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Joseph Taub et al (Release No LR-24999; Dec 30, 2020)

Litigation Release No. 24999 / December 30, 2020 , curities and Exchange Commission v. Joseph Taub, et al., 16 Civ. 09130 (D.N.J.) (filed December 12, 2016) On December 28, 2020, the United States District Court for the District of New Jersey entered a final consent judgment against Joseph Taub, whom the SEC charged with orchestrating a market manipulation scheme. The SEC s complaint, filed on December 12, 2016 and amended on April 26, 2018, alleged that Taub engaged in a fraudulent market manipulation scheme, utilizing dozens of securities accounts at several brokerage firms to create the false appearance of trading interest and activity in particular exchange-traded securities, thereby enabling him to purchase stocks at artificially low prices and then quickly sell them at artificially high prices for substantial profits. The complaint further alleged that Taub took steps to conceal the trading scheme and supervised the manipulative trading of a co-defendant. In a parallel cri

Global Investment Strategy UK Ltd and John William Gunn (Release No LR-24996; Dec 23, 2020)

Litigation Release No. 24996 / December 23, 2020 Securities and Exchange Commission v. Global Investment Strategy UK Ltd. and John William Gunn, No. 1:20-cv-10838 (S.D.N.Y. filed December 22, 2020) The Securities and Exchange Commission today charged Global Investment Strategy UK Ltd. (GIS), a London, UK-based financial services firm, for clearing and settling billions of dollars of U.S. securities transactions without registering as a broker-dealer in violation of the federal securities laws. The SEC also charged John William Gunn, its founder and principal, with aiding and abetting those violations. According to the complaint, from at least 2015 through 2019, GIS-a financial firm located in the United Kingdom that has never been registered as a broker or dealer in the United States-provided clearance and settlement services to hundreds of U.S. customers for trades primarily between U.S. buyers and sellers and involving billions of dollars worth of securities. The complaint all

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