Listed Securities

Orbis Global Equity LE Fund et al v. Alta Mesa Resources Inc. et al: Complaint

Complaint alleging securities fraud in Orbis Global Equity LE Fund, of Australia; Orbis Global Equity Fund, of Australia; Orbis Global Balanced Fund, of Australia; Orbis SICAV, of Luxembourg; Orbis Institutional Global Equity L.P., of Delaware; Orbis Global Equity Fund Limited, of Bermuda; Orbis Institutional Funds Limited, of Bermuda; Allan Gray Australia Balanced Fund, of Australia; Orbis OEIC, of England and Wales, and Orbis Institutional U.S. Equity L.P., of Delaware v. Alta Mesa Resources, Inc., James T. Hackett, Thomas J. Walker, William Gutermuth, Jeffrey H. Tepper, Diana J. Walters, Stephen Coats, Harlan H. Chappelle, Michael E. Ellis, Ronald Smith, David M. Leuschen, Pierre F. Lapeyre, Jr., William W. McMullen, Don Dimitrievich, Donald Sinclair, Riverstone Holdings LLC, Bayou City Energy Management, LLC, HPS Investment Partners, LLC, and ARM Energy Holdings LLC at the U.S. District Court for the Southern District of Texas.

FAB CBO 2003-I BV: €15K Fine

Public Notice by the Luxembourg CSSF that it has imposed a fine of €15,000 on FAB CBO 2003-I B.V., of the Netherlands, for failure to file its 2021 annual report "within the required time limit".

GetSwift Technologies Ltd. et al: Chapter 11 Petition

Chapter 11 Petition by GetSwift Technologies Limited, of Vancouver, Canada, and GetSwift Inc., of New York, described as "a delivery and workforce management software-as-service (SaaS) platform that has been utilized by clients in over 70 countries and across more than 70 different verticals to automate and manage their local delivery operations and delivery drivers", at the U.S. Bankruptcy Court for the Southern District of New York.

E-House (China) Enterprise Holdings Ltd.: ‘Scheme of Arrangement’ Petition

Petition for the Court's sanction of a Scheme of Arrangement in the matter of E-House (China) Enterprise Holdings Limited, described as "the ultimate holding company of a group of more than 300 companies that primarily carries on the business of real estate agency services, real estate data and consulting services and real estate brokerage network services in the People's Republic of China", at the Grand Court of the Cayman Islands.

Kevin Barnes v. Carson Block et al: Summons with Notice (‘$7M Share of $14M Whistleblower Reward’)

Summons With Notice for a claim of $7 million alleging the defendants "refused to compensate" the plaintiff for his work in "exposing ongoing fraud at a company publicly traded on the NASDAQ stock exchange" after defendant Carson Block received "an approximately $14 million whistleblower award" from the SEC in Kevin Barnes v. Carson Block and Muddy Waters LLC at the Supreme Court of the State of New York, County of New York.

Changpeng Zhao v. Bloomberg LP et al: Discovery Application (Hong Kong Defamation Lawsuit)

Application by Changpeng Zhao to take discovery from Bloomberg LP and Bloomberg Inc. for use in a defamation complaint in Hong Kong against Modern Media Company Limited, of Hong Kong, regarding an article that allegedly "contained false, malicious and defamatory statements about Zhao and his company, Binance Holdings Limited", a cryptocurrency exchange operator that is domiciled in the Cayman Islands, filed at the U.S. District Court for the Southern District of New York.

Xiongjian Chen v. Peter Wang et al: Complaint

Complaint alleging breach of contract and fraud in Xiongjian Chen, of Shanghai, China v. Peter Zuguang Wang, Cenntro Automotive Group Limited, of the Cayman Islands; Cenntro Enterprise Limited, of Hong Kong, and Cenntro Electric Group Limited, f.k.a. Naked Brand Group Limited, of Australia, at the U.S. District Court for the District of New Jersey.

SEC v. Ishan Wahi et al: Complaint (‘Crypto Insider Trading’)

Complaint alleging "insider trading in certain crypto asset securities that Coinbase Global, Inc. announced would be “listed,” or made available to trade, on its crypto asset trading platform" in U.S. Securities and Exchange Commission v. Ishan Wahi, described as a citizen of India residing in Seattle, Washington; Nikhil Wahi, described as a citizen of India residing in Seattle, Washingtnon, and Sameer Ramani, described as a former resident of Houston, Texas currently residing in India, at the U.S. District Court for the Western District of Washington.

405 ACM Ltd. et al v. 51job Inc.: ‘Fair Value’ Petition

Petition to determine the fair value of shares in 51job Inc., described as "a leading provider of integrated human resource services in The People's Republic of China" in 405 ACM Ltd., 405 ACM Global Opportunities Fund, Alpine Partners (BVI) L.P., Athos Asia Event Driven Master Fund, BMSF Sub LP, Boothbay Absolute Return Strategies LP, Boothbay Diversified Alpha Master Fund LP, Church Murray Fund LLC, Corbin ERISA Opportunity Fund Ltd., FMAP AGL Limited, FourWorld Event Opportunities LP, FourWorld Special Opportunities Fund LLC, FourWorld Global Opportunities Fund Ltd., FourWorld Global Strategic Opportunities Fund I LLC, FW Deep Value Opportunities Fund I LLC, Integrated Core Strategies (US) LLC, KL Special Opportunities Master Fund Ltd., Palliser Capital Master Fund Ltd., Pinehurst Partners L.P., Quadre Investments L.P., and QVT Family Office Fund LP at the Grand Court of the Cayman Islands.

51job Inc.: ‘Fair Value’ Petition

Petition to determine the fair value of shares held by "dissenting shareholders" in the Cayman Islands, England, and the USA, in the matter of 51job Inc., described as "a leading provider of integrated human resource services in the People's Republic of China", at the Grand Court of the Cayman Islands.

Blue Ocean Structure Investment Company Ltd. v. Simrit Pamar: Discovery Application (Cayman Islands Proceedings)

Application by Blue Ocean Structure Investment Company Ltd. to take discovery from Simrit Pamar, ROCELO LLC, and Cellenkos Inc. for use in legal proceedings in the Cayman Islands involving Global Cord Blood Corporation, described as a Cayman Islands-domiciled, Hong Kong-based, New York Stock Exchange-listed company whose "main business is the storage of umbilical cord blood stem cells, principally in the People’s Republic of China", filed at the U.S. District Court for the Southern District of Texas.

Marianne Freudiger v. Molecular Partners AG et al: Class Action Complaint

Class Action Complaint alleging fraud in Marianne S. Freudiger v. Molecular Partners AG, of Switzerland; Patrick Amstutz, Andreas Emmenegger, William M. Burns, Agnete Fredriksen, Steven H. Holtzman, Sandip Kapadia, Vito J. Palombella, Michael Vasconcelles, and Domink Höchli at the U.S. District Court for the Southern District of New York.

Juan Chen v. Missfresh Ltd. et al: Class Action Complaint

Class Action Complaint in Juan Chen v. Missfresh Limited, described as a Cayman Islands company based in China; Zheng Xu, of China; Jun Wang, of China; Yuan Sun, of China; Zhaohui Li, of China; Colleen A. DeVries, JPMorgan Securities LLC, Citigroup Global Markets Inc., China International Capital Corporation Hong Kong Securities Limited, China Renaissance Securities (Hong Kong) Limited, Haitong International Securities Company Limited, CMB International Capital Limited, AMTD Global Markets Limited, ICBC International Securities Limited, Needham & Company LLC, China Merchants Securities (HK) Co. Limited, ABCI Securities Company Limited, GF Securities (Hong Kong) Brokerage Limited, Futu Inc., Tiger Brokers (NZ) Limited, and Cogency Global Inc. at the U.S. District Court for the Eastern District of New York.

SEC v. Doron Tavlin et al: Complaint

Complaint alleging insider trading involving Mazor Robotics Ltd., of Israel, and Medtronic Plc, of Ireland, in U.S. Securities and Exchange Commission v. Doron A. Tavlin, Afshin Farahan, and David J. Gantman at the U.S. District Court for the District of Minnesota.

Voyager Digital Holdings Inc. et al: Chapter 11 Petition

Chapter 11 Petition by Voyager Digital Holdings Inc., of New York; Voyager Digital LLC, of New Jersey, and Voyager Digital Ltd., of Canada, which are part of a group comprising entities in Canada, Cayman Islands, Denmark, Estonia, France, United Kingdom, and USA that operates "a cryptocurrency brokerage" that is "facing a short-term 'run on the bank' due to the downturn in the cryptocurrency industry generally and the default of a significant loan made to a third party", which was identified as British Virgin Islands-domiciled, Singapore-based "cryptocurrency hedge fund" Three Arrows Capital Ltd., filed at the U.S. Bankruptcy Court for the Southern District of New York.

SAS Group: Chapter 11 Petition

Chapter 11 Petition by SAS AB, SAS Danmark A/S, SAS Norge AS, SAS Sverige AB, Scandinavian Airlines System Denmark-Norway-Sweden, Scandinavian Airlines of North America Inc. (2393), Gorm Asset Management Ltd., Gorm Dark Blue Ltd., Gorm Deep Blue Ltd., Gorm Sky Blue Ltd., Gorm Warm Red Ltd., Gorm Light Blue Ltd., Gorm Ocean Blue Ltd., and Gorm Engine Management Ltd., part of a group whose owners include the Governments of Sweden and Denmark, at the U.S. Bankruptcy Court for the Southern District of New York.

Axtra LLC et al v. AXIA Issuer Inc. et al: Complaint (‘Crypto Dispute’)

Complaint alleging breach of contract involving "a digital currency which is known as AXIA Coin" in Axtra LLC, of Wyoming, and The AXIA-Axtra Trust, described as "a unit trust formed under the laws of the Cayman Islands" v. AXIA Issuer Inc., of the British Virgin Islands, and AXIA Foundation Inc., described as "purportedly a not-for-profit entity governed under the laws of the Commonwealth of Dominica", at the U.S. District Court for the District of Wyoming.

Grayscale Investments LLC v. SEC: Petition for Review (‘Grayscale Bitcoin Trust’)

Petition for Review of a decision "Disapproving a Proposed Rule Change ... to List and Trade Shares of Grayscale Bitcoin Trust" in Grayscale Investments LLC, described as "the world's largest digital currency asset manager and the sponsor of Grayscale Bitcoin Trust" v. U.S. Securities and Exchange Commission at the U.S. Court of Appeals for the District of Columbia Circuit.

SEC v. Bradley Moynes et al: Complaint

Complaint alleging fraud in U.S. Securities and Exchange Commission in Bradley J. Moynes, described as a citizen and resident of Canada, and Digatrade Financial Corp., of Vancouver, Canada, as Defendants, and Vancap Ventures Inc., of Canada, as Relief Defendant, at the U.S. District Court for the District of Massachusetts.

Zafar Khan: £154K Fine

Decision Notice by the United Kingdom's Financial Conduct Authority that it has imposed a fine of £154,400 on Zafar Khan for regulatory breaches involving Carillion Plc, described as "a leading international construction, project finance and support services business operating in the UK, Canada and Middle East" before it went into liquidation in 2018.

Carillion Plc: Public Censure

Decision Notice by the United Kingdom's Financial Conduct Authority imposing a "Public Censure" on Carillion Plc, described as "a leading international construction, project finance and support services business operating in the UK, Canada and Middle East" before it went into liquidation in 2018, for regulatory breaches involving market manipulation, the dissemination of misleading information, and "acting with integrity".

Clifford Cheah King Mun et al v. JPMorgan Chase & Co.: Discovery Application

Application by Clifford Cheah King Mun, of Singapore, and Maso Capital Investments Limited, of the Cayman Islands, to take discovery from JPMorgan Chase & Co. for use in "appraisal proceedings pending before the Supreme Court of Bermuda", filed at the U.S. District Court for the Southern District of New York.

Petroteq Energy, Inc. et al: Fines

Administrative Order by the U.S. Securities and exchange Commission imposing fines of $1 million and $450,000, respectively, on Petroteq Energy, Inc., of Canada, and Aleksandr Blyumkin, of California.

Blue Ocean Structure Investment Company Ltd. v. Global Cord Blood Corporation et al: Writ of Summons

Writ of Summons in Blue Ocean Structure Investment Company Limited, of the British Virgin Islands v. Global Cord Blood Corporation. of the Cayman Islands; Tina Ting Zheng, Albert Bing Chuen Chen, Mark D. Chen, Jack Chow, Ken Lu, Jennifer J. Weng, Jacky Siu Chuen Cheng, Kam Yuen, PAGAC III Holding VII Limited, and GM Precision Medicine (BVI) Limited, all described as being based in Hong Kong, at the Grand Court of the Cayman Islands.

SEC v. Trends Investments Inc. et al: Complaint

Complaint alleging "a scheme to defraud investors in private offerings of shares in publicly traded companies" in U.S. Securities and Exchange Commission v. Trends Investments Inc., Brandon Rossetti, Clinton Greyling, Leslie Greyling, described as a citizen of South Africa residing in the United Kingdom; Roger Bendelac, and Thomas Capellini at the U.S. District Court for the District of Massachusetts.

SEC v. George Stubos et al: TRO Motion

Ex Parte Application for a Temporary Asset Freeze Order in U.S. Securities and Exchange Commission v. George Stubos, described as a citizen of Canada residing in Vancouver, as Defendant, and Dori-Ann Stubos, described as the Defendant’s wife, as Relief Defendant, at the U.S. District Court for the Southern District of New York.

SEC v. George Stubos et al: Complaint

Complaint alleging "a sophisticated scheme that defrauded numerous retail investors" in U.S. Securities and Exchange Commission v. George Stubos, described as a citizen of Canada residing in Vancouver, as Defendant, and Dori-Ann Stubos, described as the Defendant's wife, as Relief Defendant, at the U.S. District Court for the Southern District of New York.

Modern Land (China) Co. Ltd.: Chapter 15 Petition

Chapter 15 Petition for Recognition of a Foreign Main Proceeding in the Cayman Islands by Zhang Peng, as the Foreign Representative of Modern Land (China) Co. Ltd., described as "the ultimate holding company of a group of companies comprising the Debtor and its subsidiaries, including Great Trade Technology Ltd., a holding company incorporated with limited liability in the British Virgin Islands, the Modern Land HK Companies, and Jiu Yun Development Co., Limited, a holding company incorporated with limited liability in Hong Kong, that carries out the business of real estate investment and development in the People’s Republic of China", filed at the U.S. Bankruptcy Court for the Southern District of New York.

Tenaris SA: $25M Fine

Administrative Order by the U.S. Securities and Exchange Commission imposing a fine of $25 million on Tenaris S.A., described as "a global manufacturer and supplier of steel pipe products and related services, headquartered in Luxembourg", for "violations of the anti-bribery, books and records, and internal accounting controls provisions of the Foreign Corrupt Practices Act of 1977 by Tenaris, as a result of a bribe scheme involving agents and employees of its Brazilian subsidiary to obtain and retain business from a Brazil state-owned entity Petróleo Brasileiro S.A.".

SEC v. Hugues Pierre Joublin: Complaint

Complaint alleging "insider trading by Joublin based on confidential information Joublin obtained while employed at AstraZeneca PLC" in U.S. Securities and Exchange Commission v. Hugues Pierre Joublin, described as a resident of France, at the U.S. District Court for the Southern District of New York.

Ryan O’Dell v. Nielsen Holdings Plc et al: Complaint

Complaint in Ryan O'Dell v. Nielsen Holdings Plc, of England; James A. Attwood, Jr., David Kenny, Thomas H. Castro, Guerrino de Luca, Karen M. Hoguet, Janice Marinelli Mazza, Jonathan Miller, Stephanie Plaines, Nancy Tellem, and Lauren Zalaznick at the U.S. District Court for the Southern District of New York.

Maso Capital Investments Ltd. et al v. Evercore Inc.: Discovery Application

Application by Clifford Cheah King Mun, of Singapore, and Maso Capital Investments Limited, of the Cayman Islands, to take discovery from Evercore Inc. for use in "appraisal proceedings pending before the Supreme Court of Bermuda" regarding "the fair value of the shares of Jardine Strategic Holdings Limited", filed at the U.S. District Court for the District of Delaware.

SEC v. Frank Glassner: Complaint

Complaint alleging insider trading "in the securities of biopharmaceutical company Kadmon Holdings, Inc. in advance of Kadmon's September 8, 2021 announcement that it had agreed to be acquired by the global biopharmaceutical company Sanofi S.A.", of France, in the U.S. Securities and Exchange Commission v. Frank B. Glassner, described as "an executive compensation consultant", of Novato, California, at the U.S. District Court for the Southern District of New York.

Webuild SpA et al v. WSP USA: Discovery Application

Application by Webuild SpA, of Italy, and Sacyr SA, of Spain, described as "global construction firms specialized in building large works and complex infrastructure projects", to take discovery from WSP USA for use in "two investment arbitrations relating to major investments by Webuild and Sacyr in an international infrastructure project to build the Third Set of Locks Project for the Panama Canal", filed at the U.S. District Court for the Southern District of New York.

Pareteum Corporation et al: Chapter 11 Bankruptcy Petition

Chapter 11 Petition by Pareteum Corporation, of Delaware; Pareteum North America Corp., of Delaware; Devicescape Holdings Inc., of Delaware; iPass Inc., of Delaware; iPass IP LLC, of Delaware; Pareteum Europe BV, of the Netherlands; Artillium Group Ltd., of England; Pareteum Asia Pte. Ltd., of Singapore, and Pareteum NV, of the Netherlands, collectively part of a group that "is a publicly held, leading edge, global provider of mobile networking software solutions and services for communications service providers and enterprise retail customers" with "operations in North America, Latin America, Europe, Middle East, Africa, and the Asia-Pacific region", at the U.S. Bankruptcy Court for the Southern District of New York.

Dagan Investments LLC v. First High-School Education Group Co. Ltd. et al: Class Action Complaint

Class Action Complaint in Dagan Investments LLC v. First High-School Education Group Co. Ltd., described as a Cayman Islands company that "operates private high schools in Western China and provides for-profit tutoring services"; Shaowei Zhang, Lidong Zhu, Guangzhou Zhao, Yuanlin Hu, Longwater Topco B.V., EQT Mid Market Asia III Limited Partnership, EQT Mid Market Asia III GP B.V., EQT Fund Management S.À.R.L., Colleen A. De Vries, Cogency Global Inc., The Benchmark Company LLC, Valuable Capital Group Limited, TFI Securities and Futures Limited, AMTD Global Markets Limited, Maxim Group LLC, Boustead Securities LLC, FUTU Inc., US Tiger Securities Inc., and Fosun Hani Securities Limited at the U.S. District Court for the Southern District of New York.

Canoo Inc. v. DD Global Holdings Ltd.: Complaint ($61M)

Complaint "to recover so-called 'short-swing profits'" of $61 million in Canoo Inc., described as a Delaware-domiciled, California-based "startup American manufacturer of consumer and commercial electric vehicles founded in 2017" v. DD Global Holdings Ltd., described as a Cayman Islands-domiciled, Hong Kong-based "owner of more than 10% of Canoo’s outstanding common shares", at the U.S. District Court for the Southern District of New York.

Robert Glick v. Arqit Quantum Inc. et al: Class Action Complaint

Class Action Complaint alleging fraud in Robert Glick v. Arqit Quantum Inc., formerly known as Centricus Acquisition Corp., described as a Cayman Islands-domiciled, London-based "cybersecurity company that has pioneered a unique quantum encryption technology"; David Williams, Nick Pointon, Carlo Calabria, Stephen Chandler, Manfredi Lefebvre d'Ovidio, VeraLinn Jamieson, Garth Ritchie, and Stephen Wilson at the U.S. District Court for the Eastern District of New York.