Listed Securities

USA v. NatWest Markets Plc: Plea Agreement

Plea Agreement regarding a fraudulent scheme involving entities in England, Singapore, and the USA in USA v. NatWest Markets Plc, f.k.a. The Royal Bank of Scotland Plc, of England, at the U. S. District Court for the District of Connecticut.

USA v. NatWest Markets Plc: Criminal Information

Criminal Information alleging wire fraud and securities fraud involving entities in England, Singapore, and the USA in USA v. NatWest Markets Plc, f.k.a. The Royal Bank of Scotland Plc, of England, at the U. S. District Court for the District of Connecticut.

China AI Capital Ltd. v. DLA Piper LLP et al: $180M Complaint

Shareholder Derivative Complaint alleging legal malpractice that "caused the Company to suffer damages in excess of USD$180,400,000" in China AI Capital Limited, of the British Virgin Islands, derivatively on behalf of Link Motion Inc., f.k.a. NQ Mobile Inc., described as a Cayman Islands-domiciled, China-based "technology business" v. DLA Piper LLP, a law firm domiciled in Maryland, and Caryn G. Schechtman, an attorney with DLA Piper, in New York, as Defendants, and Link Motion Inc., as Nominal Defendant, at the U. S. District Court for the Southern District of New York.

SEC v. Vladislav Kliushin et al: Complaint

Complaint alleging fraud in U. S. Securities and Exchange Commission v. Vladislav Kliushin, a.k.a. Vladislav Klyushin; Nikolai Rumiantcev, a.k.a. Nikolay Rumyantcev; Mikhail Irzak, Igor Sladkov, and Ivan Yermakov, a.k.a. Ivan Ermakov, all described as citizens and residents of Russia, at the U. S. District Court for the District of Massachusetts.

MFS Series Trust I et al v. FirstEnergy Corp. et al: Complaint

Complaint alleging "FirstEnergy - led by its then-Chief Executive Officer Charles E. (Chuck) Jones and other senior executives - was part of a criminal enterprise, engaging in a massive bribery and money laundering scheme to pay tens of millions of dollars to Ohio public officials in exchange for official acts done to benefit the Company" in MFS Series Trust I, on behalf of MFS Value Fund; MFS Series Trust IV, on behalf of MFS Blended Research Global Equity Fund; MFS Series Trust V, on behalf of MFS Research Fund and MFS Total Return Fund; MFS Series Trust VI, on behalf of MFS Utilities Fund; MFS Series Trust X, on behalf of MFS Blended Research Mid Cap Equity Fund and MFS Blended Research Value Equity Fund; MFS Series Trust XI, on behalf of MFS Mid Cap Value Fund and MFS Blended Research Core Equity Fund; MFS Series Trust XV, on behalf of MFS Global Alternative Strategy Fund; MFS Variable Insurance Trust, on behalf of MFS Value Series, MFS Utilities Series, MFS Total Return Series, and MFS Research Series; MFS Variable Insurance Trust II, on behalf of MFS Blended Research Core Equity Portfolio; MFS Variable Insurance Trust III, on behalf of MFS Mid Cap Value Portfolio; MFS Meridian Funds, of Luxembourg, on behalf of U.S. Value Fund and Managed Wealth Fund; MFS Investment Management Company (Lux), Sàrl, of Luxembourg, on behalf of Blended Research Global Equity Fund; and MFS Heritage Trust Company, as Trustee for MFS Large Cap Value Fund, v. FirstEnergy Corp., Charles E. Jones, Michael Dowling, James F. Pearson, Steven E. Strah, K. Jon Taylor, Donald R. Schneider, and John Judge at the U. S. District Court for the Southern District of Ohio.

USA v. Brehnen Knight: Criminal Information

Criminal Information alleging conspiracy to commit securities fraud and manipulating trading involving entities in Canada and the United States in USA v. Brehnen Knight at the U. S. District Court for the Southern District of California.

China Create Capital Ltd.: BVI Search Report

'Register of Companies Search Report' for China Create Capital Limited, obtained from the British Virgin Islands Registry of Corporate Affairs on December 17th, 2021.

WEX Inc.: $350K Fine

Administrative Order by the U. S. Securities and Exchange Commission imposing a fine of $350,000 on WEX Inc., described as "a Maine-based reporting company that describes itself as a financial technology service provider" for failing "properly to devise and maintain a sufficient system of internal accounting controls at its Brazilian subsidiary, UNIK S.A.", that led to "errors in WEX Brazil’s financial statements back to fiscal year 2013 totaling approximately $85.5 million, mostly relating to the overstatement of unbilled receivables. This amount included about $8 million in suspected theft or unauthorized transactions by former WEX Brazil employees".

Boyan Dong v. Cloopen Group Holding Ltd. et al: Class Action Complaint

Class Action Complaint in Boyan Dong v. Cloopen Group Holding Limited, a Cayman Islands company based in China; Changxun Sun, Yipeng Li, Kui Zhou, Qingsheng Zheng, Xiaodong Liang, Zi Yang, Ming Liao, Feng Zhu, Lok Yan Hui, Jianhong Zhou, Ching Chiu, Xiegang Xiong, Cheng Luo, Yunhao Liu, Cogency Global Inc., Colleen A. DeVries, Goldman Sachs (Asia) LLC, Citigroup Global Markets Inc., China International Capital Corporation Hong Kong Securities Limited, Tiger Brokers (NZ) Limited, and Futu Inc. at the U. S. District Court for the Southern District of New York.

Lisa Wiley v. Paysafe Ltd. et al: Class Action Complaint

Class Action Complaint alleging fraud in Lisa Wiley v. Paysafe Limited, f.k.a. Foley Trasimene Acquisition Corp. II, described as a Bermuda-based provider of "digital commerce solutions" whose shares are listed on the New York Stock Exchange; Richard N. Massey, Bryan D. Coy, Philip McHugh, and Ismail (Izzy) Dawood at the U. S. District Court for the Southern District of New York.

PFC Device Inc.: ‘Scheme of Arrangement’ Petition

Petition for the Court's sanction of a Scheme of Arrangement in the matter of PFC Device Inc., which "is engaged in the business of manufacturing and selling power discrete semiconductors under its own "PFC" brand into the Greater China area, and other Asian regional markets", at the Grand Court of the Cayman Islands.

CFTC v. Roman Banoczay, Jr. et al: Consent Order

Consent Order in Commodity Futures Trading Commission v. Roman Banoczay Jr., Roman Banoczay Sr., and BAZUR spol. SRO, all of Slovakia, at the U. S. District Court for the Northern District of Illinois.

SEC v. Mohammed Pithapurwala et al: Complaint

Complaint alleging "unlawful insider trading in the securities of Snap Inc." in U. S. Securities and Exchange Commission v. Mohammed Pithapurwala, of California; Ammar Kutiyanawalla, of India, and Alifiya Kutiyanawalla, of California, at the U. S. District Court for the Central District of California.

SEC v. Vincenzo Carnovale et al: Complaint

Complaint alleging the defendants "engaged in fraudulent schemes to sell and cause to be sold publicly-traded stock to investors" in U. S. Securities and Exchange Commission v. Vincenzo Carnovale, described as "a resident of British Columbia, Canada, and a dual citizen of Italy and Canada", and Amar Bahadoorsingh, described as "a resident of British Columbia, Canada, and a dual citizen of the United Kingdom and Canada", at the U. S. District Court for the District of Massachusetts.

SEC v. Marc Demane Debih: Complaint

Complaint alleging the defendant "traded on inside information and tipped others ahead of numerous market-moving corporate announcements in an international insider trading ring that generated tens of millions in illicit profits for the participants, with Debih himself netting at least $49 million" in a scheme allegedly involving individuals in or from England, France, Greece, Israel, Switzerland, and Thailand, in U. S. Securities and Exchange Commission v. Marc Demane Debih, described as a resident of Switzerland, at the U. S. District Court for the Southern District of New York.

Manuel Campuzano Treviño v. Laureate Education Inc.: Discovery Application

Application by Manuel Campuzano Treviño, described as a citizen and resident of Mexico who is a former "CEO and President (Rector) of the Universidad Tecnologica de Mexico, S.C. ("UNITEC"), a Mexican university", to take discovery from Laureate Education Inc., described as "a publicly-traded Delaware corporation" which "owns and manages international universities including in Latin America", for use in "ongoing litigation filed by Mr. Campuzano in Mexico" in which he is "seeking payment of approximately $20 million in damages", filed at the U. S. District Court for the District of Maryland.

Orbis Global Equity LE Fund et al v. Vale SA et al: Complaint

Complaint "to recover significant investment losses suffered as a result of securities fraud perpetrated by Defendants" 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 Funds Limited, of Bermuda; Orbis Global Equity Fund Limited, of Bermuda; Orbis Institutional Global Equity LP, of Delaware, and Orbis OEIC, of England and Wales v. Vale SA, described as "an international mining company based in Brazil"; Murilo Ferreira, Fabio Schvartsman, Luciano Siani Pires, Gerd Peter Poppinga, and Luiz Eduardo Froes do Amaral Osorio at the U. S. District Court for the Eastern District of New York.

Demetrios Chomatas et al: €9K Settlement

Public Notice by the Cyprus Securities and Exchange Commission that Demetrios Chomatas and unidentified "members of his family, as well as the legal person which he owned at the particular period" have agreed to pay a total of €9,000 to settle a regulatory investigation.

Ronald Ray v. StoneCo Ltd. et al: Class Action Complaint

Class Action Complaint alleging fraud in Ronald F. Ray v. StoneCo Ltd., described as a Cayman Islands-domiciled "provider of financial technology solutions" whose primary market is Brazil and whose shares are listed on NASDAQ; Thiago dos Santos Piau, Lia Machado de Matos, Rafael Martins Pereira, and Marcelo Bastianello Baldin at the U. S. District Court for the Southern District of New York.

Hunters Investments Ltd. v. Sanne Holdings Ltd. et al: Judgment

Judgment granting an application to remove Carey Olsen as legal representatives of four of the five defendants due to a conflict of interest in a case regarding allegations of fraud involving the valuation of Sanne Holdings Limited and Sanne Fiduciary Services Limited in Hunters Investments Limited v. Geoffrey Crill, Simon Young, Peter Machon, Sanne Holdings Limited, Sanne Fiduciary Services Limited, formerly known as Sanne Trust Company Limited, at the Royal Court of Jersey, in the Channel Islands.

Silver Base Group Holdings Ltd.: Winding Up Petition

Winding Up Petition in the matter of Silver Base Group Holdings Limited, which is part of a group that is "is primarily engaged in the distribution of liquor products", at the Grand Court of the Cayman Islands.

Shine Honour Opportunity VI Ltd. v. Puxin Ltd.: Winding Up Petition

Winding Up Petition in Shine Honour Opportunity VI Limited, of the British Virgin Islands v. Puxin Limited, described as a Cayman Islands-domiciled, China0-based company that is part of a group that provides "after-school education services in the PRC", at the Grand Court of the Cayman Islands.

Bruce Carper v. TMC the metals company Inc. et al: Class Action Complaint

Class Action Complaint alleging fraud in Bruce Carper v. TMC the metals company Inc., formerly Sustainable Opportunities Acquisition Corp., described as a Cayman Islands-domiciled, Canada-based "deep-sea minerals exploration company" whose shares are listed on NASDAQ; Gerard Barron, and Scott Leonard at the U. S. District Court for the Eastern District of New York.

Guillermo Sanchez v. Höegh LNG Partners LP et al: Class Action Complaint

Class Action Complaint alleging fraud by Guillermo Sanchez v. Höegh LNG Partners LP, described as a Marshall Islands entity based in Bermuda; Sveinung J. S. Støhle, Håvard Furu, and Steffen Føreid, all of Norway, at the U. S. District Court for the District of New Jersey.

Michael Merson v. Goldman Sachs et al: Class Action Complaint

Class Action Complaint alleging "the unlawful use of material non-public information by Defendants Goldman Sachs and Morgan Stanley, who collectively avoided billions in losses by selling shares of Tencent Music Entertainment Group, a leading online music and audio entertainment platform in China", in Michael Merson v. Goldman Sachs Group Inc. and Morgan Stanley at the U. S. District Court for the Southern District of New York.

Eric Muller v. ReconAfrica et al: Class Action Complaint

Class Action Complaint alleging fraud in Eric Muller v. Reconnaissance Energy Africa Ltd., formerly known as Lund Enterprises Corp., described as a Canadian company that "purports to engage in the identification, exploration, and development of oil and/or gas assets in Namibia and Botswana"; James Jay Park, Scot Evans, Ian D. Brown, Carlos Escribano, Shiraz Dhanani, Mark Gerlitz, James Granath, Claire Preece, Ndapewoshali Shapwanale, Chris Gilmour, and Sindila Mwiya at the U. S. District Court for the Eastern District of New York.

Yestar Healthcare Holdings Company Ltd.: ‘Scheme of Arrangement’ Petition

Petition for the Court's sanction of a Scheme of Arrangement in the matter of Yestar Healthcare Holdings Company Limited, described as an insolvent "ultimate holding company of a group of companies that is one of the largest distributors and service providers of In Vitro Diagnostic products in the People's Republic of China", at the Grand Court of the Cayman Islands.

WPP Plc: $22M Penalties

Administrative Order by the U. S. Securities and Exchange Commission imposing penalties totaling $22.5 million on WPP Plc, described as "the world's largest advertising group" that is domiciled in Jersey, in the Channel Islands; headquartered in London and New York City, and whose shares are listed on the New York Stock Exchange for alleged violations of "the anti-bribery, books and records, and international accounting controls provisions of the Foreign Corrupt Practices Act" involving its subsidiaries in Brazil, China, India, and Peru.

Chardan Capital Markets LLC v. Diginex Ltd.: Notice of Removal

Notice of Removal, including a copy of the complaint, in Chardan Capital Markets LLC, of New York v. Diginex Limited, a cryptocurrency exchange and trading platform described in the complaint as "a Singapore company whose principal place of business is in Hong Kong, at the U. S. District Court for the Southern District of New York.

SEC v. Daniel Cattlin et al: Complaint

Complaint alleging securities fraud in U. S. Securities and Exchange Commission v. Daniel Cattlin, described as a citizen and resident of the United Kingdom, and William Shupe, described as a "disbarred lawyer" residing in Utah, at the U. S. District Court for the Eastern District of New York.

SEC v. Timothy Page et al: Freeze Order Motion

Motion for Preliminary Injunction regarding an alleged securities fraud in U. S. Securities and Exchange Commission v. Timothy Page, described as a citizen of the United Kingdom; Trevor Page, described as a resident of the United Kingdom residing in the U.K., Switzerland, and Fiji; Ticino Capital Limited, described as a Maltese company "owned on paper by a Swiss attorney"; Wellesley Holdings Limited, of Hungary; Porrima Limited, of Hungary; Emergent Investment Company, of Hungary, and FJ Investments International Inc., of Utah, as Defendants, and Janan Page, described as a resident of the United Kingdom, Switzerland, and Fiji, as Relief Defendant, at the U. S. District Court for the Eastern District of New York.

SEC v. Timothy Page et al: Complaint

Complaint alleging securities fraud in U. S. Securities and Exchange Commission v. Timothy Page, described as a citizen of the United Kingdom; Trevor Page, described as a resident of the United Kingdom residing in the U.K., Switzerland, and Fiji; Ticino Capital Limited, described as a Maltese company "owned on paper by a Swiss attorney"; Wellesley Holdings Limited, of Hungary; Porrima Limited, of Hungary; Emergent Investment Company, of Hungary, and FJ Investments International Inc., of Utah, as Defendants, and Janan Page, described as a resident of the United Kingdom, Switzerland, and Fiji, as Relief Defendant, at the U. S. District Court for the Eastern District of New York.

USA v. Mark Gyetvay: Criminal Indictment

Criminal Indictment alleging tax evasion involving companies or accounts in Belize, British Virgin Islands, Cayman Islands, Russia, and Switzerland in USA v. Mark Gyetvay, the Chief Financial Officer of Russian gas producer Novatek who is apparently a citizen of Italy, Russia, and the United States, at the U. S. District Court for the Middle District of Florida.

Helikon Investments Ltd.: $778K Penalties

Administrative Order by the U. S. Securities and Exchange Commission imposing penalties totaling $778,244 on Helikon Investments Ltd., described as a United Kingdom company that is registered with the U.K. Financial Conduct Authority, to settle allegations that it "sold short American depositary shares and then, within the rule's five-day restricted period, purchased ADSs of the same issuer in an offering, thereby violating Rule 105", profiting "by $669,002 from the transaction".

Luckin Coffee Inc.: ‘Scheme of Arrangement’ Petition

Petition for the Court's sanction of a Scheme of Arrangement in the matter of Luckin Coffee Inc. (in Provisional Liquidation), described as "an investment holding company with its direct and indirect subsidiaries located in the British Virgin Islands, Hong Kong, the United States and the PRC", at the Grand Court of the Cayman Islands.

Isabella Hranov v. Deutsche Bank AG et al: Discovery Application

Application by Isabella Hranov, a citizen of Switzerland, to take discovery from Deutsche Bank AG and Deutsche Bank Trust Corporation for legal proceedings in Germany "against Deutsche Bank AG and Simon Biner" alleging securities fraud and breach of fiduciary duty involving "options of OC Oerlikon, a Swiss company whose shares were public but thinly traded", filed at the U. S. District Court for the Southern District of New York.

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.

Sustainable Opportunities Acquisition Corp. v. Ethos Fund I LP et al: Complaint

Complaint in Sustainable Opportunities Acquisition Corp., now known as The metals company Inc., described as a Texas-based "special purpose acquisition company" that was formed in the Cayman Islands before re-domiciling to Canada v. Ethos Fund I LP, Ethos GP LLC, and Ethos DeepGreen PIPE LLC at the U. S. District Court for the Southern District of New York.

Income Collecting 1-3 Months T-Bills Mutual Fund: Chapter 15 Petition (2021)

Chapter 15 Petition for Recognition of a Foreign Main Proceeding in the Cayman Islands by Russell Homer and Karen Scott, as the Joint Voluntary Liquidators of Income Collecting 1-3 Months T-Bills Mutual Fund, of the Cayman Islands, filed at the U. S. Bankruptcy Court for the Southern District of New York.