U. S. Securities and Exchange Commission

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    SEC v. Christopher Dantin et al: Complaint

    Complaint alleging the defendants "served as unregistered brokers" for 1 Global Capital LLC, described as "a South Florida merchant cash advance company" that was operated fraudulently, 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.

    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.

    SEC v. David Ortiz: Complaint

    Complaint alleging the defendant "served as an unregistered broker" for 1 Global Capital LLC, described as "a South Florida merchant cash advance company" that was operated fraudulently, in U. S. Securities and Exchange Commission v. David P. Ortiz at the U. S. District Court for the Southern District of Florida.

    SEC v. Shamoon Rafiq: Complaint

    Complaint alleging fraud in U. S. Securities and Exchange Commission v. Shamoon Omer Rafiq, a.k.a. Omer Rafiq, a.k.a. Omar Rafiq, described as a citizen of the Netherlands who "until at least recently, resided in Singapore" and is "a recidivist securities fraudster", at the U. S. District Court for the Southern District of New York.

    SEC v. Niko Kabylafkas: Complaint

    Complaint alleging fraud involving, inter alia, "30 Thai shareholders" who "were simply nominees" in U. S. Securities and Exchange Commission v. Nicholas 'Niko' Kabylafkas, of Denver, Colorado, at the U. S. District Court for the Southern District of New York.

    SEC v. Shawn Cutting et al: Complaint

    Complaint "to stop an ongoing fraudulent and unregistered offering of securities and misappropriation of money received from investors" in U. S. Securities and Exchange Commission v. Shawn C. Cutting, of Sandpoint, Idaho, as Defendant, and Crypto Traders Management LLC, Janine M. Cutting, Golden Cross Investments LLC, Lake View Trust, and Tyson Trust, as Relief Defendants, at the U. S. District Court for the District of Idaho.

    SEC v. Airborne Wireless Network et al: Complaint

    Complaint alleging fraud involving, inter alia, "Cayman Islands bank accounts" in U. S. Securities and Exchange Commission v. Airborne Wireless Network, of Nevada; Kalistratos Kabilafkas, a.k.a. Kelly Kabilafkas, a.k.a. Mark McKinney, of California; Timoleon Kabilafkas, a.k.a. Tim Kabilafkas, of California; Chrysilios Chrysiliou, of California; Panagiotis Bolovis, pf Greece; Jack Edward Daniels, of California; Eric Scheffrey, described as a resident of Colorado and Switzerland, and Moshe Rabin, of Florida, as Defendants, and Timoleon Kabilafkas, in his capacity as trustee of the Tim Kabilafkas Revocable Trust Dated July 24, 2001, and Magdaline Kabilafkas, in her capacity as trustee of the Magdaline Kabilafkas 1989 Trust Dated May 27, 1989, a.k.a. the Magdaline Kabilafkas Revocable Trust, at the U. S. District Court for the Southern District of New York.

    SEC v. Paragon Coin Inc.: Application to Enforce Settlement

    Application for a judgment enforcing compliance with an SEC Order regarding the alleged sale of digital tokens without being registered as securities in U. S. Securities and Exchange Commission v. Paragon Coin Inc., of Delaware, at the U. S. District Court for the District of Delaware.

    SEC v. Coinseed Inc. et al: Complaint

    Complaint in U. S. Securities and Exchange Commission v. Coinseed Inc., of Delaware, and Delgerdalai Davaasambuu, described as a citizen of Mongolia residing in New York, at the U. S. District Court for the Southern District of New York.

    SEC v. Morningstar Credit Ratings LLC: Complaint

    Complaint regarding the rating of "commercial mortgage-backed securities" in U. S. Securities and Exchange Commission v. Morningstar Credit Ratings, LLC at the U. S. District Court for the Southern District of New York.

    SEC v. Lev Parnas et al: Complaint

    Complaint alleging "an investment offering fraud" in U. S. Securities and Exchange Commission v. Lev Parnas, of Boca Raton, Florida, and David Correia, of West Palm Beach, Florida, at the U. S. District Court for the Southern District of New York.

    SEC v. GPB Capital Holdings LLC et al: Complaint

    Complaint alleging a $1.7 billion "Ponzi-like scheme" involving "approximately 17,000 retail investors" in U. S. Securities and Exchange Commission v. GPB Capital Holdings LLC, Ascendant Capital LLC, Ascendant Alternative Strategies LLC, David Gentile, Jeffry Schneider, and Jeffrey Lash at the U. S. District Court for the Eastern District of New York.

    David Hu: Industry Ban

    Administrative Order by the U. S. Securities and Exchange Commission imposing an industry ban on David Hu for securities fraud involving International Investment Group LLC and funds in the Cayman Islands and Curaçao.

    SEC v. Kristijan Krstic et al: Complaint

    Complaint alleging securities fraud based around cryptocurrency in U. S. Securities and Exchange Commission v. Kristijan Krstic, a.k.a. Felix Logan, described as "a Serbian-Australian national who was domiciled in the Philippines"; John DeMarr, and Robin Enos at the U. S. District Court for the Eastern District of New York.

    SEC v. Vuuzle Media Corp. et al: Complaint

    Complaint alleging fraud in U. S. Securities and Exchange Commission v. Vuuzle Media Corp., of New York, NY; Ronald Shane Flynn, a.k.a. Ronnie Shane, described as a U.S citizen residing in the Philippines and/or Dubai, and Richard Marchitto, of Rockaway, New Jersey, at the U. S. District Court for the District of New Jersey.

    Wireline, Inc.: $650K Fine

    Administrative Order by the U. S. Securities and Exchange Commission imposing a fine of $650,000 on Wireline, Inc., described as a Delaware-domiciled "early-stage project focused on the development of a decentralized, blockchain based platform", for an unregistered securities offering and alleged fraud involving, inter alia, Wireline Developer Fund Ltd., a.k.a. Wireline Development Fund, of the Cayman Islands. Editor's Note: Research by OffshoreAlert showed that, in the Cayman Islands General Registry, the directors of Wireline Developer Fund Ltd. are identified as Lucas Geiger and Rich Burdon.

    SEC v. William Stack: Complaint

    Complaint alleging fraud in U. S. Securities and Exchange Commission v. William Andrew Stack, described as a lawyer and "nominal chief executive officer, president, treasurer, secretary, and director of Preston Corp., a penny stock issuer that purported to provide royalty financing to gold mining operations" whose "control person" was William S. Marshall, a resident of Canada and Mexico, at the U. S. District Court for the Western District of Texas.

    SEC v. Eric Malley et al: Complaint

    Complaint alleging securities fraud in U. S. Securities and Exchange Commission v. Eric C. Malley, of New York, NY, and New Canaan, CT, and MG Capital Management LP, of Delaware, as Defendants, and MG GP III LP and MG Capital Realty Management LLC, described as Delaware companies based in New York, as Relief Defendants, at the U. S. District Court for the Southern District of New York.

    Deutsche Bank AG: $43M Penalty

    Administrative Order by the U. S. Securities and Exchange Commission imposing a penalty of $43.3 million on Deutsche Bank AG for regulatory breaches involving, inter alia, entities in Abu Dhabi, British Virgin Islands, China, Italy, and Saudi Arabia.

    Tierion, Inc.: $250K Fine

    Administrative Order by the U. S. Securities and Exchange Commission imposing a fine of $250,000 on Tierion, Inc. for regulatory breaches involving the sale of digital tokens by its "Cayman Islands-subsidiary, Tierion International Ltd.". Editor's Note: Research by OffshoreAlert in the Cayman Islands General Registry showed that the directors of Tierion International Ltd. are Casey McDonald and Wayne Vaughan.

    SEC v. Ripple Labs, Inc. et al: Complaint

    Complaint alleging an "illegal securities offering" that raised "at least $1.38 billion" in U. S. Securities and Exchange Commission v. Ripple Labs, Inc., formerly known as Open Coin, Inc., described as a Delaware company based in San Francisco, California; Bradley Garlinghouse, and Christian A. Larsen at the U. S. District Court for the Southern District of New York.

    SEC v. Global Investment Strategy UK Ltd. et al: Complaint

    Complaint alleging unregistered activity in U. S. Securities and Exchange Commission v. Global Investment Strategy UK Ltd., which "is a financial services firm registered with and regulated by the Financial Conduct Authority of the United Kingdom, and is a member of the London Stock Exchange", and John William Gunn, described as a citizen of the United Kingdom residing in London, England, at the U. S. District Court for the Southern District of New York.

    Mustafa Abdel-Wadood: Industry Ban

    Administrative Order by the U. S. Securities and Exchange Commission imposing an industry ban on Mustafa Abdel Wadood, described as a citizen of Egypt, for "the misappropriation of fund assets from one private equity fund client of the Abraaj Group and an offering fraud against investors in another Abraaj fund".

    SEC v. Stefan Qin et al: Complaint

    Complaint alleging fraud involving Virgil Sigma Fund LP, of New York, NY, and VQR Multistrategy Fund LP, of the Cayman Islands, in the U. S. Securities and Exchange Commission v. Stefan Qin, described as a 23-year-old "citizen and resident of Australia and a part-time resident of New York, NY" who is "currently believed to be in Seoul, South Korea"; Virgil Technologies LLC, described as a Cayman Islands company based in New York, NY; Montgomery Technologies LLC, Virgil Quantitative Research, LLC, Virgil Capital LLC, each described as a Delaware company based in New York, NY, and VQR Partners LLC, described as a Cayman Islands company based in New York, NY, at the U. S. District Court for the Southern District of New York.

    SEC v. Stefan Qin: Asset Freeze Motion

    SEC's Ex Parte Emergency Motion for an Asset Freeze in the U. S. Securities and Exchange Commission v. Stefan Qin, described as a 23-year-old "citizen and resident of Australia and a part-time resident of New York, NY" who is "currently believed to be in Seoul, South Korea"; Virgil Technologies LLC, described as a Cayman Islands company based in New York, NY; Montgomery Technologies LLC, Virgil Quantitative Research, LLC, Virgil Capital LLC, each described as a Delaware company based in New York, NY, and VQR Partners LLC, described as a Cayman Islands company based in New York, NY, at the U. S. District Court for the Southern District of New York.

    SEC v. Jason Peltz: Complaint

    Complaint alleging insider trading involving, inter alia, the securities of Ferro Corp., described as a publicly traded chemical manufacturing company, and an unidentified British Virgin Islands-domiciled company whose "authorized traders" are "two British citizens" in U. S. Securities and Exchange Commission v. Jason Peltz, of Long Island City, NY, at the U. S. District Court for the Eastern District of New York.

    SEC v. Charles Samel: Complaint

    Complaint alleging "Defendant's role in a string of frauds by the International Investment Group to cover up tens of millions of dollars in investor losses on bad bets and keep its investment advisory business afloat" in U. S. Securities and Exchange Commission v. Charles Samel, of Sherman Oaks, California, at the U. S. District Court for the Southern District of New York.

    Robinhood Financial, LLC: $65M Fine

    Administrative Order by the U. S. Securities and Exchange Commission imposing a fine of $65 million on Robinhood Financial, LLC, described as a Delaware-domiciled "self-directed securities brokerage" based in Menlo Park, California, for "material misrepresentations and omissions by Robinhood relating to its revenue sources".

    Mancera SC, et al: $1.6M Penalty & Bans

    Administrative Order by the U. S. Securities and Exchange Commission imposing a financial penalty of $1,589,926 on Mancera SC, described as "the Mexican member firm of Ernst & Young Global", and bans on accountants Alejandro Valdez Mendoza, CP and Angel Radames Corral Nieblas, CP, both citizens of Mexico, for regulatory breaches regarding Desarrolladora Homex, SAB de CV, which was described as a construction firm that "engaged in a massive fraudulent accounting scheme over at least a three-year period" and whose shares were listed on the Mexican Stock Exchange and New York Stock Exchange.

    SEC v. Luckin Coffee Inc.: Complaint

    Complaint alleging fraud in U. S. Securities and Exchange Commission v. Luckin Coffee Inc., described as "a retail coffee provider incorporated in the Cayman Islands with its principal place of business in the Siming District, Xiamen, Fujian, China" and whose securities are listed on NASDAQ, at the U. S. District Court for the Southern District of New York.

    SEC v. Luckin Coffee Inc.: Consent Motion For $180M Judgment

    Consent Motion for Entry of Final Judgment requiring the payment of a civil penalty of $180 million in U. S. Securities and Exchange Commission v. Luckin Coffee Inc., of the Cayman Islands, at the U. S. District Court for the Southern District of New York.

    SEC v. Karina Chairez: Complaint

    Complaint alleging "a multi-level marketing scheme that targeted Latinx and Spanish-speaking communities with promises of high returns from algorithmic digital asset day-trading by "automated robots" connected to "international exchanges"; and from a recruitment compensation plan that incentivized members to attract others to the scheme" involving an "investment club" known as AirBit in the U. S. Securities and Exchange Commission v. Karina Chairez, of Modesto, California, at the U. S. District Court for the Southern District of New York.

    Mark E. Watson III: $450K Fine

    Administrative Order by the U. S. Securities and Exchange Commission imposing a fine of $450,000 on Mark E. Watson III for his "role" in Bermuda-based insurer Argo Group International Holdings Ltd.'s failure to disclose "over $5.3 million in perquisites and personal benefits" while he was the company's CEO, President, and a director.

    BlueCrest Capital Management Ltd.: $170M Penalties

    Administrative Order by the U. S. Securities and Exchange Commission imposing penalties totaling $170 million on BlueCrest Capital Management Limited, of Jersey, in the Channel Islands, for regulatory breaches involving, inter alia, BlueCrest Capital International Master Fund Limited and BSMA Limited, both of the Cayman Islands.

    Rajesh Taneja: Industry Ban

    Administrative Order by the U. S. Securities and Exchange Commission imposing an industry ban on Rajesh Taneja, described as "a citizen of Canada and a resident of Vietnam", for alleged fraud and unregistered activity.

    SEC v. Roland Mathys: Default Judgment

    Default Judgment in U. S. Securities and Exchange Commission v. Roland M. Mathys, of Switzerland, at the U. S. District Court for the Southern District of New York.

    SEC v. Raquel Moura Borges et al: Complaint

    Complaint alleging fraud and misappropriation involving, inter alia, companies in the British Virgin Islands, Brazil, and the USA in U.S. Securities and Exchange Commission v. Raquel Moura Borges, a citizen of Brazil, and Global Access Investment Advisor, LLC, described as a New York-based company that "provides investment advisory services to clients who are primarily from Brazil", at the U. S. District Court for the Southern District of New York.

    Tradenet Capital Markets Ltd.: $130K Fine

    Administrative Order by the U. S. Securities and Exchange Commission imposing a fine of $13,000 on Tradenet Capital Markets Ltd., of Israel, for regulatory breaches.

    Goldman Sachs Group, Inc.: $1B Penalties Re. 1MDB

    Administrative Order by the U. S. Securities and Exchange Commission imposing penalties totaling $1.06 billion on The Goldman Sachs Group, Inc. regarding "a scheme perpetrated by now former senior employees of Goldman Sachs who authorized and paid bribes and kickbacks to government officials in Malaysia and the Emirate of Abu Dhabi in order to secure lucrative business for the Company and benefits for themselves" involving 1Malaysia Development Berhad, a.k.a. 1MDB.

    SEC v. Kik Interactive Inc.: Proposed Final Judgment

    Proposed Final Judgment to settle allegations regarding the sale of digital tokens in U. S. Securities and Exchange Commission v. Kik Interactive Inc., of Canada, at the U. S. District Court for the Southern District of New York.

    Big Time Holdings Inc.: Securities Registration Revocation

    Administrative Order by the U. S. Securities and Exchange Commission revoking the registration of securities issued by Big Time Holdings, Inc., described as a "forfeited Delaware corporation located in Douglas, Isle of Man". Editor's Note: In a filing with the SEC on October 29th, 2018, Big Time Holdings Inc. identified its CEO and sole director as David Smeed, its former directors and officers as Thomas DeNunzio, Brian Kistler, and Mandla Gwadiso, and its principal shareholders as Ascot Group Plc, of the Isle of Man, and Palewater Global Management, Inc., of New York, NY. Records filed with the Isle of Man's Companies Registry show that the directors of Ascot Group Plc are David Gordon Smeed, of Dublin, Ireland, and Lee John Bernard Murphy, of the Isle of Man.

    JBS SA et al: $27M Penalties

    Administrative Order by the U. S. Securities and Exchange Commission imposing penalties totaling $27,416,565 on JBS S.A., Joesley Batista, and Wesley Batista, all of Brazil, regarding "a bribery scheme".

    SEC v. SAExploration Holdings Inc. et al: Complaint

    Complaint alleging "an elaborate, four-year-long fraud" in U. S. Securities and Exchange Commission v. SAExploration Holdings Inc., of Delaware, whose shares were listed on NASDAQ; Jeffrey H. Hastings, of Alaska; Brent N. Whiteley, of Houston, Texas; Brian A. Beatty, of Ontario, Canada, and Michael J. Scott, of Alberta, Canada, as Defendants, and Thomas W. O'Neill, of Houston, Texas, and Lori E. Hastings, of Alaska, as Relief Defendants, at the U. S. District Court for the Southern District of New York.

    SEC v. John McAfee et al: Complaint

    Complaint alleging John McAfee "leveraged his fame to make more than $23.1 million U.S. Dollars in undisclosed compensation by recommending at least seven 'initial coin offerings' or ICOs to his Twitter followers" in U. S. Securities and Exchange Commission v. John David McAfee, described as "a businessman and computer programmer with hundreds of thousands of Twitter followers", and Jimmy Gale Watson, Jr. at the U..S. District Court for the Southern District of New York.

    SEC v. Akazoo SA: Asset Freeze Application

    SEC's Emergency Application for an Order to Show Cause, Asset Freeze, and Other Relief in U. S. Securities and Exchange Commission v. Akazoo SA, of Luxembourg, at the U. S. District Court for the Southern District of New York.

    SEC v. Kik Interactive Inc.: Summary Judgment Opinion and Order

    Summary Judgment Opinion and Order regarding the alleged sale of $100 million in unregistered digital tokens in U. S. Securities and Exchange Commission v. Kik Interactive Inc., of Canada, at the U. S. District Court for the Southern District of New York.

    J.P. Morgan Securities LLC: $35M Penalty

    Administrative Order by the U. S. Securities and Exchange Commission imposing a fine of $25 million and disgorgement of $10 million on J.P. Morgan Securities LLC for regulatory breaches.

    Kroll Bond Rating Agency, LLC: $1.25M Fine

    Administrative Order by the U. S. Securities and Exchange Commission imposing a fine of $1.25 million on Kroll Bond Rating Agency, LLC for regulatory breaches.

    Kroll Bond Rating Agency, LLC: $765K Penalties

    Administrative Order by the U. S. Securities and Exchange Commission imposing penalties totaling $764,836 on Kroll Bond Rating Agency, LLC for regulatory breaches.

    SEC v. Roger Nils-Jonas Karlsson: Complaint

    Complaint alleging securities fraud involving Eastern Metal Securities in U. S. Securities and Exchange Commission v. Roger Nils-Jonas Karlsson, a.k.a. Euclid Diodorus, a.k.a.Steve Heyden, a.k.a. Joshua Millard, a.k.a. Lars Georgsson, described as a citizen of Sweden residing in Thailand, at the U. S. District Court for the Eastern District of New York.