On September 2, 2010, New Zealand Companies Office published that Mark Ronald Bryers convicted under Sec 194 (2 Charges) under the Companies Act 1993 for failing to keep adequate accounting records. Fined $930.00 plus $130.00 court costs on each charge.
1. Trade-L.L.C.
2. William H Center
3. Global Materials & Services Inc.
4. Stephen F Owens
5. William Woo
6. Eric Ko
7. ASMAC Financial Inc.
8. Edify Capital Group Inc.
9. Flinn Springs Inn Inc.
10. David Slaine
On September 16, 2010, the Federal Reserve Board announced the execution of a Written Agreement by and among State Bank Financial, La Crosse, Wisconsin, a state-chartered member bank, the Federal Reserve Bank of Minneapolis, and the State of Wisconsin Department of Financial Institutions.
On September 16, 2010, the Securities and Exchange Commission announced that the Honorable Deborah A. Batts of the United States District Court for the Southern District of New York, entered a final judgment against David Slaine in SEC v. David R. Slaine, 10-CV-754 (S.D.N.Y.), an insider trading case the Commission filed on Feb. 2, 2010.
On September 16, 2010, the Securities and Exchange Commission announced on Aug. 11, 2010, the United States District Court for the Central District of California entered Final Judgments by consent against defendants Stephen F. Owens of Corona, California, William Woo of San Gabriel, California, Eric Ko of Brea, California, ASMAC Financial, Inc. and Edify Capital Group, Inc.
On September 16, 2010, the Securities and Exchange Commission announced that on Aug.13, 2010, the Honorable Daniel T.K. Hurley, United States District Court Judge for the Southern District of Florida, entered a judgment of permanent injunction and other relief against Defendant William H. Center.
On September 16, 2010, the Investment Industry Regulatory Organization of Canada (IIROC) published that a hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of Canada to consider whether the panel should accept a settlement agreement between IIROC staff and Clark Alexander Squires.
1. Robert A Berlacher
2. Lancaster Investment Partners L.P.
3. Northwood Capital Partners L.P.
4. Cabernet Partners L.P.
5. Chardonnay Partners L.P.
6. Insignia Partners L.P.
7. VFT Special Ventures Ltd.
8. LIP Advisors L.L.C.
9. NCP Advisors L.L.C.
10. RAB Investment Company L.L.C.
11. Amante Corporation
12. Commonwealth Capital Management Inc.
13. MVC Group L.L.C.
14. East Coast Bullion Exchange Inc.
15. Biovail Corporation
16. Eugene N Melnyk
17. Brian Crombie
18. John Miszuk
19. Kenneth G Howling
20. PanWorld Minerals International Inc.
21. David G Rose
22. Mark D Long
23. Jason T Rose
24. Aaron Donald Vallett
25. Frank L Constantino
26. Frank L Schwartz
27. Anything2ship Inc.
28. Aquaculture Resources Management Inc.
29. Arcadia Investments Inc.
30. Armitec Inc.
31. Arrow Capital Group Inc.
32. August Financial Holding Co. Inc.
33. AW Computer Systems Inc.
34. Electric Mail Co. Inc.
35. Electronic Publishing Technology Corp.
36. Elkhorn Gold Mining Corp.
37. Ememberdirect Inc.
38. Emerald Homes Ltd.
39. Encore Wireless Inc.
40. Entreport Corp.
41. Speed of Thought Trading Corp.
42. Sports/Entertainment Group Inc.
43. Standard Automotive Corp.
44. Starmet Corp.
45. Stearman Enterprises Inc.
46. Streamline.com Inc.
47. Supradur Companies Inc.
On September 14, 2010, the Securities and Exchange Commission announced that a federal court on Sept. 13, 2010 found hedge fund manager Robert A. Berlacher, along with several of his investment advisory entities and various hedge funds he managed, liable for securities fraud in connection with the funds’ PIPE investments.
[Translate] On September 15, 2010, the Securities and Exchange Commission announced that on Sept. 8, 2010, the Honorable Lewis A. Kaplan of the United States District Court for the Southern District of New York entered a final consent judgment against defendant John Miszuk, Biovail Corporation’s former vice president, controller and assistant secretary, in SEC v. [...]
On September 15, 2010, the Securities and Exchange Commission issued Orders Instituting Public Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against David G. Rose, Jason T. Rose, and Mark D. Long.
On September 15, 2010, the Securities and Exchange Commission issued an Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 against Aaron Donald Vallett.
On September 15, 2010, the Securities and Exchange Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing (Order) against Frank L. Constantino. The Division of Enforcement (Division) alleges in the Order that at various times from October 1981 through December 2002, Constantino was a registered representative with broker-dealers registered with the Commission.
On September 15, 2010, the Securities and Exchange 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 Frank L. Schwartz.
On September 14, 2010, the Investment Industry Regulatory Organization of Canada (IIROC) published that a penalty hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) to hear submissions in the matter of Hector Wong.
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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