SEC says brokerage accounts hijacked for $1.3m pump-and-dump scam
The SEC charges against the group include violations of the anti-fraud and beneficial ownership reporting provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934. It also seeks the return of ill-gotten gains plus interest, penalties, bars, and other equitable relief.
Jeffrey Cox, 56, who lives in Calgary, Alberta, Canada. He served as president and CEO of First Calgary Capital, which offered"investor relations" services and"awareness" campaigns for microcap companies.H.E. Capital, which is based in the Dominican Republic. Another defendant, Richard Smith, is H.E. Capital's co-founding director and was its 50 percent owner during the relevant periods. The SEC also believes Smith's son Christopher Smith was H.E.
Christophe Merani, 31, who lives in Glendale Heights, Illinois and is an associate of Sewell, who worked with David Wong. POP Holdings is a privately held Nevis entity based in the Dominican Republic and owned by Christoper Smith, who served as its president and his father, Richard Smith, was the firm's secretary. Meanwhile, Seeley, we're told, ran the day-to-day operations.
Breanne Wong, 33, is a Canadian citizen who lives in Panama and Vancouver, BC, Canada. She formerly was a stockbroker for a Panamanian brokerage firm.
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