FIL-41-2019 July 16, 2019 Consolidated Reports of Condition and Income Printable Format: FIL-41-2019 – PDF (PDF Help) Summary: The Consolidated Reports of Condition and Income (Call Report) for the June 30, 2019, report date must be submitted to the agencies’ Central Data Repository by Tuesday, July 30, 2019. Certain institutions with foreign offices have an […]
Monthly Archives: July 2019
Richard Vu Nguyen, et al.
Litigation Release No. 24533 / July 15, 2019 Securities and Exchange Commission v. Richard Vu Nguyen, et al., No. SACV19-1174-AG (KESx) (C.D. Cal.) The Securities and Exchange Commission has obtained consented-to preliminary injunctions and asset freezes against a Santa Ana, California-based company, its founder, and a relief defendant in the SEC’s ongoing litigation alleging an […]
Conn’s Inc. and Michael J. Poppe
Litigation Release No. 24532 / July 15, 2019 Securities and Exchange Commission v. Conn’s Inc. and Michael J. Poppe, No. 4:19-cv-2534 (S.D. Tex. filed July, 15, 2019) The Securities and Exchange Commission today announced settled charges against Conn’s Inc., a Texas-based specialty retailer that offers consumer goods and credit financing primarily to credit-restrained customers, and […]
Henry J. Wieniewitz, III, et al.
The Securities and Exchange Commission today announced charges against Henry J. “Trae” Wieniewitz, III and his Knoxville, Tennessee-based company, Wieniewitz Financial, LLC, for unlawfully offering and selling securities of the Woodbridge Group of Companies, LLC and 1 Global Capital, LLC. The SEC previously charged Woodbridge, its owner, and others with operating a $1.2 billion Ponzi […]
William Scott Lawler and Natalie Bannister
Litigation Release No. 24530 / July 15, 2019 Securities and Exchange Commission v. William Scott Lawler and Natalie Bannister, No. 19 Civ. 4025 (E.D.N.Y. filed July 12, 2019) The Securities and Exchange Commission charged an Arizona-based attorney and a Missouri-based agent of microcap shell companies with securities fraud and registration violations. According to the SEC’s […]
Investor Alert: Have Something in Common with Someone Selling an Investment? It May Make You a Target for Fraud.
The SEC’s Office of Investor Education and Advocacy (OIEA) and the Division of Enforcement’s Retail Strategy Task Force warn investors not to make investment decisions based solely on common ties with someone recommending or selling the investment. Don’t Trust Someone Just Because You Have Something in Common Having something in common is a great way […]
China Regenerative Medicine International Limited (Stock Code: 8158) and twelve of its current and former directors censured or criticised for breaching the GEM Listing Rules and the Director’s Undertaking
香港聯合交易所有限公司(香港交易及結算所有限公司全資附屬公司)THE STOCK EXCHANGE OF HONG KONG LIMITED(A wholly-owned subsidiary of Hong Kong Exchanges and Clearing Limited) Money raised by issuers should be used for the intended purposes as disclosed to the market and its shareholders. Pending investment in described projects, placing proceeds should be safeguarded. Adequate safeguards should be in place to guard […]
FTC to Host Half-Day “Nixing the Fix” Workshop Focusing on Repair Restrictions Tomorrow in Washington, DC
WHAT: The Federal Trade Commission is hosting Nixing the Fix: A Workshop on Repair Restrictions, to examine how manufacturers may limit repairs by consumers and repair shops and whether those limitations affect consumer protection. WHEN: Tuesday July 16, 12:30 pm to 4:45 pm EDT WHERE: Constitution Center, 400 Seventh St., SW, Washington, DC WHO: FTC […]
FTC Approves Stipulated Order Settling Charges against Gerber Products Company
The Federal Trade Commission filed a complaint in October 2014 alleging that Gerber Products Company, also doing business as Nestlé Nutrition, deceptively advertised that feeding Good Start Gentle formula to infants with a family history of allergies prevents or reduces the risk that they will develop allergies, and misrepresented that its Good Start Gentle formula […]
Barry Honig, et al.
The Securities and Exchange Commission obtained partial consent judgments against defendants Barry Honig and GRQ Consultants, Inc. (“GRQ”) on July 10, 2019, and against defendants Elliot Maza and Brian Keller on March 27, 2019 and March 29, 2019, respectively, in an ongoing civil action in which the SEC alleges that numerous individuals and associated entities […]