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SEC v Bernard Chan Kwong Chung
US SEC, 27-Jan-2012 Mr Chan is a Responsible Officer of Nuada Ltd, a HK-licensed financial adviser. Without denying or admitting liability, he agrees to pay US$100,000 to settle allegations of involvement in a pump-and-dump US penny stocks scam. So far as we know, the HK SFC has not taken any action against him.
New York broker sentenced to prison in international stock fraud scheme
US Department of Justice, 6-Sep-2011
New York broker pleads guilty in international stock fraud scheme
US Department of Justice, 22-Apr-2011
New York broker indicted for alleged role in international stock fraud scheme
US Department of Justice, 1-Feb-2011
US SEC charges 8 people and 3 companies in US$33m international microcap fraud
US SEC, 1-Feb-2011 Those charged in the civil fraud case include Bernard Chan Kwong-chung, who runs an SFC-licensed financial adviser called Nuada Ltd, which has been criticised numerous times on Webb-site, and Daniel Ng Chi-shing, a member of the Hong Kong Government's Digital 21 Strategy Advisory Committee. Ng has agreed to be barred from acting as an officer or director of a public reporting company, and his company agreed to pay US$200k in disgorgement. Chan has not settled. Postscript: Mr Ng resigned from D21SAC on 16-Feb-2011.
USA v Gregg M S Berger: indictment in alleged pump & dump scheme
US Department of Justice, 6-Dec-2010
Detroit spammer and 3 co-conspirators sentenced for multi-million dollar e-mail stock fraud scheme
US Department of Justice, 23-Nov-2009 HK resident John Hui How-wai is sentenced to 51 months in jail.
Virginia software writer pleads guilty to aiding and abetting Detroit spam conspiracy
US Department of Justice, 7-Jul-2009
Detroit spammer and 4 co-conspirators plead Guilty to multi-US$m e-mail stock fraud scheme
US Department of Justice, 22-Jun-2009
"Chinese connection" defendant pleads guilty in Ralsky spam and stock fraud conspiracy
US Department of Justice, 16-Dec-2008
Alan Ralsky, ten others, indicted in international illegal spamming and stock fraud scheme
US Department of Justice, 3-Jan-2008 |
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