1. Citigroup Inc.
2. WG Trading Investors L.P.
3. Paul Greenwood
4. Stephen Walsh
5. T&W Financial Corp.
6. Talger Management Inc.
7. TCom Ventures Corp.
8. TEQ-1 Corp.
9. Tesseract Group Inc.
10. TexMont Inc.
11. Thunderbird Mining, Milling & Chemical Corp.
12. TK Originals Inc.
13. Larry E Hulse
14. Sunrise Senior Living Inc.
15. Daren L Palmer
16. Gary L Crittenden
17. Arthur H Tildesley
18. Grant Ivan Grieve

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It was reported in Office of Thrift Supervision (OTS) on July 22, 2010 that OTS has informed Thelma M. Montallana, a former Personal Banker of American Savings, that grounds exist to initiate an administrative prohibition proceeding against her pursuant to 12 U.S.C, § 1818(e).

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It was reported by the Securities and Exchange Commission (SEC) on July 29, 2010, that Mr. Grant Ivan Grieve a/k/a Gad Grieve, a former New Yorker now residing in Israel, has been barred from association with any investment adviser. The sanction was ordered in an administrative proceeding before an administrative law judge, following a court-ordered injunction against him. Grieve was enjoined from violating the antifraud provisions of the federal securities laws. He and two unregistered investment advisers that he controlled had raised approximately $50 million for investment in two hedge funds, using counterfeit documents and false financial information “certified” by a phony auditing firm, and provided existing and prospective investors with false monthly statements, newsletters, and fact sheets that materially overstated the funds’ performance and assets.

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On July 29, 2010, the Securities and Exchange Commission charged Citigroup Inc. with misleading investors about the company’s exposure to subprime mortgage-related assets. The SEC also instituted settled cease-and-desist proceedings against Gary Crittenden, Citigroup’s former chief financial officer, and Arthur Tildesley Jr., Citigroup’s former head of Investor Relations, for their roles in causing Citigroup to make certain of the misleading statements.

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On July 29, 2010, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Daren L. Palmer. Based on the above, the Order bars Palmer from association with any broker or dealer.

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On July 29, 2010, the Securities and Exchange Commission deems it appropriate and in the public interest that public Administrative Proceedings instituted pursuant to Rule 102(e)(3)(i)1 of the Commission’s Rules of Practice against Larry E. Hulse. Hule was also ordered by consent to pay $83,333 in disgorgement of ill-gotten gains plus $31,660 in prejudgment interest and a $50,000 civil monetary penalty.

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The Securities and Exchange Commission announced that on July 29, 2010, the Honorable George B. Daniels of the United States District Court for the Southern District of New York entered a judgment against Paul Greenwood, a former principal of registered broker-dealer WG Trading Company, Limited Partnership. In February 2009, the SEC filed an emergency action and obtained an asset freeze against Greenwood and the other principal of WG Trading Company, Stephen Walsh, and their three affiliated entities, to halt a brazen investment fraud involving the misappropriation of as much as $554 million in investor assets.

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On July 29th, 2010, the U.S. Commodity Futures Trading Commission charged Greenwood with operating a $1.3 billion investment scam in which he and co-defendant Stephen Walsh misappropriated at least $553 million from commodity pool participants in connection with entities they owned and controlled, such as Westridge Capital Management Inc., WG Trading Investors LP and WGIA LLC.

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On July 29th, 2010, the Federal Reserve Board (FRB) announced a formal enforcement action initiated against John F. Coger on behalf of the Community Valley Bancorp by virtue of a Written Agreement by and between, the Federal Reserve Bank of San Francisco to maintain the financial soundness of Community Valley.

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On July 29th, 2010, the Federal Reserve Board (FRB) announced a formal enforcement action initiated against Ronald L. Haan on behalf of the Macatawa Bank Corporation by virtue of a Written Agreement by and between, the Federal Reserve Bank of Chicago to maintain the financial soundness of Macatawa.

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The Monetary Authority of Singapore (MAS) welcomes the Singapore High Court’s judgment on July 27, 2010 which found that Kevin Lew Chee Fai contravened the insider trading provisions under the Securities and Futures Act (SFA). The High Court has asked to further hear parties on the issue of the civil penalty payable by Mr Lew and legal costs.

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1. Thomas Fisher
2. Geotec Inc.
3. Bradley T Ray
4. William Richard Lueck
5. Stephen D Chanslor
6. Lambros D Ballas
7. Verint Systems Inc

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On July 9, 2010 the Financial Services Board (FSB) suspended Financial Services Provider license of Eugene Edwin Kikia.

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On July 27, 2010 the Securities and Exchange Board of India (SEBI), the capital market regulator passed an Adjudication order against Mr. Mangeram S. Sharma in the matter of M/s. Adani Exports Ltd. It is alleged that Mr. Sharma violated the provisions of regulations 4(1), 4 (2)(b), 4(2)(e), 4(2)(g) and 4(2)(n) of SEBI (prohibition of Fraudulent and Unfair Trade Practices Relating to Securities Markets) Regulations, 2003 and was therefore liable for monetary penalty.

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On 9 June 2010, the Financial Services Authority (FSA) has published a bankruptcy order against Christopher Gregory Williams, as it believed that he was running an unauthorised investment scheme.

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