U. S. Securities and Exchange Commission

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SEC v. Rivetz International SEZC et al: Complaint

Complaint alleging the sale of unregistered digital assets in U. S. Securities and Exchange Commission v. Rivetz Corp., of Delaware; Rivetz International SEZC, of the Cayman Islands, and Steven K. Sprague, described as a resident of the Cayman Islands and Massachusetts, at the U. S. District Court for the District of Massachusetts.

SEC v. Klaus Hofmann: Complaint

Complaint alleging "a multi-year expense management scheme by Kraft Heinz Company's procurement division to improperly reduce KHC's cost of goods sold and achieve costs savings targets that were externally touted to the market and internally tied to performance-based targets" in U. S. Securities and Exchange Commission v. Klaus Hofmann, of Zug, Switzerland, at the U. S. District Court for the Southern District of New York.

SEC v. BitConnect et al: Complaint

Complaint alleging a securities fraud "that ultimately succeeded in obtaining more than 325,000 Bitcoin, or approximately $2 billion, from investors worldwide" in U. S. Securities and Exchange Commission v. BitConnect, described as "an unincorporated organization"; Satish Kumbhani, described as a citizen and resident of India; Glenn Arcaro, described as a citizen of the United States residing in California, and Future Money Ltd., of Hong Kong, at the U. S. District Court for the Southern District of New York.

SEC v. Howard Kleyman: Complaint

Complaint alleging securities fraud involving a "prime bank" scheme and entities in the Dominican Republic, Panama, United Kingdom, and USA in U. S. Securities and Exchange Commission v. Howard Kleyman, described as a lawyer in Minnesota at the timeof the alleged offense, at the U. S. District Court for the District of Minnesota.

SEC v. Howard Kleyman: Motion for Judgment

Motion for Entry of Final Judgment regarding an allegedly fraudulent scheme involving entities in the Dominican Republic, Panama, United Kingdom, and USA in U. S. Securities and Exchange Commission v. Howard Kleyman at the U. S. District Court for the District of Minnesota.

SEC v. Carl Jensen et al: Complaint

Complaint alleging "an ongoing offering fraud" involving "Chinese and Mexican and bearer bonds" that "has raised over $7 million from more than 75 investors" in U. S. Securities and Exchange Commission v. Carl Jensen, described as a citizen of Canada residing in Australia, and Stephen W. Gold, described as a citizen of the United Kingdom residing in California, as Defendants, and Kerry Margolis, described as a citizen of the United States residing in Germany, and Michael Hock, described as a citizen of the United States residing in California, as Relief Defendants, at the U. S. District Court for the Central District of California.

SEC v. Medsis International Inc. et al: Complaint

Complaint alleging securities fraud in which the individuals defendants "told prospective investors Medsis had entered into large lucrative contracts with Central and South American customers" in U. S. Securities and Exchange Commission v. Medsis International Inc., described as a Delaware-domiciled, Florida-based subsidiary of Medsis Medical Systems SA, of Panama; Joshua Dax Cabrera, of Miami, Florida, and Paul Hess, of Braintree, Massachusetts, at the U. S. District Court for the District of Massachusetts.

Murchinson Ltd. et al: $9M Settlement

Administrative Order by the U. S. Securities and Exchange Commission stating that Murchinson Ltd., of Toronto, Canada; Marc Bistricer, and Paul Zogala, described as citizens and residents of Canada, have agreed to pay penalties totaling $9 million to settle a regulatory investigation that, inter alia, involved an unidentified Bermuda "hedge fund".

SEC v. Douglas Drennan: Judgment Application

SEC's Application for an Order Compelling Respondent Douglas F. Drennan to Show Cause Why Judgment Should be Entered Against Him Pursuant to the Securities Exchange Act in a case alleging fraud involving, inter alia, Cayman Islands-domiciled J.S. Oliver Offshore Investments Ltd. in U. S. Securities and Exchange Commission v. Douglas F. Drennan at the U. S. District Court for the Southern District of California.

Pearson Plc: $1M Fine

Administrative Order by the U. S. Securities and Exchange Commission imposing a fine of $1 million on Pearson Plc, described as a British publicly-listed "multinational educational publishing and services company", for "material misstatements and omissions regarding a 2018 cyber intrusion that affected several million rows of student data across 13,000 school, district, and university AIMSweb 1.0 customer accounts in the United States".

SEC v. GPL Ventures LLC et al: Asset Freeze Application

Emergency Application for an Asset Freeze Order regarding an allegedly fraudulent scheme that, inter alia, involved accounts in "the Cayman Islands and Canada", in U. S. Securities and Exchange Commission v. GPL Ventures LLC, GPL Management LLC, described in the complaint as Delaware-domiciled, New York-based companies; Alexander J. Dillon, of New Jersey; Cosmin I. Panait, described as a citizen of Romania residing in New York; HempAmericana Inc., described as a Delaware-domiciled, New York-based company; Salvador E. Rosillo, of New York; Seaside Advisors LLC, of New Jersey, and Lawrence B. Adams, of New Jersey, at the U. S. District Court for the Southern District of New York.

SEC v. GPL Ventures LLC et al: Complaint

Complaint "to halt the GPL Defendants' ongoing violations of the dealer registration requirements of the federal securities laws", including alleged fraud, that involves, inter alia, an unidentified "broker in the Cayman Islands" in U. S. Securities and Exchange Commission v. GPL Ventures LLC, GPL Management LLC, described as Delaware-domiciled, New York-based companies; Alexander J. Dillon, of New Jersey; Cosmin I. Panait, described as a citizen of Romania residing in New York; HempAmericana Inc., described as a Delaware-domiciled, New York-based company; Salvador E. Rosillo, of New York; Seaside Advisors LLC, of New Jersey, and Lawrence B. Adams, of New Jersey, at the U. S. District Court for the Southern District of New York.

SEC v. Evarist Amah: Complaint

Complaint alleging fraud in which several of the victims were residents of Nigeria and Italy in U. S. Securities and Exchange Commission v. Evarist C. Amah, described as a New York-based investment adviser, at the U. S. District Court for the Southern District of New York.

Poloniex LLC: $10.3M Penalties

Administrative Order by the U. S. Securities and Exchange Commission imposing penalties totaling $10.3 million on Poloniex, LLC, of Delaware, for operating "a digital asset trading platform" without registering "as a national securities exchange".

DeFi Money Market et al: $13M Penalties

Administrative Order by the U. S. Securities and Exchange Commission imposing penalties on Blockchain Credit Partners, d.b.a. DeFi Money Market, of the Cayman Islands; Gregory Keough, and Derek Acree, both of Florida, for an alleged fraud that involved selling "more than $30 million of securities in unregistered offerings by using smart contracts and "decentralized finance" technology to sell digital tokens".

SEC v. Frederick Sharp et al: Complaint

Complaint alleging "a sophisticated, multiyear, multi-national attack on the United States financial markets and retail United States investors by foreign and domestic actors" in which the defendants "schemed to sell fraudulently hundreds of millions of dollars in stocks in the United States markets" in U. S. Securities and Exchange Commission v. Frederick L. Sharp, described as a citizen of the United States; Zhiying Yvonne Gasarch, a.k.a. Zhiying Chen, described as a dual citizen of Canada and China; Courtney Kelln, Mike K. Veldhuis, described as a citizen of the Netherlands; Paul Sexton, described as a citizen of the United Kingdom; Jackson T. Friesen, Graham R. Taylor, described as a citizen of the United Kingdom, all residents of British Columbia, Canada; William T. Kaitz, of Maryland, and Avtar S. Dhillon, described as a citizen of Canada residing in Long Beach, California, at the U. S. District Court for the District of Massachusetts.

SEC v. Frederick Sharp et al: Asset Freeze Motion

SEC's Ex Parte Motion for a Temporary Restraining Order in U. S. Securities and Exchange Commission v. Frederick L. Sharp, described in the complaint as a citizen of the United States; Zhiying Yvonne Gasarch, a.k.a. Zhiying Chen, described as a dual citizen of Canada and China; Courtney Kelln, Mike K. Veldhuis, described as a citizen of the Netherlands; Paul Sexton, described as a citizen of the United Kingdom; Jackson T. Friesen, Graham R. Taylor, described as a citizen of the United Kingdom, all residents of British Columbia, Canada; William T. Kaitz, of Maryland, and Avtar S. Dhillon, described as a citizen of Canada residing in Long Beach, California, at the U. S. District Court for the District of Massachusetts.

SEC v. Luis Carrillo: Asset Freeze Motion

SEC's Motion for Asset Freeze Order regarding "assets belonging to, controlled by, or used for the benefit of, defendant Luis Jimenez Carrillo" in U. S. Securities and Exchange Commission v. Luis Jimenez Carrillo, described as a citizen and resident of Mexico, a former citizen of the United States, a former attorney and "a securities law recidivist"; Amar Bahadoorsingh, a dual citizen of Canada and the United Kingdom; Justin Roger Wall, and Jamie Samuel Wilson, both of the United Kingdom, as Defendants, and Haydee Yolanda Sanchez Diaz Monge, Martha Y. Jimenez Trust, and Charles A. Carrillo Trust, all of California, as Relief Defendants, at the U. S. District Court for the District of Massachusetts.

SEC v. Luis Carrillo et al: Complaint

Complaint alleging securities fraud involving shares in Aureus, Inc., Garmatex Holdings, Ltd., and OneLife Technologies Corp. and "a boiler room based in Medellin, Colombia" in U. S. Securities and Exchange Commission v. Luis Jimenez Carrillo, described as a citizen and resident of Mexico; Amar Bahadoorsingh, described as "a dual citizen of the United Kingdom and Canada" residing in Vancouver, Canada; Justin Roger Wall, and Jamie Samuel Wilson, each described as "a citizen and resident of the United Kingdom", as Defendants, and Haydee Yolanda Sanchez Diaz Monge, Martha Y. Jimenez Trust, and Charles A. Carrillo Trust, all of California, as Relief Defendants, at the U. S. District Court for the District of Massachusetts.

SEC v. Uulala Inc. et al: Complaint

Complaint alleging "the fraudulent and unregistered offer and sale of digital asset securities known as UULA tokens" that raised "more than $9 million from over a thousand investors" in U. S. Securities and Exchange Commission v. Uulala Inc., Oscar Garcia, and Matthew Loughran at the U. S. District Court for the Central District of California.

SEC v. Uulala Inc.: Proposed Settlement

Consent to Judgment of Uulala Inc. in U. S. Securities and Exchange Commission v. Uulala Inc., Oscar Garcia, and Matthew Loughran at the U. S. District Court for the Central District of California.

SEC v. Matthew Loughran: Proposed Settlement

Consent to Judgment of Matthew Loughran in U. S. Securities and Exchange Commission v. Uulala Inc., Oscar Garcia, and Matthew Loughran at the U. S. District Court for the Central District of California.

SEC v. Oscar Garcia: Proposed Settlement

Consent to Judgment of Oscar Garcia in U. S. Securities and Exchange Commission v. Uulala Inc., Oscar Garcia, and Matthew Loughran at the U. S. District Court for the Central District of California.

SEC v. Outdoor Capital Partners LLC et al: Complaint

Complaint alleging securities fraud involving "three Italian cycling companies" in U. S. Securities and Exchange Commission v. Outdoor Capital Partners, LLC and Samuel J. Mancini, as Defendants, and OCP Italia Fund LLC, OCPITALUS LLC, and Diana L. Mancini, as Relief Defendants, at the U. S. District Court for the District of New Jersey.

Coinschedule Ltd.: $201K Penalties

Administrative Order by the U. S. Securities and Exchange Commission imposing penalties totaling $201,688 on Blotics Ltd., formerly doing business as Coinschedule Ltd., described as a United Kingdom-domiciled company that "owned and operated a once-popular website platform, www.coinschedule.com, that publicized current and upcoming offerings for different digital tokens and was accessible in the United States from 2016 to August 2019", for promoting a security without disclosing that it received compensation for doing so.

SEC v. Mikhail Kokorich: Complaint

Complaint alleging fraud in U. S. Securities and Exchange Commission v. Mikhail Kokorich, described as a citizen of Russia residing in Switzerland who "since 2018 has faced repeated adverse determinations from U.S. government agencies for national security reasons", at the U. S. District Court for the District of Columbia.

Momentus Inc. et al: $8M Penalties

Administrative Order by the U. S. Securities and Exchange Commission imposing penalties of $8 million on Momentus Inc., Stable Road Acquisition Corp., SRC-NI Holdings LLC, and Brian Kabot for alleged securities fraud involving, inter alia, Mikhail Kokorich, described as "a Russian citizen residing in Switzerland".

SEC v. Jonathan Mimun et al: Complaint

Complaint alleging "a multi-million dollar scheme to defraud retail investors in the United States through the unregistered offer and sale of security-based binary options from at least December 2014 through June 2017" that, inter alia, involved Porter Finance and Dalton Finance in U. S. Securities and Exchange Commission v. Jonathan Mimun, a.k.a. Yoni Mimun, a.k.a. Jonathan Maymon, described as "a Canadian citizen residing in Israel", and Ronn BenHarav at the U. S. District Court for the District of Nevada.

SEC v. Eric Watson et al: Complaint

Complaint in U. S. Securities and Exchange Commission v. Eric J. Watson, described as "a New Zealand citizen and believed to be a resident of London, United Kingdom"; Oliver-Barret Lindsay, described as "a Canadian citizen and resident of Vancouver, British Columbia, Canada" and, during the relevant period, "principal of CMGT Capital Management, a Cayman Islands-exempt broker-dealer registered with the Cayman Islands Monetary Authority", and Gannon Giguiere, described as a resident of Newport Coast, California" who "owned and operated TheMoneyStreet.com, a stock promotion website", at the U. S. District Court for the Southern District of New York.

SEC v. Apostolos Trovias: Complaint

Complaint alleging "a deceptive scheme to offer and sell what he called "insider trading tips" on Dark Web marketplaces to purchasers seeking an unfair advantage when trading securities in the public markets" in U. S. Securities and Exchange Commission v. Apostolos Trovias, described as a citizen and resident of Greece, at the U. S. District Court for the Southern District of New York.

PLS, CPA et al: Penalties

Administrative Order by the U. S. Securities and Exchange Commission imposing penalties on PLS, CPA, Chang G. Park, Joseph Yongyun Lee, and Juchi Lee, all accountants, for "improper professional conduct" involving, inter alia, Interactive Multi-Media Auction Corporation, described as "a British Virgin Islands corporation with its principal place of business in the United Kingdom" and "formerly headquartered in Hong Kong".

SEC v. Sean Wygovsky: Complaint

Complaint alleging "a fraudulent front-running scheme perpetrated by Wygovsky, a trader at a major Canada-based asset management firm, in several brokerage accounts held in the United States in the names of Wygovsky's close family members" in U. S. Securities and Exchange Commission v. Sean Wygovsky, described as a U.S. citizen residing in Toronto, Canada, at the U. S. District Court for the Southern District of New York.

Amec Foster Wheeler Ltd.: $22.7M Penalties

Administrative Order by the U. S. Securities and Exchange Commission imposing penalties totaling $22.7 million on Amec Foster Wheeler Limited, described as a Switzerland-domiciled parent of a group "with a significant presence in the United Kingdom", regarding "a bribery scheme to obtain an oil and gas engineering and design contract in Brazil" involving Petróleo Brasileiro S.A. - Petrobras.

SEC v. Princeton Alternative Funding LLC et al: Complaint

Complaint for an alleged $73 million securities fraud involving, inter alia, British Virgin Islands-domiciled Princeton Alternative Income Offshore Fund, Ltd. in U. S. Securities and Exchange Commission v. Princeton Alternative Funding LLC, of Delaware; Microbilt Corporation, of Delaware; Philip N. Burgess, Jr., of Princeton, New Jersey; Walter Wojciechowski, of Bensalem, Pennsylvania, and John Cook, Jr., of Princeton, New Jersey, at the U. S. District Court for the District of New Jersey.

SEC v. Ofer Abarbanel et al: Complaint

Complaint alleging "a fraudulent investment scheme" in U. S. Securities and Exchange Commission v. Ofer Abarbanel, described as a citizen of Israel residing in California; Victor Chilelli, described as a resident of Delaware, and Income Collecting 1-3 Months T-Bills Mutual Fund, described as "a mutual fund registered in the Cayman Islands", as Defendants, and Institutional Syndication LLC, North American Liquidity Resources LLC, Institutional Secured Credit LLC, Growth Income Holdings LLC, and Global EMEA Holdings LLC, as Relief Defendants, at the U. S. District Court for the Southern District of New York. Editor's Note: In the complaint, the SEC alleged that "Abarbanel and Chilelli arranged for friends (including a friend's wife) and nominee personnel in the Bahamas and British Virgin Islands to serve as directors of the Fund". Research by OffshoreAlert at the Cayman Islands General Registry showed that the directors of Income Collecting 1-3 Months T-Bills Mutual Fund are Boisy Roberts, of the Bahamas, and "Trevo Liburd", of the British Virgin Islands, which appears to be a typo and a reference to Trevor Liburd.

SEC v. Ali Asif Hamid et al: Complaint

Complaint alleging "a fraudulent and unregistered offering (initial coin offering, or "ICO") of digital asset securities, known during most of the relevant time as BCT Tokens" in U. S. Securities and Exchange Commission v. Ali Asif Hamid, described as a citizen of Canada residing in Ontario, Canada; Michael Gietz, of Idaho Falls, Idaho, and Cristine Page, a.k.a. Cristina Page, of Brooklyn, New York, at the U. S. District Court for the District of New Jersey.

SEC v. Ramiro Sugranes et al: Complaint

Complaint alleging fraud in U. S. Securities and Exchange Commission v. Ramiro Jose Sugranes, described as a citizen of Nicaragua residing in Miami, Florida; UCB Financial Advisers Inc., of Florida, and UCB Financial Services Limited, of Chile, as Defendants, and Ramiro Sugranes Hernandez and Thelma Lanzas de Sugranes, residents of Nicaragua, as Relief Defendants, at the U. S. District Court for the Southern District of Florida.

SEC v. Edgar Radjabli et al: Complaint

Complaint alleging fraud involving, inter alia, digital assets issued by Cayman Islands-domiciled Apis Token Ltd. in U. S. Securities and Exchange Commission v. Edgar Radjabli, Apis Capital Management LLC, and My Loan Doctor LLC at the U. S. District Court for the District of North Carolina.

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.

SEC v. Trevon Brown et al: Complaint

Complaint alleging unregistered activity involving cryptocurrency firm BitConnect in U. S. Securities and Exchange Commission v. Trevon Brown, Craig Grant, Joshua Jeppesen, Ryan Maasen, and Michael Noble, as Defendants, and Laura Mascola, as Relief Defendant, at the U. S. District Court for the Southern District of New York.

SEC v. BTIG LLC: Complaint

Complaint alleging "misconduct" involving an unidentified "hedge fund" that is "organized under the laws of Bermuda and headquartered in Toronto, Canada" in U. S. Securities and Exchange Commission v. BTIG LLC, described as a broker-dealer based in San Francisco, California, at the U. S. District Court for the Southern District of New York.

Gil Beserglik et al: Industry Bans

Administrative Order by the U. S. Securities and Exchange Commission imposing industry bans on Gil Beserglik, 64, a citizen of Israel; Raz Beserglik, 35, a citizen of Israel, and Kai Christian Petersen, 53, a citizen of Germany, regarding their involvement in binary options brokers.

SEC v. Carlos Irizarry Santiago: Application to Comply with Subpoena

SEC's Application for an order to show cause and an order requiring compliance with a subpoena "in connection with its formal investigation into potential violations of the federal securities laws by Back to Green Mining, LLC, a Puerto Rico company purporting to be investing in mining operations in Colombia, and its principals, representatives, and affiliates" in U. S. Securities and Exchange Commission v. Carlos R. Irizarry Santiago, CPA, of Puerto Rico, at the U. S. District Court for the District of Columbia.

Peter DeCaprio: $75K Fine

Administrative Order by the U. S. Securities and Exchange Commission imposing sanctions, including a fine of $75,000, on Peter J. Decaprio, of Boston, Massachusetts, for regulatory breaches involving, inter alia, an "unregistered fund" in the British Virgin Islands.

SEC v. Sheng-Wen Cheng: Complaint

Complaint alleging "misappropriation of investor funds and material misrepresentations in connection with the offering of equity and digital asset securities to investors in Alchemy Finance, Inc., Alchemy Company, Ltd., and Alchemy Coin, Ltd.", which are domiciled in Delaware and Hong Kong, in U. S. Securities and Exchange Commission v. Sheng-Wen Cheng, of New York, USA, at the U. S. District Court for the Southern District of New York.

SEC v. Spot Tech House Ltd. et al: Complaint

Complaint alleging "a multi-million dollar fraudulent scheme involving unregistered offers and sales of security-based "binary options" to retail investors in the United States from at least April 2012 through August 2017" in U. S. Securities and Exchange Commission v. Spot Tech House Ltd., formerly Spot Option Ltd.; Malhaz Pinhas Patarkazishvili, a.k.a. Pini Peter, a.k.a. Pinhas Peter, and Ran Amiran, all of Israel, at the U. S. District Court for the District of Nevada.

SEC v. Martin Silver: Complaint

Complaint alleging fraud involving Interntional Investment Group LLC in U. S. Securities and Exchange Commission v. Martin Silver, of Long Branch, New Jersey, at the U. S. District Court for the Southern District of New York.

SEC v. LBRY Inc.: Complaint

Complaint alleging the sale of unregistered securities "in the form of a digital asset called LBRY Credits" in U. S. Securities and Exchange Commission v. LBRY Inc., domiciled in Delaware, based in New Hampshire, at the U. S. District Court for the District of New Hampshire.

SEC v. MintBroker International Ltd. et al: Complaint

Complaint in U. S. Securities and Exchange Commission v. MintBroker International Ltd., formerly known as Swiss America Securities Ltd. and d.b.a. SureTrader, of the Bahamas, and Guy Gentile, a.k.a.Guy Gentile Nigro, described as a resident of Puerto Rico, at the U. S. District Court for the Southern District of Florida.

SEC v. Christopher Dantin et al: Judgment Motion

SEC's Unopposed Motion for Judgment in U. S. Securities and Exchange Commission v. Christopher D. Dantin and his father, Chris A. Dantin, both of Louisiana, at the U. S. District Court for the Southern District of Florida.