Listed Securities

USA v. Aon Plc et al: Antitrust Complaint

Antitrust Complaint alleging "Aon's proposed acquisition of WTW would combine two of the three largest insurance brokers in the world. It would eliminate substantial head-to-head competition and likely lead to higher prices and less innovation, harming American businesses and their customers, employees, and retirees" in USA v. Aon Plc and Willis Towers Watson Plc, both described as Irish companies based in England, at the U. S. District Court for the District of Columbia.

Canyon Balanced Master Fund Ltd. et al v. EQT Corporation et al: Class Action Complaint

Class Action Complaint alleging fraud in Canyon Balanced Master Fund Ltd., of the Cayman Islands; The Canyon Value Realization Master Fund L.P., of the Cayman Islands; Canyon-GRF Master Fund II, L.P., of the Cayman Islands; EP Canyon Ltd., of the British Virgin Islands, and Canyon Value Realization Fund, L.P., of Delaware v. EQT Corporation, described as a Pennsylvania-domiciled "natural gas producer" whose shares are listed on the New York Stock Exchange; Steven T. Schlotterbeck, Robert J. McNally, David L. Porges, and David E. Schlosser, Jr. at the U. S. District Court for the Western District of Pennsylvania.

Scopia Windmill Fund LP et al v. EQT Corporation et al: Class Action Complaint

Class Action Complaint alleging securities fraud in Scopia Windmill Fund LP, of Delaware; Scopia PX LLC, of Delaware; Scopia PX International Master Fund LP, of Bermuda; Scopia Partners LLC, of Delaware; Scopia LB LLC, of Delaware; Scopia LB International Master Fund LP, of Bermuda; Scopia International Master Fund LP, of Bermuda; Scopia Long QP LLC, of Delaware; Scopia Long LLC, of Delaware; Scopia Long International Master Fund LP, of Bermuda v. EQT Corporation, Steven T. Schlotterbeck, Robert J. McNally, David L. Porges, and David E. Schlosser, Jr. at the U. S. District Court for the Western District of Pennsylvania.

European Lithium Ltd.: €160K Fine

Public Notice by the Austrian Financial Market Authority that it has imposed a fine of €160,000 on European Lithium Limited "for the dissemination of information and messages that sent out false and misleading signals to the market in relation to a financial instrument". Editor's Note: Research by OffshoreAlert showed that, on its website at https://europeanlithium.com/, European Lithium's "Directors and Senior Management" are described as Tony Sage - Non-Executive Chairman; Dietrich Wanke - Chief Executive Officer; Kimon Gkomozias - Executive Director; Malcolm Day - Non-Executive Director; and Melissa Chapman - CFO & Company Secretary.

KrisEnergy Ltd.: Winding Up Petition

Winding Up Petition in the matter of KrisEnergy Ltd., described as "an upstream oil and gas company whose principal business activity is acting as the holding company of an international group of companies with operating subsidiaries variously incorporated in Singapore, the Cayman Islands, Thailand, Jersey, the Netherlands, the British Virgin Islands, Cambodia and Bermuda" whose estimated net insolvency is more than $500 million, at the Grand Court of the Cayman Islands.

Alex Garnett v. RLX Technology Inc. et al: Class Action Complaint

Class Action Complaint in Alex Garnett v. RLX Technology Inc., which "manufactures and sells vaping products in China" and and whose securities are listed on the New York Stock Exchange; Ying Kate Wang, Long David Jiang, Yilong Wen, Yueduo Rachel Zhang, Colleen A. DeVries, Cogency Global Inc., Citigroup Global Markets Inc., and China Renaissance Securities (Hong Kong) Limited, based in China, at the U. S. District Court for the Southern District of New York.

CAA Resources Ltd.: Winding Up Petition

Winding Up Petition in the matter of CAA Resources Limited, described as a Cayman Islands-domiciled, Hong Kong-based company whose shares are listed on the Hong Kong Stock Exchange and which is "unable to pay" debts of US$182 million, at the Grand Court of the Cayman Islands.

Ogier v. SPI Energy Co. Ltd.: Complaint

Complaint in Ogier, a Hong Kong law firm v. SPI Energy Co. Ltd., described as a Cayman Islands-domiciled, Hong Kong-based "renewable energy" company whose shares are listed on NASDAQ, at the Summary Court of the Cayman Islands.

SEC v. Harmel Rayat et al: Complaint

Complaint alleging the defendants "defrauded investors by soliciting StreetAuthority, LLC, an online financial publishing company, to run a promotion designed to increase RenovaCare's stock price and trading volume, and then concealed their involvement in the promotion from investors" in U. S. Securities and Exchange Commission v. Harmel Rayat, described as a citizen of Canada and resident of Vancouver, British Columbia, and RenovaCare Inc., described as a Nevada company based in Roseland, New Jersey, at the U. S. District Court for the Southern District of New York.

Colleges of Applied Arts & Technology Pension Plan et al v. Grupo Televisa S.A.B. et al: Order Dismissing Robbins Geller

Opinion and Order dismissing Robbins Geller Rudman & Dowd law firm from a class action lawsuit on the grounds of "fraud" and being "misleading" in Colleges of Applied Arts & Technology Pension Plan et al v. Grupo Televisa S.A.B., of Mexico; Emilio Fernando Azcárraga Jean, and Salvi Rafael Folch Viadero at the U. S. District Court for the Southern District of New York.

Alpha Capital Anstalt v. BriaCell Therapeutics Corp.: Complaint

Complaint in Alpha Capital Anstalt, of Liechtenstein v. BriaCell Therapeutics Corp., a Canadian company that "describes itself as "clinical-stage biotechnology company specializing in targeted immunotherapies for advanced breast cancer" and whose shares are listed on NASDAQ and the Toronto Stock Exchange, at the Supreme Court of the State of New York, County of New York.

Sina Corporation: ‘Fair Value’ Petition

Petition to determine "the fair value of the Dissenters' Shares" in the matter of Sina Corporation, described as "an online media business in the People's Republic of China", at the Grand Court of the Cayman Islands.

Cayman-based broker Andrew McAlpine pleads guilty to securities fraud conspiracy

Canadian penny stock broker Andrew McAlpine has pleaded guilty to conspiracy to commit securities fraud at federal court in California and received permission to return to his home in the Cayman Islands pending sentencing. Prosecutors have recommended that he serve between six and 12 months in prison and he also faces restitution of "at least $270,689".

Sun Cheong Creative Development Holdings Ltd.: ‘Scheme of Arrangement’ Petition

Petition for the Court's sanction of a Scheme of Arrangement in the matter of Sun Cheong Creative Development Holdings Limited, described a Hong Kong-based company that "is principally engaged in the design, development, manufacturing and selling of plastic household products" and whose shares are listed on The Stock Exchange of Hong Kong, at the Grand Court of the Cayman Islands.

Bagir Group Ltd.: Chapter 15 Petition

Chapter 15 Petition for Recognition of a Foreign Main Proceeding in Israel by Ilan Shavit-Stricks, as the Foreign Representative of Bagir Group Limited, described as am Israeli apparent company that "had interests in five companies in foreign countries - Egypt, Ethiopia, the United States, England and the British Virgin Islands as well as a representative regional office in Vietnam" and whose shares are listed "on the Alternative Investment Market, a sub-market of the London Stock Exchange", filed at the U. S. Bankruptcy Court for the Southern District of New York.

Paula Schoenhoff v. Cardtronics Plc et al: Complaint

Complaint in Paula Schoenhoff v. Cardtronics Plc, described as an English provider of "automated consumer financial services through its network of automated teller machines and multi-function financial services kiosks" whose shares are listed on NASDAQ; Mark Rossi, Douglas L. Braunstein, Julie Gardner, Warren C. Jenson, G. Patrick Phillips, Juli C. Spottiswood, and Rahul Gupta at the U. S. District Court for the Eastern District of New York.

Chris Lhamon v. Cardtronics Plc et al: Complaint

Complaint alleging securities law violations in Chris Lhamon v. Cardtronics Plc, an English company that operates a "global network of ATMs" and whose shares are listed on the New York Stock Exchange; Mark Rossi, Douglas Braunstein, Julie Gardner, Warren Jenson, Patrick Phillips, Juli Spottiswood, and Rahul Gupta at the U. S. District Court for the Southern District of New York.

City of St. Clair Shores Police and Fire Retirement System v. Credit Suisse Group AG et al: Class Action Complaint

Class Action Complaint on behalf of "all persons who purchased or otherwise acquired Credit Suisse American Depositary Receipts between October 29, 2020 and March 31, 2021" alleging "materially false and misleading statements regarding the Company's business metrics and financial prospects", particularly involving Greensill Capital and Archegos Capital Management, "exposing the Company to billions of dollars in losses" in City of St. Clair Shores Police and Fire Retirement System v. Credit Suisse Group AG, of Switzerland; Thomas Gottstein, Lara J. Warner, and David R. Mathers at the U. S. District Court for the Southern District of New York.

Jason Denny v. Canaan Inc. et al: Class Action Complaint

Class Action Complaint alleging fraud in Jason Denny v. Canaan Inc., described as a Cayman Islands-domiciled, China-based company that "designs, manufactures and sells bitcoin mining machines" whose shares are listed on NASDAQ; Nangeng Zhang, and Tong He at the U. S. District Court for the Southern District of New York.

Everett Glover v. Amdocs Ltd. et al: Class Action Complaint

Class Action Complaint alleging fraud in Everett Glover v. Amdocs Limited, described as a Guernsey-domiciled, Missouri-based company that "provides global software and services to the communications, cable and satellite, entertainment, and media industry service providers" and whose shares are listed on NASDAQ; Joshua Sheffer, and Tamar Rapaport-Dagim at the U. S. District Court for the Eastern District of Missouri.

Stephanie Marn v. Amdocs Ltd. et al: Class Action Complaint

Class Action Complaint alleging fraud in Stephanie Louise Marn v. Amdocs Limited, described as a Guernsey company that "provides software and services to communications, cable and satellite, entertainment, and media industry service providers worldwide" and whose shares are listed on NASDAQ; Shuky Sheffer, Eli Gelman, and Tamar Rapaport-Dagim at the U. S. District Court for the Central District of California.

Victor Cook v. Coinsquare Ltd.: Complaint

Complaint alleging fraud in Victor J. Cook, of West Palm Breach, Florida, individually and as the Current Members' Representative of AltPay Holdings LLC v. Coinsquare Ltd., described as a Canadian company that "operates a crypto asset trading platform that facilitates the buying and selling of crypto assets, including bitcoin, litecoin and ether" and whose shares are listed on the Toronto Stock Exchange, at the U. S. District Court for the Southern District of Florida.

Wirecard AG: Chapter 15 Petition

Chapter 15 Petition for Recognition of a Foreign Main Proceeding in Germany by Dr. Michael Jaffé, as the Foreign Representative of Wirecard AG, a former "multinational payment processor and financial services provider specializing in digital payment solutions for both business and retail customers around the globe" that collapsed after allegations of "material misstatements in its financial reports and other accounting improprieties", at the U. S. Bankruptcy Court for the Eastern District of Pennsylvania.

Tommie Zaker v. Ebang International Holdings Inc. et al: Class Action Complaint

Class Action Complaint alleging fraud in Tommie Zaker v. Ebang International Holdings Inc., described as a Cayman Islands-domiciled, China-based company that "purports to be a leading application-specific integrated circuit chip design company and a leading manufacturer of Bitcoin mining machines"; Dong Hu, and Lei Chen at the U. S. District Court for the Southern District of New York.

Solutions 30 Eastern Europe SRL et al v. Muddy Waters Capital LLC et al: Complaint

Complaint alleging defamation and unfair competition regarding an "anonymous report" that, as part of a "short-sale scheme", "falsely and baselessly accused Solutions SE and its related companies" of "facilitating activities of money laundering" and "employing former or current criminals as representatives" in Solutions 30 Eastern Europe SRL, of Romania; Swordfish Advisory Services SRL, of Romania, and Federico Salmoiraghi, a citizen of Italy and "beneficial owner of Salmo Services Group" v. Muddy Waters Capital LLC, described as a Delaware company based in California, and Carson C. Block, described as the "founder, research director, and sole member and member-manager of Muddy Waters", at the U. S. District Court for the Northern District of California.

China Oil Gangran Energy Group Holdings Ltd.: ‘Scheme of Arrangement’ Petition

Petition for Court sanction of a Scheme of Arrangement in the matter of China Oil Gangran Energy Group Holdings Limited (in Provisional Liquidation), described as "an investment holding company of a group of subsidiaries which are principally located in Hong Kong, the People's Republic of China, and the British Virgin Islands", at the Grand Court of the Cayman Islands.

Erwin Hurlbut v. GW Pharmaceuticals Plc et al: Complaint

Complaint in Erwin Hurlbut v. GW Pharmaceuticals Plc, described as a British "biopharmaceutical company focused on discovering, developing, and commercializing novel therapeutics from its proprietary cannabinoid product platform in a broad range of disease areas" whose shares are listed on NASDAQ; Geoffrey Guy, Justin Gover, Cabot Brown, David Gryska, Catherine Mackey, James Noble, Alicia Secor, and William Waldegrave at the U. S. District Court for the Eastern District of Pennsylvania.

Kimberly Beltran v. SOS Ltd. et al: Class Action Complaint

Class Action Complaint alleging fraud in Kimberly Beltran v. SOS Limited, described as a Cayman Islands-domiciled, China-based "technology company that purportedly provides marketing data, technology, and solutions for emergency rescue services" whose securities are listed on the New York Stock Exchange; Yandai Wang, and Eric H. Yan at the U. S. District Court for the District of New Jersey.

Polygon Global Partners LLP v. Kohlberg Kravis Roberts et al: Discovery Application

Application by Polygon Global Partners LLP to take discovery from Kohlberg Kravis Roberts & Co. LP law firm, Jason Carss, described as KKR's "Managing Director of Legal", and Terence Gallagher, described as KKR's "Managing Director on the Finance team", for use in legal proceedings in Spain "brought to challenge administrative decisions of the Spanish National Securities Market Commission (Comisión Nacional del Mercado de Valores, hereafter "CNMV"), by which the CNMV authorized Lorca Telecom BidCo, S.A.U. to take over and delist Spanish telecommunications company, MasMovil Ibercom, S.A.", filed at the U. S. District Court for the Southern District of New York.

Polygon Global Partners LLP v. Providence Equity Partners LLC: Discovery Application

Application by Polygon Global Partners LLP to take discovery from Providence Equity Partners LLC "for use in two proceedings before the Audiencia Nacional ("Spanish National High Court") in Madrid, where Polygon is contesting decisions taken by the CNMV, Spain's principal securities regulator, in a challenged takeover bid", filed at the U. S. District Court for the District of Rhode Island.

Joseph Nitcheu v. Bit Digital Inc. et al: Class Action Complaint

Class Action Complaint alleging fraud in Joseph Franklin Monkam Nitcheu v. Bit Digital Inc., described as a Cayman Islands-domiciled, New York-based, NASDAQ-listed "holding company that purports to engage in the bitcoin mining business through its wholly owned subsidiaries in U.S. and Hong Kong"; Min Hu, and Erke Huang at the U. S. District Court for the Southern District of New York. Editor's Note: Research by Offshorealert in the Cayman Islands General Registry showed that the directors of Bit Digital Inc. are Zhaohui Deng, Min Hu, Erke Huang, Ichi Shih, and Yan Xiong.

Mallinckrodt Plc v. The Buxton Helmsley Group Inc. et al: Complaint

Complaint "to enjoin the illegal campaign of defendants Buxton Helmsley Group, Inc. and its principal, Alexander E. Parker, to frustrate and disrupt this bankruptcy case with an extraordinary general meeting of Mallinckrodt shareholders whom they are soliciting with legally deficient and materially misleading proxy disclosures" in Mallinckrodt Plc, described as "an Irish public limited company" v. The Buxton Helmsley Group Inc., described as a Michigan corporation based in New York, and Alexander E. Parker, of New York, at the U. S. Bankruptcy Court for the District of Delaware.

Polytec Asset Holdings Ltd.: ‘Scheme of Arrangement’ Petition

Petition for the Court's sanction of a Scheme of Arrangement in the matter of Polytec Asset Holdings Limited, a Cayman Islands-domiciled, Hong Kong-based company which is "engaged in the business of investment holding and principally carries on business through its subsidiaries whose principal business activities are property investment and development, oil exploration and production, manufacturing of ice, provision of cold storage services and financial investments", at the Grand Court of the Cayman Islands.

Sime Darby Plantation Berhad v. Duncan Jepson: Discovery Application

Application by Sime Darby Plantation Berhad, described as "a publicly traded Malaysian company and the world's largest manufacturer of sustainable palm oil", to take discovery from Duncan Jepson "in connection with an ongoing investigation being conducted by the Malaysian Securities Commission", filed at the U. S. District Court for the Eastern District of Virginia.

Athos Asia Event Driven Master Fund et al v. L & L Horizon LLC: Discovery Application

Application by Athos Asia Event Driven Master Fund, FourWorld Event Opportunities LP, BCIM Strategic Value Master Fund LP, Maso Capital Arbitrage Fund Limited, Maso Capital Investments Limited, all of the Cayman Islands, and Kevin Xin Lu, of California, to take discovery from L & L Horizon LLC for use in legal proceedings in the Cayman Islands, filed at the U. S. District Court for the District of Delaware.

Johnathon Householder v. Thunder Bridge Acquisition II Ltd. et al: Complaint

Complaint alleging securities violations "in connection with the proposed merger between Thunder Bridge and Ay Dee Kay, LLC d/b/a indie Semiconductor" in Johnathon Householder v. Thunder Bridge Acquisition II Ltd., a Cayman Islands-domiciled, Virginia-based "blank check company formed in order to effect a merger, capital stock exchange, asset acquisition, stock purchase, reorganization or other similar business combination with one or more businesses or entities" whose shares are listed on NASDAQ; Gary Simanson, David E. Mangum, Mary Ann Gillespie, Robert Hartheimer, Stewart Paperin, and Allerd Derk Stikker at the U. S. District Court for the Southern District of New York.

Athos Asia Event Driven Master Fund et al v. The Crawford Group Inc.: Discovery Application

Application by Athos Asia Event Driven Master Fund, FourWorld Event Opportunities LP, BCIM Strategic Value Master Fund LP, Maso Capital Arbitrage Fund Limited, Maso Capital Investments Limited, all of the Cayman Islands, and Kevin Xin Lu, of California, to take discovery from The Crawford Group Inc. for use in "an appraisal proceeding pending in the Grand Court of the Cayman Islands" involving eHi Car Services Limited, described as "a leading car rental and car services company in China", filed at the U. S. District Court for the Eastern District of Missouri.