.block.one, Block.one's "Executive Team" is identified as Brendan Blumer, Daniel Larimer, Andrew Bliss, Steve Ellis, Alex Erasmus, Abby Blumer, James Mendes, Eddie Schwartz, Michael Alexander, Kokuei (Guo) Yuan, and Rob Jesudason. News reports have stated that Block.one's ICO raised $4 billion.

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.

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".

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

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.

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.

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.