Regulatory

Judgment by the Solicitors Disciplinary Tribunal striking off Timothy Schools as a solicitor in England and Wales in Solicitors Regulation Authority v. Timothy Paul Schools.

Amended Complaint in U. S. Securities and Exchange Commission v. Carrillo Huettel LLP, Luis J. Carrillo, Wade D. Huettel, Gibraltar Global Securities, Warren Davis, John B. Kirk, Benjamin T. Kirk, Dylan L. Boyle, James K. Hinton, Jr., Luniel de Beer, Joel P. Franklin, Pacific Blue Energy Corporation, and Tradeshow Marketing Company Ltd. at the U. S. District Court for the Southern District of New York.

Complaint in U. S. Securities and Exchange Commission v. Lawrence P. Schmidt, FutureGen Company, d.b.a. FutureGen Capital; Commercial Equity Partners, Ltd., FGC Distressed Assets Investment #1, LLC, FutureGen Capital DDA CG Fund LLC, FGC Tax Lien Fund #2, LLC, FGC Trading Fund #1 LLC, FGC SPE No. 1 LLC, FGC SPE No. 2 LLC, and FGC CM Note Fund LLC at the U. S. District Court for the District of Columbia.

Complaint in U. S. Securities and Exchange Commission v. Vineet Kalucha, George Palathinkal, and Aphelion Fund Management LLC at the U. S. District Court for the Southern District of New York.

Order of Dismissal in U. S. Securities and Exchange Commission v. Fred Davis Clark, Jr., a.k.a. Dave Clark; Barry J. Graham, Cristal R. Coleman, a.k.a. Cristal Clark; David W. Schwarz, Ricky Lynn Stokes U. S. District Court for the Southern District of Florida - May 5, 2012

Final Judgment in U. S. Securities and Exchange Commission v. Juno Mother Earth Asset Management, LLC, Eugenio Verzili, and Arturo Allan Rodriguez Lopez at the U. S. District Court for the Southern District of New York.

Order Granting Motion to Compel Discovery and For Sanctions in United States Commodity Futures Trading Commission v. Royal Bank of Canada at the U. S. District Court for the Southern District of New York.

Second Amended Complaint in U. S. Securities and Exchange Commission v. Banc de Binary Ltd., Oren Shabat Laurent, ET Binary Options Ltd., BO Systems Ltd. Seychelles, and BDB Services Ltd. Seychelles at the U. S. District Court for the District of Nevada.

CFTC's Motion to Compel Compliance With Court Order and For Sanctions in CFTC v. Royal Bank of Canada at the U. S. District Court for the Southern District of New York.

Hearing Panel Decision in FINRA Department of Enforcement v. Rani T. Jarkas and William H. Carson.

Complaint in U. S. Securities and Exchange Commission v. Revelation Capital Management Ltd. and Christopher P. C. Kuchanny at the U. S. District Court for the Southern District of New York.

First Amended Complaint in U. S. Securities and Exchange Commission v. Banc de Binary Ltd. and Oren Shabat Laurent at the U. S. District Court for the District of Nevada.

Order and Memorandum Opinion in Florida Bankers Association and Texas Bankers Association v. United States Department of Treasury, Internal Revenue Service, Jack Lew, and Steven T. Miller at the U. S. District Court for the District of Columbia. In this case, the plaintiffs challenged the legality of new IRS reporting requirements for U.S. banks to inform the IRS about certain accounts held by foreign account-holders.

First Amended Complaint alleging insider trading involving the securities of Life Technologies Corp. and Onyx Pharmaceuticals Inc. in the U. S. Securities and Exchange Commission in Dhia Jafar, a.k.a. Dhia Yahya Dhia Al-Din Jaffar, described as an Iraq-born citizen of Belize residing in Dubai, and Omar Nabulsi, of Jordan, at the U. S. District Court for the Southern District of New York.

Originating Application in BVI Financial Services Commission v. Sovereign International Worldwide Limited at the British Virgin Islands High Court.

Complaint alleging "advance-fee investment schemes" in U. S. Securities and Exchange Commission v. Malom Group AG, of Switzerland; Martin U. Schläpfer, of Switzerland; Hans-Jürg Lips, of Switzerland; James C. Warras, of Waterford, Wisconsin; Joseph N. Micelli, of Las Vegas, Nevada; M.Y. Consultants Inc., of Nevada; Anthony B. Brandel, M. Dwyer LLC, of Las Vegas, Nevada,  and Sean P. Finn, of Whitefish, Montana, at the U. S. District Court for the District of Nevada.

CFTC's Motion to Compel Deposition of Richard Chase in United States Commodity Trading Futures Commission v. Royal Bank of Canada at the U. S. District Court for the Southern District of New York.

Public Notice by the Cayman Islands Monetary Authority announcing that controllers have been appointed for AAA Venture Fund SPC Limited.

Beverly Insurance Company Limited - Public Statement - BVI Financial Services Commission - October 1, 2013

Final Order and Consent to Entry of Order In the Matter of Venulum Ltd., Venulum, Inc., and Giles D. Cadman at the State of Oregon Department of Consumer and Business Services, Division of Finance and Corporate Securities.

Report on The Channel Islands Stock Exchange entitled 'A Review of Market Surveillance and other relevant aspects of the Exchange' by Mark Tubby.

Hayes Capital - Public Statement - Jersey Financial Services Commission - Public Statement - September 25, 2013

Complaint alleging insider trading using accounts in the British Virgin Islands in U. S. Securities and Exchange Commission v. Jing Wang and Gary Yin at the U. S. District Court for the Southern District of California.

Opposition to Fletcher Asset Management Inc.'s Motion for An Order Enjoining the Trustee from Producing Documents to the United States Securities and Exchange Commission In re. Fletcher International, Ltd. at the U. S. Bankruptcy Court for the Southern District of New York.

Motion of Fletcher Asset Management, Inc. for an order enjoining the Bankruptcy Trustee of Bermuda hedge fund Fletcher International, Ltd. from producing documents to the U. S. Securities and Exchange Commission, filed at the U. S. Bankruptcy Court for the Southern District of New York.

Primasia Korea Growth Fund - Warning Notice - Cayman Islands Monetary Authority - September 3, 2013

Transcript of Oral Motion to Dismiss by Gibraltar Global Securities and Warren A. Davis in U. S. Securities and Exchange Commission v. Gibraltar Global Securities, Inc. and Warren A. Davis at the U. S. District Court for the Southern District of New York.

Response by dms Offshore Investment Services to the Private Sector Consultation Paper and Corporate Governance Statement of Guidance for Mutual Funds of the Cayman Islands Monetary Authority.

Complaint alleging securities fraud in U. S. Securities and Exchange Commission v. John G. Rizzo at the U. S. District Court for the Southern District of California.

Fixed Date Claim Form in Premier Assurance Group Ltd. and Premier Assurance Group SPC Ltd. v. British Virgin Islands Financial Services Commission at the British Virgin Islands High Court.

Cayman Islands Hedge Fund Corporate Governance Survey - Cayman Islands Monetary Authority - June 28, 2013

Adjudication by the Financial Ombudsman Service in Hugh Montgomery v. Portland Financial Management (UK) Limited.

Complaint in U. S. Commodity Futures Trading Commission v. Banc De Binary Ltd. at the U. S. District Court for the District of Nevada.

Complaint in U. S. Securities and Exchange Commission v. Banc De Binary Ltd. at the U. S. District Court for the District of Nevada.

Motion for Temporary Restraining Order in U. S. Securities and Exchange Commission v. Banc De Binary Ltd. at the U. S. District Court for the District of Nevada.

Stephen Andrew Homyard - Public Statement - Jersey Financial Services Commission - May 24, 2013

This session will explore numerous hazards, opportunities and practical applications of the 2012 OVDP, including a review of numerous technical issues and input for how to address these issues. Watch Now View Trailer

This session will arm you with basic tools to make you just a little bit dangerous when discussing international initiatives such as FATCA (including the US, UK and EU versions), AIFMD, EMIR, Dodd Frank, CFTC and a host of other acronyms that are a portent of the new age of borderless regulation. Watch NowView Trailer

Watch Now View Trailer This session will look at the latest developments in whistleblower programs operated by the SEC, CFTC and the IRS.

Florida Bankers Association and Texas Bankers Association v. United States Department of Treasury, Internal Revenue Service, Jack Lew, and Steven T. Miller at the U. S. District Court for the District of Columbia.

Complaint in U. S. Securities and Exchange Commission v. Gibraltar Global Securities Inc. and Warren A. Davis at the U. S. District Court for the Southern District of New York.

Ruling on the status, duties and powers of the Receivers In the Matter of Axiom Legal Financing Fund at the Grand Court of the Cayman Islands.

Application for Leave to Apply for Judicial Review in Cayman Private Manager II Limited, which is part of the DMS Group, v. Cayman Islands Monetary Authority at the Grand Court of the Cayman Islands.

Request for Judicial Assistance in U. S. Securities and Exchange Commission v. Corey Ribotsky, Daryl Dworkin, and The NIR Group, LLC at the Grand Court of the Cayman Islands.

Complaint in U. S. Securities and Exchange Commission v. Carrillo Huettel LLP, Luis J. Carrillo, Wade D. Huettel, Gibraltar Global Securities Inc., Warren Davis, John B. Kirk, Benjamin T. Kirk, Dylan L. Boyle, James K. Hinton Jr., Luniel De Beer, Joel P. Franklin, Pacific Blue Energy Corporation, Tradeshow Marketing Company Ltd., and Dr. Luis Carrillo at the U. S. District Court for the Southern District of New York.

Amended Joint Motion to Approve Settlement Agreement in U. S. Securities and Exchange Commission v. R. Allen Stanford, James M. Davis, Laura Pendergest-Holt, Stanford International Bank, Ltd., Stanford Group Company, and Stanford Capital Management, LLC at the U. S. District Court for the Northern District of Texas.

British Virgin Islands Liquidators' Response to Contempt Motion in U. S. Commodity Futures Trading Commission v. Nikolai Simon Battoo, BC Capital Group SA, BC Capital Group International Limited, a.k.a. BC Capital Group Limited, a.k.a. BC Capital Group Global; BC Capital Management LLP, and BC Capital Group Holdings SA at the U. S. District Court for the Northern District of Illinois.

Emergency Motion to hold Hadley Chilton and John Greenwood, of Baker Tilly (BVI) Limited, as the British Virgin Islands liquidators of funds controlled by Nikolai Batto, in contempt for allegedly violating an asset-freeze order in U. S. Commodity Futures Trading Commission v. Nikolai Simon Battoo, BC Capital Group SA, BC Capital Group International Limited, a.k.a. BC Capital Group Limited, a.k.a. BC Capital Group Global; BC Capital Management LLP, and BC Capital Group Holdings SA at the U. S. District Court for the Northern District of Illinois.

Complaint in U. S. Securities and Exchange Commission v. New Stream Capital (Cayman), Ltd., New Stream Capital, LLC, David A. Bryson, Bart C. Gutekunst, Richard Pereira, and Tara Bryson at the U. S. District Court for the District of Connecticut.

Request to take evidence from Deloitte BVI in U. S. Securities and Exchange Commission v. Brian Raymond Callahan, Horizon Global Advisors Ltd., Horizon Global Advisors LLC, Diversified Global Investments (BVI) LP, The Matsers Global Fund LP, Fiduciary Select Income Fund LP, Horizon Millennium Investments LP, Pangea Offshore High Yield Portfolio LLC, Adam Manson, Distinctive Investments LLC, and Distinctive Ventures LLC at the U. S. District Court for the Eastern District of New York.