Regulatory

    SHOWING:

    101 to 150 of 2444 results
      

    Sort By:

    Search

    Filter By:

    Topics

    show more show less

    Jurisdictions

    show more show less

    Allegations

    show more show less

    Events

    SEC v. Guosheng Qi et al: Complaint (‘Securities Fraud’)

    Complaint alleging "misuse and unreported use of funds raised in a 2016 initial public offering (IPO) as well as Defendants’ failure to disclose millions of dollars in related-party transactions that benefitted Defendant Qi’s family members" in U.S. Securities and Exchange Commission v. Guosheng Qi, described as a resident of China and Hong Kong, and Gridsum Holding Inc., described as Cayman Islands-domiciled "cloud-based analytics company", as Defendants, and Huijie He, described as a resident of China and Hong Kong, as Relief Defendant, at the U.S. District Court for the Southern District of New York.

    Alfa Capital Markets Ltd.: Voting Rights Suspension (Cyprus)

    Public Notice by the Cyprus Securities and Exchange Commission that it has suspended the voting rights of Alfa-Bank JSC, of Russia, regarding Alfa Capital Markets Ltd., of which Alfa-Bank is the "sole direct shareholder".

    Deborah Ellis et al: Penalties (Guernsey)

    Public Notice by the Guernsey Financial Services Commission regarding penalties against Chamberlain Heritage Services Limited and Deborah Anne Ellis.

    Acadia Life Ltd.: $900K Fine (Bermuda)

    Public Notice by the Bermuda Monetary Authority that it has imposed civil penalties totaling $900,000 on insurer Acadia Life Limited for regulatory breaches.

    SEC v. Andrew Waters et al: Complaint (‘Securities Fraud’)

    Complaint alleging securities fraud regarding "his private sale of restricted common stock in ECom Products Group Corporation, a Florida corporation that purportedly owns, consolidates, and manages e-commerce platforms" in U.S. Securities and Exchange Commission in Andrew Wyles Waters, a citizen of Australia, as Defendant, and Helen Q. Waters, a citizen of Australia, as Relief Defendant, at the U.S. District Court for the Central District of California.

    Remi Ishak: $33K Fine (Dubai)

    Decision Notice by the Dubai Financial Services Authority imposing a fine of $33,220 on Remi Ishak for regulatory breaches while serving as a "Finance Officer" of Equitativa (Dubai) Limited.

    SEC v. Christopher Slaga et al: Complaint (‘$3.5M Securities Fraud’)

    Complaint regarding "Defendants’ scheme that raised approximately $3.5 million from at least 17 investors through a fraudulent and unregistered securities offering" in U.S. Securities and Exchange Commission v. Christopher Slaga, a.k.a. Keith Renko, described as a resident of Barbados; Q4 Capital Group LLC, J4 Capital Advisors LLC, and Hayden Greene at the U.S. District Court for the Central District of California.

    Greenmont AIFLNP Ltd.: License Revocation (Cyprus)

    Public Notice by the Cyprus Securities and Exchange Commission that it has revoked the alternative investment fund license of Greenmont AIFLNP Ltd. because the company "no longer fulfils the conditions under which authorisation was granted".

    Paul Conway: Fine & Ban (Guernsey)

    Public Notice by the Guernsey Financial Services Commission that it has imposed a fine of £30,000 and three-year disqualification on Paul Conway for regulatory breaches.

    SEC v Charles Holzer et al: Complaint (‘$382K Insider Trading’)

    Complaint in U.S. Securities and Exchange Commission v. Charles Rustin Holzer, of Wellington, Florida, USA, as Defendant, and Maglione International Ltd. and Frontenac Investments Ltd., both of the Cayman Islands, as Relief Defendants, at the U.S. District Court for the Southern District of New York.

    SEC v. Sisu Capital LLC et al: Complaint

    Complaint in U.S. Securities and Exchange Commission v. Sisu Capital LLC, of California, USA; Timothy Overture, of California, USA, and Hansueli Overture, described as a resident of Hallau, Switzerland, at the U.S. District Court for the Northern District of California.

    SEC v. Richard Heart et al: Complaint (‘Crypto Fraud’)

    Complaint alleging Richard Heart "raised more than $1 billion in the unregistered offer and sale of crypto asset securities to retail investors in the U.S. and abroad" and "misappropriated" millions of dollars in U.S. Securities and Exchange Commission v. Richard J. Schueler, a.k.a. Richard Heart, described as "an American-born Internet marketer, content creator, and serial entrepreneur living in Finland"; PulseChain, and PulseX at the U.S. District Court for the Eastern District of New York.

    SEC v. Alexander Elbanna et al: Complaint (‘Crypto Fraud’)

    Complaint alleging crypto-based securities fraud in U.S. Securities and Exchange Commission v. Alexander Elbanna, Digital World Exchange LLC, BoostedPro LLC, and D.W. Exchange LLC, as Defendants, and Angela Elbanna, as Relief Defendant, at the U.S. District Court for the Middle District of Florida.

    Fuchs & Associés Finance SA: Dissolution & Liquidation (Luxembourg)

    Press Release by the Luxembourg CSSF that it has revoked the license of "investment firm" Fuchs & Associés Finance S.A. due to "serious breaches of essential legal and regulatory requirements" and that the Luxembourg District Court had ordered the "dissolution and judicial liquidation" of the company.

    FTC v. Celsius Network Inc. et al: Complaint (‘Crypto Fraud’)

    Complaint alleging fraud in Federal Trade Commission v. Celsius Network Inc., Celsius Network LLC, Celsius Networks Lending LLC, Celsius Lending LLC, Celsius KeyFi LLC, Celsius Mining LLC, Celsius US Holding LLC, Celsius US LLC, Celsius Management Corp., Alexander Mashinsky, Shlomi Daniel Leon, and Hanoch 'Nuke' Goldstein at the U.S. District Court for the Southern District of New York.

    SEC v. Caz Craffy: Complaint (‘Fraud Against U.S. Army Gold Star Families’)

    Complaint alleging the defendant "exploited the heartache and relative lack of financial sophistication of at least 29 Gold Star family customers" in U.S. Securities and Exchange Commission v. Caz L. Craffy, a.k.a. Carz Levinski Craffey, who "worked full-time as a U.S. Army Financial Counselor, tasked in part with helping Gold Star families who had received survivor and insurance payments", at the U.S. District Court for the District of New Jersey

    SEC v. Bruce Garelick et al: Complaint (‘Trump Media Merger’)

    Complaint alleging "insider trading in the securities of Digital World Acquisition Corporation" in advance of plans for "a merger with Trump Media & Technology Group Corp." in U.S. Securities and Exchange Commission v. Bruce Garelick, Michael Shvartsman, Rocket One Capital LLC, and Gerald Shvartsman at the U.S. District Court for the Southern District of New York.

    CFTC v. Dwight Foster et al: Complaint (‘$13.2M QYU Forex Fraud’)

    Complaint alleging "a multimillion-dollar fraudulent scheme" in U.S. Commodity Futures Trading Commission v. Dwight A. Foster, described as "a dual citizen of the United States and Canada", and K.E.L. Enterprises Inc. at the U.S. District Court for the Eastern District of Michigan.

    James Koutoulas v. SEC: Motion to Quash Subpoena (LGBcoin)

    Motion to Quash Administrative Subpoena "regarding LGBcoin, a non-security meme cryptocurrency" that is domiciled in the Cayman Islands in James L. Koutoulas, described as a Miami Beach, Florida-based "securities lawyer" who "manages entities that are in good standing with the National Futures Association, CFTC, the Commission, the United Kingdom Financial Conduct Authority and the Cayman Islands Monetary Authority" v. U.S. Securities and Exchange Commission at the U.S. District Court for the Southern District of Florida.

    SEC v. Legend Venture Partners LLC: TRO Motion (‘$35M Securities Fraud’)

    Motion for a Temporary Restraining Order regarding an alleged securities fraud in which the defendant raised “more than $35 million” from “at least 321 investors located in 48 states and Bermuda” in U.S. Securities and Exchange Commission v. Legend Venture Partners LLC at the U.S. District Court for the Southern District of New York.

    SEC v. Legend Venture Partners LLC: Complaint (‘$35M Securities Fraud’)

    Complaint alleging securities fraud in which the defendant raised "more than $35 million" from "at least 321 investors located in 48 states and Bermuda" in U.S. Securities and Exchange Commission v. Legend Venture Partners LLC at the U.S. District Court for the Southern District of New York.

    IFINA SICAV Plc: €60K Fine (Malta)

    Public Notice by the Malta Financial Intelligence Analysis Unit that it has imposed a fine of €60,141 on IFINA SICAV Plc for regulatory breaches.

    SEC v. Infinity Q Capital Management LLC et al: Complaint (‘Securities Fraud’)

    Complaint in U.S. Securities and Exchange Commission v. Infinity Q Capital Management LLC, a Delaware company based in New York, as Defendant, and Wildcat Partner Holdings LP, formerly known as Bonderman Family Limited Partnership, as Relief Defendant, at the U.S. District Court for the Southern District of New York.

    BlockFi Trading LLC v. Connecticut Banking Commissioner Jorge Perez: Complaint (‘Money Transmitter License’)

    Complaint to enforce an automatic stay of administrative proceedings to revoke a money transmitter license or, alternatively, "a finding that the Department violated Section 525 by its actions to revoke BlockFi’s monetary transmission license and assess civil penalties" in BlockFi Trading LLC" v. Jorge L. Perez, solely in his official capacity as Commissioner of the Connecticut Department of Banking, at the U.S. Bankruptcy Court for the District of New Jersey.

    SEC v. Joseph Padilla et al: Complaint (‘Securities Fraud’)

    Complaint alleging "a fraudulent scheme to sell stock to the public" involving entities or individuals in or from the Cayman Islands, Latvia, Mexico, Philippines, Russia, and USA in U.S. Securities and Exchange Commission v. Joseph A. Padilla, described as "a United States citizen who has held permanent resident visas in Mexico and Russia", and Kevin C. Dills, as Defendants, and Bright Star International Inc., Life Sciences Journeys Inc., Carlos Hernandez, Jamie Quick, Ashley Robinson, and Arlene Sandoval, as Relief Defendants, at the U.S. District Court for the District of Massachusetts.

    SEC v. Hal Mintz et al: Complaint (‘Fraudulent Trading’)

    Complaint alleging "a long running fraudulent scheme involving abusive "naked" short selling, order mismarking, and other violative trading" involving entities in the Cayman Islands and USA in U.S. Securities and Exchange Commission v. Hal D. Mintz and Sabby Management LLC at the U.S. District Court for the District of New Jersey.

    SEC v. Binance Holdings Ltd. et al: TRO Motion (‘Crypto Fraud’)

    SEC's Emergency Motion for a Temporary Restraining Order in U.S. Securities and Exchange Commission v. Binance Holdings Ltd., of the Cayman Islands; BAM Trading Services Inc., of Delaware; BAM Management US Holdings Inc., of Delaware, and Changpeng Zhao, described in the complaint as a citizen of Canada residing in Singapore, at the U.S. District Court for the District of Columbia.

    SEC v. Binance Holdings Ltd. et al: Complaint (‘Crypto Fraud’)

    Complaint alleging "Defendants' blatant disregard of the federal securities laws and the investor and market protections these laws provide" in U.S. Securities and Exchange Commission v. Binance Holdings Ltd., of the Cayman Islands; BAM Trading Services Inc., of Delaware; BAM Management US Holdings Inc., of Delaware, and Changpeng Zhao, described as a citizen of Canada residing in Singapore, at the U.S. District Court for the District of Columbia.