The Companies House of United Kingdom included the name Mohammed Azim of 8 Salisbury Road, Oldham, Greater Manchester in the list of Register of Disqualified Directors effective from June 10, 2011 to June 09, 2016.
The Companies House of United Kingdom included the name Zaffar Azim of 11 Cowbridge Road, Kenton, Harrow, Middlesex in the list of Register of Disqualified Directors effective from November 03, 2008 to November 02, 2021.
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for May 2012, Darrel Ray Amiot of Eden Prairie, Minnesota was suspended for failure to comply with an arbitration award or settlement agreement pursuant to FINRA rule 9554.
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for May 2012, Patrick Joseph Broderick of Bloomfield Hills, Michigan was suspended for failure to comply with an arbitration award or settlement agreement pursuant to FINRA rule 9554.
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for May 2012, Alfred Guy Cali of Huntington Station, New York was suspended for failure to comply with an arbitration award or settlement agreement pursuant to FINRA rule 9554.
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for May 2012, Scott Alan Dascani of Naples, Florida was suspended for failure to comply with an arbitration award or settlement agreement pursuant to FINRA rule 9554.
On May 14, 2012 U.S. Securities and Exchange Commission (SEC) published that the commission filed suit in U.S. District Court for the Southern District of New York against China-based China Natural Gas, Inc. and its chairman and former CEO Qinan Ji for defrauding investors by secretly loaning company funds to benefit Ji’s son and nephew while failing to disclose the true nature of the loans. The SEC alleges that Ji coordinated two short-term loans totaling more than $14 million in January 2010. One loan went to a real estate firm co-owned by Ji’s son and nephew through a sham borrower. The other loan went to a business partner of the real estate firm. Ji signed the company’s SEC filings that falsely stated the loans were made to third parties. Ji then lied about the true borrower to China Natural Gas’s board, investors, and auditors as well as during the company’s internal investigation.
On May 14, 2012 U.S. Securities and Exchange Commission (SEC) announced that the commission deems it appropriate and in the public interest that public administrative proceedings be, and hereby are, instituted pursuant to Section 15(b) of the Securities Exchange Act of 1934 against George Sobol (“Respondent”). In anticipation of the institution of these proceedings, Respondent has submitted an Offer of Settlement which the Commission has determined to accept. Solely for the purpose of these proceedings and any other proceedings brought by or on behalf of the Commission, or to which the Commission is a party, and without admitting or denying the findings herein, except as to the Commission’s jurisdiction over him and the subject matter of these proceedings, and the findings contained in Section III.2 below, which are admitted, Respondent consents to the entry of this Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions, as set forth below.
On May 14, 2012 U.S. Securities and Exchange Commission (SEC) announced that the commission deems it appropriate and in the public interest that public administrative proceedings be, and hereby are, instituted pursuant to Section 15(b) of the Securities Exchange Act of 1934 against Kenneth A. Wolkoff (“Respondent”). In anticipation of the institution of these proceedings, Respondent has submitted an Offer of Settlement which the Commission has determined to accept. Solely for the purpose of these proceedings and any other proceedings brought by or on behalf of the Commission, or to which the Commission is a party, and without admitting or denying the findings herein, except as to the Commission’s jurisdiction over him and the subject matter of these proceedings, and the findings contained in Section III.2 below, which are admitted, Respondent consents to the entry of this Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions, as set forth below.
On May 14, 2012 U.S. Commodity Futures Trading Commission (CFTC) announced that it filed and simultaneously settled charges against Alexandre P. Guimaraes and his company, ACI Capital Group, L.L.C., both of Irvine, Calif., for fraudulently soliciting customers to trade off-exchange foreign currency contracts, issuing hundreds of false monthly account statements to customers to conceal trading losses, and misappropriating a portion of customer funds. Guimaraes also was charged with acting as an unregistered commodity trading advisor (CTA). The CFTC order requires Guimaraes and ACI jointly and severally to pay $428,046.31 in restitution and a $420,000 civil monetary penalty. The order also imposes permanent trading and registration bans against the respondents.
On May 14, 2012 Hong Kong Securities & Futures Commission (SFC) published that the Court of First Instance has varied the sentence imposed on Mr Lo Kam Chung for carrying on an unlicensed business of advising on securities. Lo was convicted on one count of carrying on an unlicensed securities business between April and November 2010. The court found that Lo established a private discussion group on Facebook in the name of “Peter Sun” and offered securities advice to subscribers who paid fees of $200-$300 per month. He was fined $20,000 and sentenced to 80 hours of community service to be completed within 12 months (Note 1). He appealed his sentence and the Court of First Instance last Friday varied the fine by reducing it to $10,000 but upheld the community service order (Note 2).
The Companies House of United Kingdom included the name Azad Azam of Flat 52, The Odeon Longbridge Road, Barking, Essex in the list of Register of Disqualified Directors effective from October 27, 2006 to October 26, 2013.
The Companies House of United Kingdom included the name Mohammad Azam of 35 Grove Road, Walthamstow, London in the list of Register of Disqualified Directors effective from July 19, 2010 to July 18, 2021.
The Companies House of United Kingdom included the name Shehzad Azam of 5 Beacon Hill, Aston, Birmingham, West Midlands in the list of Register of Disqualified Directors effective from January 08, 2009 to January 07, 2015.
The Companies House of United Kingdom included the name Suleman Azam of 16 Belle Vue Road, Wakefield, West Yorkshire in the list of Register of Disqualified Directors effective from November 21, 2008 to November 20, 2020.
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