SECURITIES AND EXCHANGE COMMISSION v. SMITH et al
| North Carolina Middle District Court | |
| Case #: | 1:20-mc-00017 |
| Case Filed: | Jul 02, 2020 |
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| Docket last updated: 9 hours ago |
| Monday, July 06, 2020 | ||
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misc
Receipt of Funds
Mon 07/06 4:04 PM
Receipt of Funds in the amount of $ $47.00. NCMD receipt number: 507995. (Hicks, Samantha) |
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| Thursday, July 02, 2020 | ||
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order
Order
Mon 07/06 4:02 PM
ORDER APPOINTING RECEIVER by the U.S. District Court, District of New Jersey, and has taken exclusive jurisdiction and possession of the Receivership Assets, including, but not limited to, assets of the following Defendants and Affiliated Entities: Broad Reach Capital, LP; Broad Reach Partners, LLC; Bristol Advisors, LLC; BA Smith & Associates LLC; Bristol Advisors LP; CV Brokerage, Inc; Clearview Distribution Services LLC; CV International Investments Limited; CV International Investments PLC; CV Investments LLC; CV Lending LLC; CV Minerals LLC; BD of Louisiana, LLC; TA I, LLC; FFCC Ventures LLC; Prico Market LLC; Gov Adv Funding LLC; Elm Street Investors LLC; Investment Consulting LLC; and Tempo Resources LLC; Brenda Smith; frozen accounts in the names of the following: Prophecy Alpha Fund LP; Raffle Trading LLC; Ardeleigh Investment Advisory Services, Ltd.; Taylor Trading LLC; Awooton Consulting; and Rybicki Capital Partners LLC and appoints Kevin D. Kent, Esq., of the firm Conrad O'Brien filed on 6/29/2020. (Original filed in the District of New Jersey) (Hicks, Samantha) |
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cmp
Complaint
Mon 07/06 3:42 PM
COMPLAINT FOR VIOLATIONS OF THE FEDERAL SECURITIES LAWS against All Defendants filed by SECURITIES AND EXCHANGE COMMISSION. (Original filed in the District of New Jersey) (Hicks, Samantha) |
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Att: 1
Exhibit B,
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Att: 2
Exhibit C,
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Att: 3
Notice of Filing,
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Att: 4
Civil Cover Sheet
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