U. S. Securities and Exchange Commission

Administrative Order by the U. S. Securities and Exchange Commission imposing a fine of $9.5 million on Fiat Chrysler Automobiles N.V. , described as "a Dutch public company headquartered in London, United Kingdom", for the "VW 'dieselgate' scandal".

Administrative Order by the U. S. Securities and Exchange Commission imposing a penalty of $36,590 on Christopher D. Bachinski for alleged insider trading involving Buckeye Partners LP, of Houston, Texas, and IFM Investors Pty Ltd., of Australia.

Administrative Order imposing a fine of $18 million in U. S. Securities and Exchange Commission v. Bayerische Motoren Werke Aktiengesellschaft, of Germany; BMW of North America, LLC and BMW US Capital, LLC, both of Delaware, regarding "inaccurate disclosures ... of its retail vehicle sales volume in the United States".

Administrative Order by the U. S. Securities and Exchange Commission imposing a fine of $35,000 on Michael Vernon, a resident of Spain, for alleged fraud involving TCA Fund Management Group Corp., of Florida; TCA Global Credit Fund GP Ltd., TCA Global Credit Fund LP, TCA Global Credit Fund Ltd., and TCA Global Credit Master Fund LP, all of the Cayman Islands.

Administrative Order by the U. S. Securities and Exchange Commission imposing a fine of $35,000 on Steven Rosen, a resident of Kew Gardens, New York, for alleged fraud involving TCA Fund Management Group Corp., of Florida; TCA Global Credit Fund GP Ltd., TCA Global Credit Fund LP, TCA Global Credit Fund Ltd., and TCA Global Credit Master Fund LP, all of the Cayman Islands.

SEC's Ex Parte Application for Temporary Restraining Order Freezing Assets and Granting Other Relief against Ongkaruck Sripetch, Brehnen Knight, Amanda Flores, and Ashmit Patel in U. S. Securities and Exchange Commission v. Ongkaruck Sripetch, of Las Vegas, NV; Amanda Flores, of Las Vegas, NV; Brehnen Knight, of Escondido, CA; Andrew McAlpine, a citizen of Canada residing in the Cayman Islands; Ashmit Patel, a citizen of Canada residing in Ontario; Michael Wexler, a citizen of Canada residing in Ottawa; Dominic Williams, of Bonita, CA; Adtron Inc., a.k.a. Stockpalooza.com, of Nevada; ATG Inc., of Nevada; DOIT Ltd., domicile not specified; Doji Capital, Inc., of California; King Mutual Solutions Inc., of Nevada; Optimus Prime Financial Inc., of California; Orca Bridge, of Nevada; Redline International, of Nevis and California, and UAIM Corporation, of Belize, at the U. S. District Court for the Southern District of California.

Complaint alleging securities fraud in U. S. Securities and Exchange Commission v. Verley Lee Sembritzky, Jr., of Houston, Texas; Bounty of the Ocean Inc., of the Bahamas, and Ocean Harvest LLC, of Delaware, at the U. S. District Court for the Southern District of Texas.

Complaint alleging the defendants "worked in concert to engage in numerous fraudulent schemes and other violations of the federal securities laws, involving at least 20 penny stock companies" in U. S. Securities and Exchange Commission v. Ongkaruck Sripetch, of Las Vegas, NV; Amanda Flores, of Las Vegas, NV; Brehnen Knight, of Escondido, CA; Andrew McAlpine, a citizen of Canada residing in the Cayman Islands; Ashmit Patel, a citizen of Canada residing in Ontario; Michael Wexler, a citizen of Canada residing in Ottawa; Dominic Williams, of Bonita, CA; Adtron Inc., a.k.a. Stockpalooza.com, of Nevada; ATG Inc., of Nevada; DOIT Ltd., domicile not specified; Doji Capital, Inc., of California; King Mutual Solutions Inc., of Nevada; Optimus Prime Financial Inc., of California; Orca Bridge, of Nevada; Redline International, of Nevis and California, and UAIM Corporation, of Belize, at the U. S. District Court for the Southern District of California.

Administrative Order imposing financial penalties totaling $167,629 on Northern Trust Hedge Fund Services LLC and Northern Trust Global Fund Services Cayman Limited, of the Cayman Islands, "as the fund administrators for the LR Global Frontier Master Fund, Ltd. and two feeder funds, the LR Global Frontier Fund, Ltd. (offshore) and the LR Global Frontier Fund LP (onshore)", for regulatory breaches regarding an alleged fraud by Donald S. LaGuardia, Jr.

Administrative Order imposing a $6.1 million penalty on Unikrn, Inc., described as Delaware-domiciled, Washington State-based "operator of an online eSports gaming and gambling platform", regarding an unregistered securities offering of a digital token known as UnikoinGold that, inter alia, involved Bermuda-domiciled Unikrn Bermuda Ltd., before the U. S. Securities and Exchange Commission. Editor's Note: Registers of Directors & Officers and Members for Unikrn Bermuda Ltd. that were obtained by OffshoreAlert from the company's registered agent in 2018 showed that, as of August 16, 2018, the sole shareholder of the company was Unikrn Inc. and that its directors were David Antivilo, of Las Vegas, Nevada, who was also Chief Compliance Officer; Kingsley Edwards, of Las Vegas, Nevada; Christopher G. Garrod, and Jacqueline King, both of Bermuda. On the Government of Bermuda's website, the current directors of the company are identified as Karl Flores, of Australia; Rahul Sood, of Washington State, USA; Christopher Garrod, and Jacqueline King. On Unirkn's website at www.unikrn.com, it is stated that the group was "Established in 2014 as a collaboration between Rahul Sood and Karl Flores".

Administrative Order imposing an industry ban on John Geraci, described as a Florida resident who was "the founder and Chief Executive Officer of Meridian Asset Management, a Cayman Islands-based asset manager during the time of the alleged misconduct, from approximately the summer of 2015 to the fall of 2016", before the U. S. Securities and Exchange Commission.

Complaint alleging insider trading in the securities of Florida-domiciled PetMed Express, Inc. in U. S. Securities and Exchange Commission v. Richard M. Kirsch and Adam Terris, both of Davie, Florida, at the U. S. District Court for the Southern District of Florida.

Complaint alleging "a series of unregistered securities offerings" for Canadian "cannabis company" Covalent Collective Inc., in U. S. Securities and Exchange Commission v. Geoffrey Thompson, described as "a recidivist securities laws violator", at the U. S. District Court for the Northern District of Illinois.

Administrative Order imposing industry bans on Anton Senderov and Lior Barbazara, both citizens of Israel, regarding their involvement in "internet binary options brokers LBinary and Ivory Option", before the U. S. Securities and Exchange Commission.

Administrative Order imposing penalties totaling $67.3 million on Herbalife Nutrition Ltd., described as "a direct selling company incorporated in the Cayman Islands with headquarters in the United States" whose shares are listed on the New York Stock Exchange, for violations of the Foreign Corrupt Practices Act involving Herbalife China, before the U. S. Securities and Exchange Commission.

Complaint alleging the defendants "fraudulently raised more than $27 million from approximately 1,200 investors, many of them African immigrants" in U. S. Securities and Exchange Commission v. Dennis M. Jali, described as a citizen of South Africa; John E. Frimpong, described as a citizen of Ghana; Arley R. Johnson, of Maryland; The Smart Partners LLC, of Delaware, and 1st Million LLC, of Maryland, as Defendants, and Access2Assets LLC, of Maryland, as Relief Defendant, at the U. S. District Court for the District of Maryland.

Complaint alleging insider trading involving Auspex Pharmaceuticals Inc., of Delaware, and Teva Pharmaceutical Industries Ltd., of Israel, in U. S. Securities and Exchange Commission v. Sepehr Sarshar at the U. S. District Court for the Southern District of New York.

Complaint "for acting as unregistered brokers" regarding the "offering and selling securities in the form of promissory notes issued by Belize Infrastructure Fund I, LLC" in U. S. Securities and Exchange Commission v. Minish 'Joe' Hede, of Rumson, New Jersey, and Kevin Graetz, of New Canaan, Connecticut, at the U. S. District Court for the Southern District of New York.

Complaint alleging "fraud and misappropriation of investor assets" in U. S. Securities and Exchange Commission v. David C. Coggins and Coral Gables Asset Management LLC, as Defendants, and Coral Gables Asset Holdings LP and Coral Gables Capital LP, as Relief Defendants, at the U. S. District Court for the Southern District of Florida.

SEC's Motion for Temporary Restraining Order in U. S. Securities and Exchange Commission v. David C. Coggins and Coral Gables Asset Management LLC, as Defendants, and Coral Gables Asset Holdings LP and Coral Gables Capital LP, as Relief Defendants, at the U. S. District Court for the Southern District of Florida.

Complaint regarding "investments in AirBit Club, a multi-level marketing scheme that targeted LatinX and Spanish-speaking communities with promises of high returns", in U. S. Securities and Exchange Commission v. Cecilia Millan and Margarita E. Cabrera de Velasco at the U. S. District Court for the Southern District of New York.

Administrative Order imposing penalties of $11.5 million on Interactive Brokers LLC, described as "a registered broker0dealer headquartered in Greenwich, Connecticut", before the U. S. Securities and Exchange Commission.

Complaint alleging securities fraud involving, inter alia, funds in Curaçao and the Cayman Islands and a "borrower" in Argentina in U. S. Securities and Exchange Commission v. David Hu at the U. S. District Court for the Southern District of New York.

Complaint alleging securities fraud in U. S. Securities and Exchange Commission v. Thunderbird Power Corp., of Arizona; Richard Hinds, of Arizona; Anthony Goldstein, and John Alexander 'Lex' van Arem, both of Canada, at the U. S. District Court for the Southern District of Florida.

Administrative Order imposing an industry ban on Benjamin Alderson, a resident of the United Kingdom and a former CEO of deVere USA Inc., before the U. S. Securities and Exchange Commission.

Final Judgment regarding an allegation that he "defrauded hundreds of clients and prospective clients resident in the United States by misleading them about the benefits of irreversibly transferring their United Kingdom pensions to an offshore pension plan while concealing serious conflicts of interest" in U. S. Securities and Exchange Commission v. Bradley Hamilton, a citizen of the United Kingdom and a former employee of deVere USA, Inc., at the U. S. District Court for the Southern District of New York.

Final Judgment regarding an allegation that the defendant "defrauded hundreds of clients and prospective clients resident in the United States by misleading them about the benefits of irreversibly transferring their United Kingdom pensions to an offshore pension plan while concealing serious conflicts of interest" in U. S. Securities and Exchange Commission v. Benjamin Alderson, a citizen of the United Kingdom and a former employee of deVere USA, Inc., at the U. S. District Court for the Southern District of New York.

Administrative Order imposing penalties against Novartis AG, described as a Switzerland-based "global provider of pharmaceutical and healthcare products", for "improper activities", including "improper payments", "forged contracts", and "false books and records", involving its subsidiaries and affiliates in Greece, Singapore, South Korea, and Vietnam, before the U. S. Securities and Exchange Commission.

Complaint alleging a "fraudulent and unregistered offer ... of a blockchain-based digital token called AML Bitcoin" in U. S. Securities and Exchange Commission v. Jack Alan Abramoff at the U. S. District Court for the Northern District of California.

Consent Judgment in U. S. Securities and Exchange Commission v. Jack Alan Abramoff at the U. S. District Court for the Northern District of California.

Complaint alleging "the fraudulent offer and sale of digital asset securities" in U. S. Securities and Exchange Commission v. NAC Foundation LLC and Rowland Marcus Andrade at the U. S. District Court for the Northern District of California.

Complaint alleging investment fraud in U. S. Securities and Exchange Commission v. Vassilios Trikantzopoulos, a citizen of Greece and resident of Boston who "posed as the scion of a wealthy Greek shipping family", and Navis Ventures LLC, of Delaware, at the U. S. District Court for the District of Massachusetts.

Complaint in U. S. Securities and Exchange Commission v. AmTrust Financial Services Inc., of Delaware, and Ronald E. Pipoly, Jr. at the U. S. District Court for the Southern District of New York.

Complaint alleging securities fraud in U. S. Securities and Exchange Commission v. Nelson Gomes, described as a citizen of Canada who "resides at various times in the Bahamas and Hong Kong"; Michael Luckhoo-Bouche, a citizen of Canada residing in Mississauga, Ontario; Shane Schmidt, a citizen of Canada residing in Vancouver, British Columbia; Douglas Roe, a citizen of Canada residing in Vancouver, British Columbia; Kelly Warawa, a citizen of Canada residing in Vancouver, British Columbia; FFS Capital Limited, of Hong Kong; Paifang Trading Limited, of Hong Kong; Atlantean Management Corporation, of Canada; Meadow Asia Limited, of Hong Kong, and Thyme International Limited, of Hong Kong, at the U. S. District Court for the District of Massachusetts.

Emergency Ex Parte Motion for a Temporary Restraining Order regarding accounts in Canada, the Cayman Islands, Hong Kong, Isle of Man, Malta, and the USA in U. S. Securities and Exchange Commission v. Nelson Gomes, described as a citizen of Canada who "resides at various times in the Bahamas and Hong Kong"; Michael Luckhoo-Bouche, a citizen of Canada residing in Mississauga, Ontario; Shane Schmidt, a citizen of Canada residing in Vancouver, British Columbia; Douglas Roe, a citizen of Canada residing in Vancouver, British Columbia; Kelly Warawa, a citizen of Canada residing in Vancouver, British Columbia; FFS Capital Limited, of Hong Kong; Paifang Trading Limited, of Hong Kong; Atlantean Management Corporation, of Canada; Meadow Asia Limited, of Hong Kong, and Thyme International Limited, of Hong Kong, at the U. S. District Court for the District of Massachusetts.

Administrative Order imposing a $900,000 fine on Argo Group International Holdings, Ltd., a Bermuda-domiciled provider of insurance and reinsurance whose shares are listed on the New York Stock Exchange, for failing to disclose "over $5.3 million" in perquisites to Mark E. Watson III, its former CEO, president, and director, before the U. S. Securities and Exchange Commission.

Order Instituting Administrative Proceedings against  Gibraltar Global Securities, Inc., described as "a Bahamian broker-dealer", before the U. S. Securities and Exchange Commission

Administrative Order imposing disgorgement, interest, and a civil penalty totaling $29.3 million against BitClave PTE Ltd., described as "an early-stage blockchain services company that operates through an entity in Singapore and maintains its principal place of operations in San Jose, California", for conducting an unregistered Initial Coin Offering, before the U. S. Securities and Exchange Commission.

Order Instituting Administrative Proceedings against Warren Anthony Davis, described as a citizen of the Bahamas and founder and president of Gibraltar Global Securities Inc., "a Bahamian broker-dealer", regarding the sale of shares of Magnum d'Or, "a penny stock".

Administrative Order imposing a fine of $3.5 million against Morningstar Credit Ratings, LLC for breaching "a conflict of interest rule, by issuing or maintaining credit ratings where MCR employees who participated in determining or monitoring the credit ratings also participated in the sales or marketing of a product or service of MCR", before the U. S. Securities and Exchange Commission.

Complaint alleging securities fraud involving Sonic Cavitation LLC, of Nevada, and Sonic Cavitation Ltd., of Ireland, in U. S. Securities and Exchange Commission v. Ronald D. Swanson at the U. S. District Court for the District of Connecticut.

Complaint alleging COVID-19-related securities fraud via false statements concerning BeMotion Inc., described as a "technology company" with offices in Toronto, Canada, and Amman, Jordan, in U. S. Securities and Exchange Commission v. Turbo Global Partners Inc., of Nevada, and Robert W. Singerman, of Tampa, Florida, at the U. S. District Court for the Middle District of Florida.

Order Imposing Penalties for securities violations on 1Globe Capital, LLC, described as a Delaware company based in Boston, MA, and Beijing, China that is "a family office that purchases stock listed on US exchanges", and Jiaqiang 'Chiang' Li, described as a resident of Boston and Beijing, regarding trading in Sinovac Biotech Ltd., described as an Antigua and Barbuda-domiciled firm based in China whose shares are listed on NASDAQ, before the U. S. Securities and Exchange Commission.

Judgment for Permanent Injunction and Other Relief in U. S. Securities and Exchange Commission v. TCA Fund Management Group Corp., of Florida, and TCA Global Credit Fund GP Ltd., of the Cayman Islands, as Defendants, and TCA Global Credit Fund LP, TCA Global Credit Fund Ltd., and TCA Global Credit Master Fund LP, all of the Cayman Islands, as Relief Defendants, at the U. S. District Court for the Southern District of Florida.

Complaint alleging securities fraud in U. S. Securities and Exchange Commission v. TCA Fund Management Group Corp., of Florida, and TCA Global Credit Fund GP Ltd., of the Cayman Islands, as Defendants, and TCA Global Credit Fund LP, TCA Global Credit Fund Ltd., and TCA Global Credit Master Fund LP, all of the Cayman Islands, as Relief Defendants, at the U. S. District Court for the Southern District of Florida.

SEC's Expedited Motion for the Appointment of a Receiver in U. S. Securities and Exchange Commission v. TCA Fund Management Group Corp., of Florida, and TCA Global Credit Fund GP Ltd., of the Cayman Islands, as Defendants, and TCA Global Credit Fund LP, TCA Global Credit Fund Ltd., and TCA Global Credit Master Fund LP, all of the Cayman Islands, as Relief Defendants, at the U. S. District Court for the Southern District of Florida.

Complaint alleging a "fraudulent offering of digital asset-related securities" in U. S. Securities and Exchange Commission v. Daniel F. Putnam, of Utah; Jean Paul Ramirez Rico, of Colombia; Angel A. Rodriguez, of Utah; MMT Distribution LLC, of Utah, and R&D Global LLC, d.b.a. Modern Money Team, d.b.a. Eyeline Trading, d.b.a. WealthBoss, as Defendants, and Richard T. Putnam, as Relief Defendant, at the U. S. District Court for the District of Utah.

Ex Parte Motion for Freezing Order regarding a "fraudulent offering of digital asset-related securities" in U. S. Securities and Exchange Commission v. Daniel F. Putnam, of Utah; Jean Paul Ramirez Rico, of Colombia; Angel A. Rodriguez, of Utah; MMT Distribution LLC, of Utah, and R&D Global LLC, d.b.a. Modern Money Team, d.b.a. Eyeline Trading, d.b.a. WealthBoss, as Defendants, and Richard T. Putnam, as Relief Defendant, at the U. S. District Court for the District of Utah.

Complaint alleging securities fraud in U. S. Securities and Exchange Commission v. Damon Elliott, a citizen of the United Kingdom residing in France, and Piptastic Limited, of England, as Defendants, and DSE Retail Limited, of England; Paul Rose, a citizen of the United Kingdom; Unique Asset Management Limited, of England, and Sharon Elliott, a citizen of the United Kingdom, as Relief Defendants, at the U. S. District Court for the District of Massachusetts.

Administrative Order imposing a $5 million civil money penalty against Bloomberg Tradebook LLC for "omissions of material facts and material misstatements made by Tradebook, then an agency broker-dealer, in connection with its use of an undisclosed order routing arrangement called the Low Cost Router", before the U. S. Securities and Exchange Commission.