1. Pantera Petroleum Inc.
2. Ropes & Grey L.L.P.
3. Schottenfeld Group L.L.C.
4. Spherix Capital L.L.C.
5. Merrill Lynch, Pierce, Fenner & Smith Incorporated
On January 24, 2011 U.S. Securities and Exchange Commission (SEC) published that Honorable P. Kevin Castel, United States District Judge for the Southern District of New York on January 21, 2011, entered a Final Judgment by consent against defendant Ruben Serrano. The Final Judgment enjoins defendant Serrano from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder.
On January 24, 2011 U.S. Securities and Exchange Commission (SEC) published that the commission filed a settled enforcement action in the U.S. District Court for the District of Columbia, charging Paul W. Jennings, a former officer at Innospec, Inc., with violating the Foreign Corrupt Practices Act (FCPA) by approving bribes to government officials to obtain and retain business.
On January 26, 2011 U.S. Securities and Exchange Commission (SEC) published that the commission filed a civil injunctive action in the United States District Court for the Southern District of New York alleging that Adam Smith – a former portfolio manager of the Galleon Emerging Technology funds (f/k/a the Galleon Communications funds) engaged in insider trading in the securities of ATI Technologies, Inc.
On January 26, 2011 U.S. Securities and Exchange Commission (SEC) announced insider trading charges against Michael Cardillo, a former trader at the hedge fund investment adviser Galleon Management, LP, for trading ahead of September 2007 announced acquisition of 3Com Corp., and November 2007 announced acquisition of Axcan Pharma Inc.
On January 25, 2011 U.S. Securities and Exchange Commission (SEC) announced that the United States District Court for the District of Colorado entered a Final Judgment dated January 24, 2011, in a civil action against Joseph P. Nacchio, the former chief executive officer of Qwest Communications International Inc., a Denver-based telecommunications company.
On January 25, 2011 U.S. Securities and Exchange Commission (SEC) published that the commission charged Pantera Petroleum, Inc., its CEO, and a stock promoter with engaging in a fraudulent broker bribery scheme designed to manipulate the market for Pantera’s common stock. The complaint, filed on January 24, 2011 in federal court in Manhattan, alleges that beginning in at least March 2008, Christopher S. Metcalf, Pantera’s President and CEO, and stock promoter Bozidar “Bob” Vukovich engaged in an undisclosed kickback arrangement with an individual who claimed to represent a group of registered representatives with trading discretion over the accounts of wealthy customers.
On January 12, 2011 Financial Services Authority (FSA) published that the authority has refused an application made by Firm A under Section 60 of the Financial Services and Markets Act (FSMA) for Steven Andrew Hemmings to perform the Customer Function (CF30).
On January 25, 2011 Financial Services Authority (FSA) published that the authority has banned five mortgage intermediaries and fined one of them £104,000. This brings the total number of mortgage intermediaries banned since December 2006 to 101. Most of the individuals have been banned because they are not fit and proper to work in regulated financial services through failings that led to mortgage fraud.
On January 20, 2011 Federal Reserve Board (FRB) published the execution of Written Agreement by and among Rocky Mountain Capital, Wilson, Wyoming, a registered bank holding company, and its subsidiary bank, Rocky Mountain Bank, Wilson, Wyoming, a state-chartered bank that is a member of the Federal Reserve System, RMC, the Bank, the Federal Reserve Bank of Kansas City, and the Wyoming Department of Audit, Division of Banking.
On January 19, 2011 Federal Reserve Board (FRB) published the execution of Written Agreement by and between Elgin Bancshares, Inc., Elgin, Illinois, a registered bank holding company, owns and controls Union National Bank, Elgin, Illinois, a national bank, and a nonbank subsidiary and Federal Reserve Bank of Chicago.
On January 19, 2011 Federal Reserve Board (FRB) published the execution of Written Agreement by and between Community Central Bank Corporation, Mount Clemens, Michigan, a registered bank holding company, owns and controls Community Central Bank, Mount Clemens, Michigan, a state-chartered nonmember bank, and various nonbank subsidiaries and Federal Reserve Bank of Chicago.
On January 25, 2011 U.S. Commodity Futures Trading Commission (CFTC) announced that it obtained more than $4 million in restitution and civil monetary penalties in a federal judgment order against defendants Beau Diamond and his company, Diamond Ventures LLC, both of Sarasota, Fla.
On January 24, 2011 U.S. Securities and Exchange Commission (SEC) published that Honorable P. Kevin Castel, United States District Judge for the Southern District of New York on January 21, 2011, entered a Final Judgment by consent against defendant Ruben Serrano. The Final Judgment enjoins defendant Serrano from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder.
On January 24, 2011 U.S. Securities and Exchange Commission (SEC) published that the commission filed a settled enforcement action in the U.S. District Court for the District of Columbia, charging Paul W. Jennings, a former officer at Innospec, Inc., with violating the Foreign Corrupt Practices Act (FCPA) by approving bribes to government officials to obtain and retain business.
USA: FINRA suspends Iowa individual USA: New York based agent fined by NYSID USA: NYSID revokes license of agent Australia: ASIC issues list of disqualified individuals USA: FRB files supervisory action against company USA: Enforcement action against Progress Bank of Florida and its principal USA: FINRA files disciplinary actions against individual USA: FINRA suspends New Jersey individual USA: SEC charges individuals in Ponzi scheme USA: Companies and three senior officers to pay $14 million in fines, disgorgement USA: FINRA takes actions against Seaboard Securities, Inc. and its principal USA: Florida individual suspended by FINRA United Kingdom: FSA warns investors against unauthorized firm and an individual Hong Kong: Former licensee fined by SFC About Us USA: FINRA bars New York registered principal USA: FRB files supervisory action against Illinois company USA: FRB takes supervisory action against company and its chairman India: CSE cancels Certificate of Registration of a member USA: Five individual charged with insider trading by SEC 
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