United Kingdom

SEC v. Simon Thurlow et al: Complaint

Complaint alleging fraud in U. S. Securities and Exchange Commission v. Simon Piers Thurlow, described as a citizen of the United Kingdom residing in New York; Roger Leon Fidler, Richard Oravec, Bradley Fidler, Bryce Emory Boucher, Joseph D. Jordan, and Western Bankers Capital Inc. at the U. S. District Court for the Southern District of New York.

Mark Oppenheimer v. Marlin Hawk Holdings Ltd. et al: Notice of Removal

Notice of Removal, including a copy of the complaint alleging unjust enrichment, in Mark Oppenheimer, described as "an accomplished professional in the executive search industry" residing in Atlanta, Georgia v. Marlin Hawk Holdings Limited, of England, and Marlin Hawk Group Plc, of Maryland, at the U. S. District Court for the Southern District of New York.

CFTC v. Rudy Avila et al: Complaint

Complaint alleging a $5.35 million investment fraud in Commodity Futures Trading Commission v. Rudy Avila, a.k.a. Jose Rodolfo Avila Gutierrez, described as a resident of Texas; The L.I.F.T Group LLC, of Texas; CIG Internacional SA, a.k.a. Commodity Investment Group, a.k.a. CIG Internacional, a.k.a. CIG International, of Costa Rica; Trading Technologies Group SA, of Costa Rica; Trading Ventures Group LLC, described as a Texas company that claimed to have offices in Texas and London, England; Capital Ventures Group LLC, of Texas, and Ventures Group LLC, of Texas, at the U. S. District Court for the Northern District of Texas.

4 New Square Ltd. et al v. Person or Persons Unknown: Injunction Order

Injunction Order regarding "a cyber-attack on the Applicants on or about 12 June 2021 and/or who has threatened to disclose the information thereby obtained" in 4 New Square Limited, a law firm based in London, and The Members of 4 New Square v. Person or Persons Unknown at the High Court of Justice for England and Wales.

Dillian Whyte v. World Boxing Council Inc.: Discovery Application

Application by Dillian Whyte, described as "a highly ranked professional boxer, and the World Boxing Council, Inc.'s Interim Champion in the heavyweight division" v. World Boxing Council Inc. "for use in an arbitration proceeding currently pending before the Court of Arbitration for Sport in Lausanne, Switzerland concerning a contract between Mr. Whyte and the WBC that the WBC has breached as well as in potential future proceedings between the parties which are pending at a preliminary stage but may end with a CAS arbitration", filed at the U. S. District Court for the Southern District of Florida.

Think Capital Ltd.: Public Warning

Public Warning by the Bermuda Monetary Authority against Think Capital Limited, part of the "ThinkMarkets group of companies", which "falsely claimed to have a licence issued by the Bermuda Monetary Authority" and which, when contacted by the BMA, claimed that "the statement was made in error and that, instead, it should have stated that it had been issued a licence by the Cayman Islands Monetary Authority". Editor's Note: On its website at www.thinkmarkets.com, ThinkMarkets claims to operate "a premium multi-asset online brokerage with headquarters in London and Melbourne and hubs in the Asia-Pacific, Middle East and North Africa, Europe and South America", and identifies group companies as: TF Global Markets Int Limited, of the Seychelles; TF Global Markets (UK) Limited, of England; TF Global Markets (Aust) Limited, of Australia; TF Global Markets (South Africa) (Pty) Ltd., of South Africa; Think Capital Limited, of Bermuda, and TFG (Payments) Limited, of England. Research by OffshoreAlert also discovered other group companies, including one in the Cayman Islands called TF Global Markets (International) Ltd., which is identified on CIMA's website as receiving a "Securities - Full" license on April 12th, 2021.

SEC v. Howard Kleyman: Complaint

Complaint alleging securities fraud involving a "prime bank" scheme and entities in the Dominican Republic, Panama, United Kingdom, and USA in U. S. Securities and Exchange Commission v. Howard Kleyman, described as a lawyer in Minnesota at the timeof the alleged offense, at the U. S. District Court for the District of Minnesota.

Oak Trust et al v. Jichen Wu: Discovery Application

Application by Oak Trust, Acorn Trust, Eagle Trust, Duffy Trust, Robert J. Parfet Living Trust, Geluk Global Fund Limited SAC, of the Bahamas; Migration Investments, LLC, of Colorado; Boustrophedon International Ltd., of Hong Kong; Michael R. Shea, Erin Shea, Angela Ling, Fuhua Ling, Philip Bullock, Lifang Liu, Justin Payne, Michael Dietzen, Kimberly J. Dietzen, Brian Sly, David K. Sly, Gregory Sly, Karen Sly, Nelson Sly, Helen S. Sly, Sly Family Trust, and Tamara A. Sly Separate Property Trust to take discovery from Jichen Wu, for use in "an anticipated proceeding" in England regarding "a multi-million dollar fraudulent Forex investment and trading scheme" involving Equiti Capital UK Limited, Mediatrix Capital Inc., Blue Isle Markets Inc., and Blue Isle Markets Ltd., filed at the U. S. District Court for the Eastern District of Texas.

Peace United Ltd. v. 1906 Collins LLC et al: Discovery Application

Application by Peace United Ltd., of England, to take discovery from 1906 Collins LLC, Mathieu Massa, Sabadell United Bank, HSBC Bank USA, Gero Evaul & McClockey, Fiske & Company, and Beilinson Gomez Architects PA for use in legal proceedings in France, filed at the U. S. District Court for the Southern District of Florida.

Hawksford Trust Company Jersey Ltd.: Public Statement

Public Statement by Jersey Financial Services Commission that it has "concluded" that Hawksford Trust Company Jersey Limited "breached certain principles" of the Financial Services (Trust Company Business (Assets - Customer Money)) (Jersey) Order 2000 and Code of Practice for Trust Company Business. Editor's Note: Research by OffshoreAlert in the Jersey corporate register showed that Hawksford Trust Company Jersey Limited was incorporated in Jersey on August 8th, 1963 and, in its 2020 annual return, signed by director Darren Kelland, its sole shareholder was identified as Hawksford Group Holdings Limited, which was incorporated in Jersey on May 15th, 2017 and, in its 2020 annual return, its sole shareholder was identified as Hawksford Holdings Limited, which was incorporated in Jersey on August 12th, 2008 and, in its 2020 annual return, its shareholders were identified as Dunedin Buyout Fund II LP, a private equity fund in Scotland; Dunedin (SAPE) GP Nominees Limited, acting as nominee for Equity Harvest Fund LP, of Scotland; Michael Edmund Powell, Louis Philip Chetwynd Taylor, James Webster Howe, Boota Singh Kular, Stephen David John Spybey, all of Jersey; Jacqueline Anne Low, of Singapore; Matthew Andrew Wilkinson, Daniel Richard Hainsworth, Gerardus Jan Michel van Leeuwen, Stephen Spybey and Gerardus van Leeuwen, as Trustees of the Hawksford Holdings Limited EBTl Darren Thomas Kelland, all of Jersey; Stefano Passarello, of Hong Kong; Dario Acconci, of Singapore; Marta Giordano, of Hong Kong; Giacomo Stoppa, of Hong Kong; Peter Zhu, of China, and Aldford Street Nominees Limited, of England.

SEC v. Carl Jensen et al: Complaint

Complaint alleging "an ongoing offering fraud" involving "Chinese and Mexican and bearer bonds" that "has raised over $7 million from more than 75 investors" in U. S. Securities and Exchange Commission v. Carl Jensen, described as a citizen of Canada residing in Australia, and Stephen W. Gold, described as a citizen of the United Kingdom residing in California, as Defendants, and Kerry Margolis, described as a citizen of the United States residing in Germany, and Michael Hock, described as a citizen of the United States residing in California, as Relief Defendants, at the U. S. District Court for the Central District of California.

Marginalised Affected Property Owners v. BSG Resources Ltd.: Discovery Application

Application by Marginalised Affected Property Owners, described as "a community-based association of persons affected by the Koidu Kimberlite Project", to take discovery from BSG Resources Ltd., of Guernsey; Alvarez & Marsal Holdings LLC, and Cleary Gottlieb Steen and Hamilton LLP, a law firm, for use in legal proceedings in Sierra Leone "alleging damages to property and the environment at the Koidu Mine by BSGR subsidiaries and responsible company officials", filed at the U. S. District Court for the Southern District of New York.

Greensill Capital (UK) Ltd.: Chapter 15 Petition

Chapter 15 Petition for Recognition of a Foreign Main Proceeding in England by Trevor O'Sullivan, Christine Laverty, and William Stagg, as the Foreign Representatives of Greensill Capital (UK) Limited, described as "the main trading entity for the Greensill group, a global financial services firm" and "principally in the business of arranging supply chain and other working capital financing solutions for its customers by acquiring receivables, with related rights, and onselling such assets to investors either directly or in the form of receivables-backed notes issued by bankruptcy remote special purpose vehicles", filed at the U. S. Bankruptcy Court for the Southern District of New York.

Magna Group: Forced Liquidation

Press Release from the United Kingdom's Insolvency Service announcing that it "shut down" seven "mini-bond companies" that were part of Magna Group as a result of the "mis-selling of over £20m of loan notes".

Boart Longyear Ltd. et al: Chapter 15 Petition

Chapter 15 Petition for Recognition of a Foreign Main Proceeding in Australia by Nora Pincus, as the Foreign Representative of Boart Longyear Limited, Boart Longyear Australia Pty Limited, Boart Longyear Management Pty Limited, Boart Longyear Investments Pty Limited, and Votraint No. 1609 Pty Limited, collectively described as "the world's leading provider of drilling services, orebody-data-collection technology, and innovative, safe, and productivity-driven drilling equipment", filed at the U. S. Bankruptcy Court for the Southern District of New York.

Alix AM Pte Ltd. v. EFG International AG: Discovery Application

Application by Alix AM Pte Ltd., of Singapore, to take discovery from EFG International AG, of Miami, Florida, for use in legal proceedings in the British Virgin Islands that it has filed against Agriculture Investment Group Corp. and 13 other defendants, including those in the Bahamas, Belize, British Virgin Islands, Monaco, and Uruguay, filed at the U. S. District Court for the Southern District of Florida.

Pearson Plc: $1M Fine

Administrative Order by the U. S. Securities and Exchange Commission imposing a fine of $1 million on Pearson Plc, described as a British publicly-listed "multinational educational publishing and services company", for "material misstatements and omissions regarding a 2018 cyber intrusion that affected several million rows of student data across 13,000 school, district, and university AIMSweb 1.0 customer accounts in the United States".
stuart-coles

Leatrix v. Novus Fintech Ltd.: Judgment

Judgment regarding an employment dispute in Leatrix v. Novus Fintech Limited, of Dubai, at the Dubai International Financial Centre Courts. Editor's Note: Novus Fintech Limited was exposed as a fraud by OffshoreAlert in February 2021. The company is operated by United Kingdom national Stuart Coles and is part of a group whose principals include British/Irish serial investment fraudster Richard Fagan.

Recovery Partners GP Ltd. et al v. Fisher Island Investments Inc. et al: Discovery Application

Application by Recovery Partners GP Limited, of the British Virgin Islands, and Revoker LLP, of England, to take discovery from Fisher Island Investments, Inc., Fisher Island Holdings, LLC, PDS Development LLC, and PDS HOLDCO I LLC for use in legal proceedings in England "against Irakli Rukhadze, Igor Alexeev, Benjamin Marson, Hunnewell Partners (UK) LP, Hunnewell Partners (BVI) Limited, Park Street (GP) Limited, Park Street (BR) Limited, Park Street (GS) Limited, Park Street (L) Limited" regarding "the identification and recovery of assets belonging directly or indirectly to the members of the family of the late Georgian businessman, Arkadi Patarkatsishvili", filed at the U. S. District Court for the Southern District of Florida.

Platts v. Wood Mackenzie Ltd.: Complaint

Complaint "to recover actual damages for breach of the applicable licensing agreement, breach of the covenant of good faith and fair dealing, and misappropriation" in S&P Global Inc., d.b.a. Platts, described as a New York-based "independent information and services provider that observes, analyzes, and reports on the commodities and energy markets" v. Wood Mackenzie Limited, described as a United Kingdom firm that "provides consulting services and market research to the oil, gas, coal, metals, and mining industries, including reports on major companies operating in those areas, trends analysis and forecasts, and executive overviews", at the U. S. District Court for the Southern District of New York.

BitMEX agrees to pay $100M to settle US regulatory action

Companies in Bermuda, Hong Kong, the Seychelles, and USA have agreed to pay $100 million to settle a complaint by the CFTC alleging they operated an unregistered cryptocurrency trading platform known as BitMEX.

Frost & Miller v. Heaven’s Way Investment Trust et al: Complaint

Complaint alleging fraud in Frost & Miller LLP, a law firm based in New York v. Heaven's Way Investment Trust, of Georgia, USA; Rayshawn Delbridge, of New Jersey; Aaron Cain McKnight, of Texas; SubGallagher Investment Trust, of Wyoming; Ann Fox, described as a citizen of the United Kingdom residing in Wiltshire, England; Femi Omomo, described as a citizen of the United Kingdom residing in Horley, England, and Henderson & Jones Limited, of England, at the U. S. District Court for the Southern District of New York.

Tintra AIF VCIC Ltd.: License Revocation

Public Notice by the Cyprus Securities and Exchange Commission announcing that it has withdrawn the authorization of five "Investments Compartments" of Tintra AIF Variable Capital Investment Company Ltd., an Alternative Investment Fund, because "the minimum assets were not raised within the extended timeframe". Editor's Note: Research by OffshoreAlert at the Cyprus Registrar of Companies showed that Tintra AIF Variable Capital Investment Company Ltd. was incorporated in Cyprus on July 4th, 2016 and its sole director is Richard Shearer, of the United Kingdom.

Shervin Pishevar v. FusionGPS: Discovery Application

Application by Shervin Pishevar, described as an "angel and venture investor, entrepreneur and philanthropist", to take discovery from FusionGPS, described as "a Washington, DC-based private investigations and intelligence firm that provides opposition research, strategic intelligence, and due diligence services to corporations, law firms, and investors worldwide", for use in "contemplated criminal and civil proceedings" in England against unidentified "forgers" regarding "the forgery of a British police report that was supplied by someone in the United Kingdom to Respondent who in turn gave it to a journalist - Mr. Marcus Baram - who used the Forged Police Report in an article published by Fast Company, a leading technology news magazine in England", filed at the U. S. District Court for the District of Columbia.

SEC v. Frederick Sharp et al: Complaint

Complaint alleging "a sophisticated, multiyear, multi-national attack on the United States financial markets and retail United States investors by foreign and domestic actors" in which the defendants "schemed to sell fraudulently hundreds of millions of dollars in stocks in the United States markets" in U. S. Securities and Exchange Commission v. Frederick L. Sharp, described as a citizen of the United States; Zhiying Yvonne Gasarch, a.k.a. Zhiying Chen, described as a dual citizen of Canada and China; Courtney Kelln, Mike K. Veldhuis, described as a citizen of the Netherlands; Paul Sexton, described as a citizen of the United Kingdom; Jackson T. Friesen, Graham R. Taylor, described as a citizen of the United Kingdom, all residents of British Columbia, Canada; William T. Kaitz, of Maryland, and Avtar S. Dhillon, described as a citizen of Canada residing in Long Beach, California, at the U. S. District Court for the District of Massachusetts.

SEC v. Frederick Sharp et al: Asset Freeze Motion

SEC's Ex Parte Motion for a Temporary Restraining Order in U. S. Securities and Exchange Commission v. Frederick L. Sharp, described in the complaint as a citizen of the United States; Zhiying Yvonne Gasarch, a.k.a. Zhiying Chen, described as a dual citizen of Canada and China; Courtney Kelln, Mike K. Veldhuis, described as a citizen of the Netherlands; Paul Sexton, described as a citizen of the United Kingdom; Jackson T. Friesen, Graham R. Taylor, described as a citizen of the United Kingdom, all residents of British Columbia, Canada; William T. Kaitz, of Maryland, and Avtar S. Dhillon, described as a citizen of Canada residing in Long Beach, California, at the U. S. District Court for the District of Massachusetts.

SEC v. Luis Carrillo: Asset Freeze Motion

SEC's Motion for Asset Freeze Order regarding "assets belonging to, controlled by, or used for the benefit of, defendant Luis Jimenez Carrillo" in U. S. Securities and Exchange Commission v. Luis Jimenez Carrillo, described as a citizen and resident of Mexico, a former citizen of the United States, a former attorney and "a securities law recidivist"; Amar Bahadoorsingh, a dual citizen of Canada and the United Kingdom; Justin Roger Wall, and Jamie Samuel Wilson, both of the United Kingdom, as Defendants, and Haydee Yolanda Sanchez Diaz Monge, Martha Y. Jimenez Trust, and Charles A. Carrillo Trust, all of California, as Relief Defendants, at the U. S. District Court for the District of Massachusetts.

SEC v. Luis Carrillo et al: Complaint

Complaint alleging securities fraud involving shares in Aureus, Inc., Garmatex Holdings, Ltd., and OneLife Technologies Corp. and "a boiler room based in Medellin, Colombia" in U. S. Securities and Exchange Commission v. Luis Jimenez Carrillo, described as a citizen and resident of Mexico; Amar Bahadoorsingh, described as "a dual citizen of the United Kingdom and Canada" residing in Vancouver, Canada; Justin Roger Wall, and Jamie Samuel Wilson, each described as "a citizen and resident of the United Kingdom", as Defendants, and Haydee Yolanda Sanchez Diaz Monge, Martha Y. Jimenez Trust, and Charles A. Carrillo Trust, all of California, as Relief Defendants, at the U. S. District Court for the District of Massachusetts.

Oak Trust et al v. Mushegh Tovmasyan: Discovery Application

Application by Oak Trust, Acorn Trust, Eagle Trust, Duffy Trust, Robert J. Parfet Living Trust, Geluk Global Fund Limited SAC, of the Bahamas; Migration Investments, LLC, of Colorado; Boustrophedon International Ltd., of Hong Kong; Michael R. Shea, Erin Shea, Angela Ling, Fuhua Ling, Philip Bullock, Lifang Liu, Justin Payne, Michael Dietzen, Kimberly J. Dietzen, Brian Sly, David K. Sly, Gregory Sly, Karen Sly, Nelson Sly, Helen S. Sly, Sly Family Trust, and Tamara A. Sly Separate Property Trust to take discovery from Mushegh Tovmasyan, described as a resident of Puerto Rico, for use in "an anticipated proceeding" in England against Equity Capital UK Limited regarding "a multi-million dollar fraudulent Forex trading and investment scheme", filed at the U. S. District Court for the District of Puerto Rico.

USA v. Anthony Stimler: Criminal Information

Criminal Information alleging conspiracy to violate the Foreign Corrupt Practices Act and money laundering regarding an alleged bribery scheme involving individuals and entities in or from the British Virgin Islands, Cyprus, Israel, Mexico, Nigeria, Spain, Switzerland, United Kingdom, and USA in USA v. Anthony Stimler, a citizen of the United Kingdom who worked as a trader, at the U. S. District Court for the Southern District of New York.

Elizabeth von Pezold et al v. Zimbabwe: Petition to Recognize Arbitration Award

Petition to Recognize Arbitration Award of $263 million, £10 million, ZAR745,498, and €1,163, plus interest, for "Zimbabwe's expropriation of the von Pezolds' property" in Elizabeth Regina Maria Gabriele von Pezold, of Austria; Anna Eleonore Elisabeth Webber, of Austria; Heinrich Bernd Alexander Josef von Pezold, of Zimbabwe; Maria Juliane Andrea Christiane Katharina Batthyàny, of Austria; Georg Philipp Marcel Johann Lukas von Pezold, of Zimbabwe; Felix Alard Moritz Hermann, of Switzerland; Johann Friedrich Georg Ludwig von Pezold, of Scotland, and Adam Friedrich Carl Leopold Franz Severin von Pezold, of the Czech Republic, collectively descibed as "all members of the von Pezold family and are all German and Swiss nationals" v. Republic of Zimbabwe at the U. S. District Court for the District of Columbia.

IDT Financial Services Ltd.: £298K Settlement

Public Notice by the Gibraltar Financial Services Commission that IDT Financial Services Limited has agreed to pay £298,387 to settle a regulatory investigation. Editor's Note: Research by OffshoreAlert at Gibraltar's Companies House showed that the directors of IDT Financial Services Limited, as disclosed in its 2021 annual return, were Timothy Streatfeild-James, a citizen of the United Kingdom residing in Gibraltar; James Robert Raanan, a citizen and resident of Israel; Marcelo Fischer, a citizen and resident of the United States; Damian Asquez, a citizen of the United Kingdom residing in Gibraltar, and Gareth Meredith Williams, a citizen of the United Kingdom residing in Gibraltar.

Spartan Holdings Ltd.: Restoration Application

Originating Application in the matter of Spartan Holdings Ltd. at the Grand Court of the Cayman Islands. Editor's Note: The director of Spartan Holdings Ltd. whose affidavit supported this restoration application is Terrence Duffy, a citizen of the United Kingdom residing in Canada who, as OffshoreAlert has previously revealed, appeared to be the ultimate beneficial owner of the opaquely-owned Caledonian Bank, which went into liquidation in Cayman in 2015 after being sued by the U.S. Securities and Exchange Commission at federal court in New York for alleged participation in a $75 million penny stock scam.

Bavaguthu Shetty et al v. Bank of Baroda et al: Complaint

Complaint for more than $7 billion "brought by two victims of Defendants' massive financial fraud surrounding NMC Health Plc and its related entities" that was "exposed when an investigative market research firm, Muddy Waters Research LLC, released a report questioning the integrity of NMC's audited financials" in Dr. Bavaguthu Raghuram Shetty and Neopharma LLC v. Bank of Baroda, of New York; Credit Europe Bank NV, of the Netherlands; Ernst & Young Global Limited, of England; Ernst & Young EMEIA Limited, of England; Prasanth Manghat, Promoth Manghat, Suresh Kumar Vadakke Kootala, and Suresh Kumar Nandiraju, all of India, at the Supreme Court of the State of New York, County of New York.

Dorset Ltd. v. Trax Ltd.: Stop Notice

Stop Notice by Dorset Limited, of the Marshall Islands, regarding shares in Trax Ltd., of the Cayman Islands, registered to Panagiotis Triantafyllidis, filed at the Grand Court of the Cayman Islands.

Coinschedule Ltd.: $201K Penalties

Administrative Order by the U. S. Securities and Exchange Commission imposing penalties totaling $201,688 on Blotics Ltd., formerly doing business as Coinschedule Ltd., described as a United Kingdom-domiciled company that "owned and operated a once-popular website platform, www.coinschedule.com, that publicized current and upcoming offerings for different digital tokens and was accessible in the United States from 2016 to August 2019", for promoting a security without disclosing that it received compensation for doing so.

Makhpal Karibzhanova v. Mubadala Fund et al: Discovery Application

Application by Makhpal Karibzhanova, described as "a citizen of Kazakhstan and is the former wife of a wealthy and politically-connected Kazakh businessman, Aidan Karibzhanov" whose "wealth is held in offshore structures and through nominee ownership around the world, making it necessary to gather evidence from a number of countries, including the United States, the United Kingdom, Switzerland, the United Arab Emirates, and Singapore, as well as Kazakhstan and a number of offshore jurisdictions", including the British Virgin Islands, Cayman Islands, Hong Kong, and Singapore, to take discovery from Mubadala Fund, Extell Developrnent, Edward Mermelstein, One and Only Realty, Eduard Ogai, Credit Suisse, American Express and others for use in legal proceedings in Kazakhstan, filed at the U. S. District Court for the Eastern District of New York.

Douglas Reynolds et al v. Callaway Golf Company: Discovery Application

Application by Douglas Reynolds and John Rose, both of England, to take discovery from Callaway Golf Company for use in legal proceedings in England against Julian Morley and Truvis Limited alleging "breach of agreement and breach of trust relating to a licensing, sale, transfer and/or exploitation of certain rights (including intellectual property) of the 'Truvis' golf ball to Callaway Golf Company", filed at the U. S. District Court for the Southern District of California.

AJ Ruiz Consultoria Empresarial SA et al v. BBVA et al: Complaint

Complaint "for unjust enrichment on behalf of thousands of creditors of the Schahin Group - a Brazilian oil and gas conglomerate with subsidiaries around the world, including in the United States - to recover more than $465 million that Defendants unlawfully obtained at those creditors' expense" in AJ Ruiz Consultoria Empresarial S.A., solely as Judicial Administrator and foreign representative of Schahin Holding S/A; Agropecuária Alto do Turiassú Ltda; Agropecuária Maranhense S/A; Âmbar Empreendimentos e Participações S/C Ltda; Aquática Comunicações Ltda; Base Engenharia e Serviços De Petróleo e Gás S/A; Base Petróleo e Gas S/A; Companhia Ms De Participações; Companhia Schahin de Ativos; Companhia Schahin Securitizadora de Créditos Financeiros S/S Ltda; Construtora Mogno Ltda; Deep Black Drilling LLP; Foxborough Participações Ltda; Habitécnica Participações S/A; Habitécnica S/A Empreendimentos Imobiliários, Administração E Planejamento; HBF Participações Ltda; HHS Participações S/A; Intelis Automação e Controle Ltda; MTS Participações Ltda; S&S Holding Elétrica S/A; S2 Participações Ltda; Satasch Participações Ltda; SCH 14 Sondas de Produções Marítimas S/A; SCH07 Participações Ltda; SCH08 Participações Ltda; SCH13 Participações Ltda; SCH15 Participações Ltda; Schahin Administração e Informática Ltda; Schahin Ativos Companhia Schahin Securitizadora de Créditos Financeiros S/A; Schahin Capital SPE 1 S/A; Schahin Capital SPE 2 S/A; Schahin Desenolvimento Imobiliário S/A; Schahin Empreendimentos Imobiliários Ltda; Schahin Energia S/A; Schahin Participações Ltda; Schahin Securitizadora De Créditos Financeiros S/A; and SM Participações S/A v. Banco Bilbao Vizcaya Argentaria, S.A.; Banco Bilbao Vizcaya Argentaria, S.A., Grand Cayman Branch; Caterpillar Financial Services Corporation; Crédit Industriel et Commercial; Deutsche Bank AG, London Branch; Deutsche Bank Trust Company Americas; Hamburg Commercial Bank AG; Intesa Sanpaolo, S.p.A., New York Branch; Itau BBA International Plc; Mitsubishi Corporation; Mitsubishi UFJ Lease & Finance (U.S.A.) Inc.; Mizuho Bank, Ltd.; MS Drillship I S.A.; Nomura Corporate Funding Americas, LLC; Shinhan Bank; Standard Chartered Bank; and UniCredit Bank AG at the U. S. District Court for the Southern District of New York.

SEC v. Eric Watson et al: Complaint

Complaint in U. S. Securities and Exchange Commission v. Eric J. Watson, described as "a New Zealand citizen and believed to be a resident of London, United Kingdom"; Oliver-Barret Lindsay, described as "a Canadian citizen and resident of Vancouver, British Columbia, Canada" and, during the relevant period, "principal of CMGT Capital Management, a Cayman Islands-exempt broker-dealer registered with the Cayman Islands Monetary Authority", and Gannon Giguiere, described as a resident of Newport Coast, California" who "owned and operated TheMoneyStreet.com, a stock promotion website", at the U. S. District Court for the Southern District of New York.

PLS, CPA et al: Penalties

Administrative Order by the U. S. Securities and Exchange Commission imposing penalties on PLS, CPA, Chang G. Park, Joseph Yongyun Lee, and Juchi Lee, all accountants, for "improper professional conduct" involving, inter alia, Interactive Multi-Media Auction Corporation, described as "a British Virgin Islands corporation with its principal place of business in the United Kingdom" and "formerly headquartered in Hong Kong".

Nokia Technologies Oy v. Qualcomm Inc.: Discovery Application (Germany & UK)

Application by Nokia Technologies Oy, of Finland, to take discovery from Qualcomm Inc. "for use in patent infringement suits against Guangdong Oppo Mobile Telecommunications Corp., Ltd. and various subsidiaries and affiliates thereof, including OnePlus Technology (Shenzhen) Co. Ltd." in Germany and the United Kingdom, filed at the U. S. District Court for the Southern District of California.