The Companies House of United Kingdom included the name Solomon Iroghama Abaowa of 19 Napier Road, Ashford, Middlesex in the list of Register of Disqualified Directors effective from March 15, 2011 to March 14, 2016.
The Companies House of United Kingdom included the name Anjum Abassi of 181 Moorgate Road, Rotherham, South Yorkshire, England in the list of Register of Disqualified Directors effective from July 10, 2008 to July 09, 2018.
The Companies House of United Kingdom included the name Eren Abatay of 23 Bailey Close, Chingford, London in the list of Register of Disqualified Directors effective from June 18, 2008 to June 17, 2017.
On May 09, 2012 U.S. Securities and Exchange Commission (SEC) published that the commission charged former Detroit mayor Kwame M. Kilpatrick, former city treasurer Jeffrey W. Beasley, and the investment adviser to the city’s public pension funds involved in a secret exchange of lavish gifts to peddle influence over the funds’ investment process. The Commission’s complaint alleges that Kilpatrick and Beasley, who were trustees to the pension funds, solicited and received $125,000 worth of private jet travel and other perks paid for by MayfieldGentry Realty Advisors LLC, an investment adviser whose CEO Chauncey Mayfield was recommending to the trustees that the pension funds invest approximately $117 million in a real estate investment trust (REIT) controlled by the firm.
On May 08, 2012 U.S. Securities and Exchange Commission (SEC) published that the commission issued a Notice of Proposed Plan of Distribution and Opportunity for Comment pursuant to Rule 1103 on September 23, 2010, of the Commission’s Rules on Fair Funds and Disgorgement Plans, 17 C.F.R. § 201.1103. The Notice was modified on February 1, 2011 (Exchange Act Rel. No. 63813). The Modified Notice advised parties they could obtain a copy of the modified proposed Distribution Plan at www.sec.gov. The Modified Notice also advised that all persons desiring to comment on the Modified Distribution Plan could submit their comments, in writing, no later than 30 days from the date of the Notice. No comments were received by the Commission in response to the Modified Notice. On March 14, 2011, the Commission issued an Order Approving Distribution Plan of a Fair Fund and Appointing a Fund Administrator (Exchange Act Rel. No. 64081).
On May 09, 2012 U.S. Commodity Futures Trading Commission (CFTC) announced that the filing of a civil enforcement action in the U.S. District Court for the Eastern District of New York charging Madison Dean, Inc., of Wantagh, N.Y., and its principals, George Athanasatos, also of Wantagh, and Laurence Dodge of Fresh Meadows, N.Y., with fraudulently soliciting approximately 19 persons to invest approximately $415,000 in managed trading accounts to trade off-exchange foreign currency contracts on a leverage or margined basis. None of the defendants has ever been registered with the CFTC.
On April 23, 2012 Alabama Securities Commission (ASC) published that Thomas M. Smith, District Attorney for the 6th Judicial Circuit, Tuscaloosa County, Alabama; Bill Adair, District Attorney for the 14th Judicial Circuit, Walker County and, Joseph Borg, Director of the Alabama Securities Commission announced that Michael Kevin Mullen, 58, an Aiken, South Carolina resident was sentenced to 10 years imprisonment in a penitentiary of the State of Alabama, and given 400 days of jail credit for previous time served. Mullen’s application for probation was granted by the court and he will serve on supervised probation for five years with special conditions that he will pay all court ordered monies and will not sell securities in the State of Alabama. Mullen was ordered to pay $323,885.65 in restitution to victims of his investment scheme.
On April 04, 2012 Alabama Securities Commission (ASC) published that Robert T. Treese, III, District Attorney for the 37th Judicial Circuit, Lee County, Alabama; and, Joseph P. Borg, Director of the Alabama Securities Commission, announced today the arrest of Thomas Washington Campbell, III, a Salem, Alabama resident, for alleged violations of the Alabama Securities Act. Campbell turned himself in to the Lee County Sheriff’s Department, Mar. 23, 2012, and was arrested based on a Jan., 2012 Lee County Grand Jury indictment alleging 12 total counts, including three counts each of Sale of Unregistered Securities and Sale of Securities by an Unregistered Agent as well as six counts of Fraud in Connection with the Sale of Securities. He was subsequently released on a $60,000 bond.
On 13 April 2012, Netherland’s Authority for the Financial Markets (AFM) published that it imposed an order for incremental penalty payments on 29 March 2012, against Mr Ch.N.P. Van Renynghe de Voxvrie. He trades among others under the names Fidelity Finance, TradingForex.com, TradingGoldex.com and The Freedom Trading Club. He fails to comply in full with the AFM's requests for information. The AFM has asked Mr Ch.N.P. Van Renynghe de Voxvrie for bank details. The AFM requires this information in order to be able to establish whether and to what extent he complies with the Financial Supervision Act (Wft) and whether he performs activities that are subject to the licence requirement.
On May 08, 2012 U.S. Securities and Exchange Commission (SEC) published that the Honorable Jed S. Rakoff, United States District Judge, United States District Court for the Southern District of New York, on May 7, 2012, entered a Final Judgment on consent as to James Fleishman in the SEC’s insider trading case, entitled SEC v. Mark Anthony Longoria, et al., 11-CV-0753 (SDNY) (JSR). This case alleges insider trading by ten individuals and one investment adviser entity, all of whom are consultants, employees, or clients of the so-called “expert network” firm, Primary Global Research LLC (“PGR”). The SEC filed its Complaint on February 3, 2011, charging two PGR employees and four consultants with insider trading for illegally tipping hedge funds and other investors.
On May 08, 2012 U.S. Securities and Exchange Commission (SEC) published that a Massachusetts federal court entered final judgments by consent against James Tambone and Robert Hussey, defendants in a case filed by the Commission on May 19, 2006. The Commission alleged in its complaint that from 1998 through 2003, Tambone and Hussey, two senior executives at Columbia Funds Distributor, Inc., the underwriter for the Columbia complex of mutual funds, allowed certain preferred customers to engage in frequent short-term trading in certain Columbia mutual funds in contravention of the prospectuses that represented that the funds did not permit, or were otherwise hostile to, market timing or other short-term or excessive trading.
On May 08, 2012 U.S. Securities and Exchange Commission (SEC) published that the commission charged a Hollywood movie producer along with his brother, cousin, and three others in his circle of friends and business partners with insider trading in the stock of a company for which he served on the board of directors. The SEC alleges that Mohammed Mark Amin, prior to a company board meeting, learned confidential information about expanding business opportunities for DuPont Fabros Technology Inc., which develops and manages highly-specialized and secure facilities that maintain large computer servers for technology companies through long-term leases with them.
On May 08, 2012 U.S. Securities and Exchange Commission (SEC) published that the commission filed a civil injunctive action in Atlanta, Georgia, alleging that Gerald D. Kegley and the company he operates, Prism Financial Services, LLC, participated in a fraudulent “Prime Bank” scheme that violated the antifraud and securities and broker dealer registration provisions of the federal securities laws. The Commission’s complaint alleges that from at least April 8, 2010 through at least August 20, 2010, the defendants were directly responsible for introducing six individuals, who invested $1.95 million, to the fraudulent scheme.
On May 08, 2012 British Columbia Securities Commission (BCSC) published that the executive director of the commission has issued a temporary order and notice of hearing alleging that a British Columbia man engaged in illegal distributions and made materially false statements while promoting an investment on Craigslist. The executive director issues temporary orders in situations where the length of time required to hold a hearing could be prejudicial to the public interest. The notice alleges that Paul Lester Stiles promoted an investment in Velocity Entertainment Inc. that he claimed would provide B.C. investors with returns ranging from 12% in one year to 100% within six months. Stiles was the sole director of Velocity, which was dissolved in 2005 and has never filed a prospectus in B.C.
On May 08, 2012 Hong Kong Securities & Futures Commission (SFC) published that it has banned Mr Wong Chiu Wan, a former licensed representative of KGI Asia Limited (KGI), from re-entering the industry for life (Note 1). The disciplinary action follows an SFC investigation which found that, between April and June 2011, Wong conducted unauthorized trades in a client’s securities account at KGI and sold the client’s shares without the consent or instruction of that client. In an attempt to conceal his dishonest acts, Wong also forged the client’s signature to falsify an instruction to amend the client’s e-mail address on KGI’s records in order to prevent the client from receiving trading statements from KGI.
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