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Axius Inc.: U.S. SECURITIES AND EXCHANGE COMMISSION
Litigation Release No. 22802 / September 19, 2013
Securities and Exchange Commission v. Axius, Inc., Roland Kaufmann, and Jean-Pierre Neuhaus, Civil Action No. 12 Civ. 3338 (JG) (E.D.N.Y.)
Court Enters Final Judgment by Consent Against SEC Defendant Roland Kaufmann:
The Securities and Exchange Commission announced that on September 18, 2013, the Honorable John Gleeson, United States District Court Judge for the Eastern District of New York, entered a final judgment by consent against Defendant Roland Kaufmann. The final judgment permanently enjoins Kaufmann from future violations of Sections 17(a) of the Securities Act of 1933, Sections 9(a)(1) and 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The final judgment also (i) orders Kaufmann to pay total combined disgorgement and prejudgment interest of $50,368.17, which is deemed satisfied by the forfeiture order entered against him in a parallel criminal action, (ii) bars Kaufmann from participating in any offering of penny stock, and (iii) prohibits Kaufmann from acting as an officer or director of a public company.
On July 5, 2012, the SEC filed its complaint against Axius, Inc., Jean-Pierre Neuhaus, and Kaufmann, alleging that from at least January 2012, they engaged in a fraudulent broker bribery scheme designed to manipulate the market for the common stock of Axius, Inc. The complaint alleged that they engaged in an undisclosed kickback arrangement with an individual who claimed to represent a group of registered representatives with trading discretion over the accounts of wealthy customers.
The Commission acknowledges assistance provided by the Swiss Financial Market Supervisory Authority and the Ontario Securities Commission in this matter.
For further information, please see Litigation Release Number 22410 (July 6, 2012).
http://www.sec.gov/litigation/litreleases/2013/lr22802.htm
SEC Charges Company, CEO, and Stock Promoter With Market Manipulation
http://www.sec.gov/litigation/litreleases/2012/lr22410.htm
U.S. SECURITIES AND EXCHANGE COMMISSION
Litigation Release No. 22410 / July 6, 2012
SECURITIES AND EXCHANGE COMMISSION v. AXIUS, INC., ROLAND KAUFMANN, and JEAN-PIERRE NEUHAUS, Civil Action No. 12 Civ. 3888 (CBA) (EDNY)
The Securities and Exchange Commission announced today that it charged Axius, Inc., its President and CEO, Roland Kaufmann, and stock promoter Jean-Pierre Neuhaus with engaging in a fraudulent broker bribery scheme designed to manipulate the market for Axius’ common stock. The Commission’s complaint, filed in federal court in Brooklyn, alleges that beginning in at least January 2012, Kaufmann and Neuhaus engaged in an undisclosed kickback arrangement with an individual (“Individual A”) who claimed to represent a group of registered representatives with trading discretion over the accounts of wealthy customers. Kaufmann and Neuhaus promised to pay kickbacks of between 26% and 28% to Individual A and the registered representatives he purported to represent in exchange for the purchase of up to $5 million of Axius stock through the customers’ accounts.
The complaint further alleges that on February 16 and 17, 2012, Kaufmann instructed Individual A to purchase approximately 14,000 shares of Axius stock for a total of approximately $49,000 through matched trades using detailed instructions concerning the size, price and timing of the purchase orders. Thereafter, Kaufmann paid Individual A bribes of approximately $13,700.
The complaint charges Neuhaus, Kaufmann, and Axius with violating Section 17(a)(1) and (a)(3) of the Securities Act of 1933 and Sections 9(a)(1) and 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5(a) and (c). The Commission seeks permanent injunctive relief, disgorgement of ill-gotten gains, plus pre-judgment interest, and civil penalties from all defendants, an order prohibiting Neuhaus and Kaufmann from participating in any offering of penny stock, and an order prohibiting Kaufmann from serving as an officer or director of a public company.
The Commission acknowledges assistance provided by the U.S. Attorney’s Office for the Eastern District of New York, and the Federal Bureau of Investigation in this matter.
SEC COMPLAINT:
http://www.sec.gov/litigation/complaints/2012/comp22410.pdf
Re--chitosan--
Low molecular weight chitosan nanoparticulate system at low N:P ratio for nontoxic polynucleotide delivery
Original Research
Authors: Alameh M, DeJesus D, Jean M, Darras V, Thibault M, Lavertu M, Buschmann MD, Merzouki A
Published Date March 2012 Volume 2012:7 Pages 1399 - 1414
DOI: http://dx.doi.org/10.2147/IJN.S26571
Mohamad Alameh, Diogo DeJesus, Myriam Jean, Vincent Darras, Marc Thibault, Marc Lavertu, Michael D Buschmann, Abderrazzak Merzouki
Institute of Biomedical Engineering, Department of Chemical Engineering, École Polytechnique, Montréal, Canada
Abstract: Chitosan, a natural polymer, is a promising system for the therapeutic delivery of both plasmid DNA and synthetic small interfering RNA. Reports attempting to identify the optimal parameters of chitosan for synthetic small interfering RNA delivery were inconclusive with high molecular weight at high amine-to-phosphate (N:P) ratios apparently required for efficient transfection. Here we show, for the first time, that low molecular weight chitosan (LMW-CS) formulations at low N:P ratios are suitable for the in vitro delivery of small interfering RNA. LMW-CS nanoparticles at low N:P ratios were positively charged (?-potential ~20 mV) with an average size below 100 nm as demonstrated by dynamic light scattering and environmental scanning electron microscopy, respectively. Nanoparticles were spherical, a shape promoting decreased cytotoxicity and enhanced cellular uptake. Nanoparticle stability was effective for at least 20 hours at N:P ratios above two in a slightly acidic pH of 6.5. At a higher basic pH of 8, these nanoparticles were unravelled due to chitosan neutralization, exposing their polynucleotide cargo. Cellular uptake ranged from 50% to 95% in six different cell lines as measured by cytometry. Increasing chitosan molecular weight improved nanoparticle stability as well as the ability of nanoparticles to protect the oligonucleotide cargo from nucleases at supraphysiological concentrations. The highest knockdown efficiency was obtained with the specific formulation 92-10-5 that combines sufficient nuclease protection with effective intracellular release. This system attained >70% knockdown of the messenger RNA, similar to commercially available lipoplexes, without apparent cytotoxicity. Contrary to previous reports, our data demonstrate that LMW-CS at low N:P ratios are efficient and nontoxic polynucleotide delivery systems capable of transfecting a plethora of cell lines.
Keywords: siRNA, nonviral delivery system, chitosan, gene silencing, RecQL1, ApoB
http://www.dovepress.com/getfile.php?fileID=12269
http://www.dovepress.com/articles.php?article_id=9463
03/08/2012 1 SEALED COMPLAINT and affidavit in support of arrest warrants as to Jean-Pierre Neuhaus (1), Roland Kaufmann (2). (Yuen, Sui-May) (Entered: 03/08/2012)
Doc 1 PDF file
https://viewer.zoho.com/docs/mCbabV
03/09/2012 4 Order to Unseal Case
Pacer update 15 Mar 12 USA v. Neuhaus et al CASE #: 1:12-mj-00237-RML-1
https://ecf.nyed.uscourts.gov/cgi-bin/iquery.pl
U.S. District Court
Eastern District of New York (Brooklyn)
CRIMINAL DOCKET FOR CASE #: 1:12-mj-00237-RML-1
Case title: USA v. Neuhaus et al
Date Filed: 03/08/2012
Assigned to: Magistrate Judge Robert M. Levy
Defendant (1)
Jean-Pierre Neuhaus
represented by Len H. Kamdang
Federal Defenders of New York Inc.
One Pierrepont Plaza, 16th Floor
Brooklyn, NY 11201
(718)407-7414
Fax: (718)855-0760
Email: len_kamdang@fd.org
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Designation: Public Defender or Community Defender Appointment
Pending Counts
Disposition
None
Highest Offense Level (Opening)
None
Terminated Counts
Disposition
None
Highest Offense Level (Terminated)
None
Complaints
Disposition
18 USC 371
Plaintiff
USA
represented by Shannon Cassandra Jones
United States Attorneys Office
Criminal Division
Eastern District of New York
271 Cadman Plaza East
Brooklyn, NY 11201-1820
(718) 254-6379
Fax: (718) 254-6481
Email: shannon.jones@usdoj.gov
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Date Filed # Docket Text
03/14/2012 11 Arrest Warrant Returned Executed on 3/14/12 in case as to Jean-Pierre Neuhaus. (Chin, Felix) (Entered: 03/15/2012)
03/09/2012 7 CJA 23 Financial Affidavit by Jean-Pierre Neuhaus (Chin, Felix) (Entered: 03/12/2012)
03/09/2012 6 ORDER OF DETENTION as to Jean-Pierre Neuhaus. Ordered by Magistrate Judge James Orenstein on 3/9/12. (Chin, Felix) (Entered: 03/12/2012)
03/09/2012 5 Minute Entry for proceedings held before Magistrate Judge James Orenstein:Arraignment as to Jean-Pierre Neuhaus (1) Count Complaint held on 3/9/2012, Attorney Appointment Hearing as to Jean-Pierre Neuhaus held on 3/9/2012, Initial Appearance as to Jean-Pierre Neuhaus held on 3/9/2012. AUSA Shannon Jones present. Dft present w/federal defender Len Kamdang. Dft arraigned on the complaint. Preliminary hearing waived. Order of detention entered. (Log # 3/9/12 3:35-3:39.) (Chin, Felix) (Entered: 03/12/2012)
03/09/2012 4 Order to Unseal Case as to Jean-Pierre Neuhaus, Roland Kaufmann. Ordered by Magistrate Judge James Orenstein on 3/9/12. (Chin, Felix) (Entered: 03/12/2012)
03/08/2012 1 SEALED COMPLAINT and affidavit in support of arrest warrants as to Jean-Pierre Neuhaus (1), Roland Kaufmann (2). (Yuen, Sui-May) (Entered: 03/08/2012)
https://ecf.nyed.uscourts.gov/cgi-bin/iquery.pl
Kaufmann, who controls nearly all of Axius’ stock, wanted to raise roughly $5 million by selling his shares to a network of corrupt brokers. The brokers would buy the stock over a period of months using their clients’ money, and promise to not to sell the stock for 12 months, the feds said.
In exchange, the brokers would get kickbacks of up to 28 percent of the total purchase price. Axius’ share owners would then benefit as other unsuspecting investors piled in, thus driving the stock up further.
kwhitehouse@nypost.com
United States Court of Appeals, Second Circuit. - 445 F.3d 105
Argued: September 9, 2005 Decided: April 10, 2006
445 F.3d 105: Securities and Exchange Commission, Plaintiff-appellee, v. Thomas Edward Cavanagh, U.S. Milestone, Frank Nicolois, Karen Cavanagh, Beverly Nicolois, Cromlix, Llc, and Thomas A. Hangtes, Defendants-appellants,electro-optical System Corp., George Chachas, Thomas R. Brooksbank, the Estate of William N. Levy, Deceased, by and Through His Executrix, Marlene Levy, Optimum Fund, Agira Trading, Customer Safety, S.l., Cambiares, S.l., Construcciones Solariegas, S.l., Cosimo Tacopino, Maier S. Lehman, James E. Franklin, Donald & Co. Securities Inc., Shbl Associates Europe Ltd., Joseph Falco, Martin Hodas, Bernd Stieghorst, Erin Martin, Ana P. Lopez, Tamar Lehman, Metropolitan Trade Finance Ltd., Tim Timlin, Carmillo Monastra, Eugene Stricker, Arthur De Acutis, Jean-pierre Neuhaus, Kenneth C. Kehoe, Antonio v. Borotto, Anthony S. Luttenberger, Shlomie Zarchy, Florida Pension Fund Inc., Inversoa Dactiler, S.l., Edward C. Kaufer, the Owners of Account No. 13601, and Baja Ltd., Defendants
http://law.justia.com/cases/federal/appellate-courts/F3/445/105/602695/
Nano rescues skin: Shrimp shell nanotech for wound healing and anti-aging face cream
[There's money in wrinkles!]
March 16, 2012
Nanoparticles containing chitosan have been shown to have effective antimicrobial activity against Staphylococcus saprophyticus and Escherichia coli. The materials could be used as a protective wound-healing material to avoid opportunistic infection as well as working to facilitate wound healing.
Chitosan is a natural, non-toxic and biodegradable, polysaccharide readily obtained from chitin, the main component of the shells of shrimp, lobster and the beak of the octopus and squid. Its antimicrobial activity is well known and has been exploited in dentistry to prevent caries and as preservative applications in food packaging. It has even been tested as an additive for antimicrobial textiles used in clothing for healthcare and other workers.
Now, Mihaela Leonida of Fairleigh Dickinson University, in Teaneck, New Jersey and colleagues writing in the International Journal of Nano and Biomaterials describe how they have prepared nanoparticles of chitosan that could have potential in preventing infection in wounds as well as enhancing the wound-healing process itself by stimulating skin cell growth.
The team made their chitosan nanoparticles (CNP) using an ionic gelation process with sodium tripolyphosphate. This process involves the formation of bonds between polymers strands, a so-called cross-linking process. Conducted in these conditions it precludes the need for complex preparative chemistry or toxic solvents. CNP can also be made in the presence of copper and silver ions, known antimicrobial agents. The researchers' preliminary tests show the composite materials to have enhanced activity against two representative types of bacteria.
Understanding the mechanism of inhibition of bacteria by these particles may lead to the preparation of more effective antibacterial agents. The team has also demonstrated that the CNP have skin regenerative properties in tests on skin cell fibroblasts and keratinocytes, in the laboratory, which might even have implications for anti-aging skin care products.
Provided by Inderscience Publishers
http://www.physorg.com/news/2012-03-nano-skin-shrimp-shell-nanotech.html
Fed sting nabs Swiss 'pump-and-dump' financier
By KAJA WHITEHOUSE and MITCHEL MADDUX
Last Updated: 11:01 AM, March 16, 2012
Posted: 11:52 PM, March 15, 2012
http://www.nypost.com/p/news/business/hole_in_their_game_oiJ3mdJOVrOKwRdW3LrRJK
EXCLUSIVE
An alleged pump-and-dump artist and a cohort were arrested on a Midtown Manhattan street last week in a case that resembled an international cat-and-mouse game that could have been ripped from a spy thriller.
An undercover FBI agent, posing as a middleman with access to crooked stock brokers, coaxed the alleged pump-and-dump financier, Jean-Pierre Neuhaus, from his home in Switzerland to the Big Apple to finalize the deal, The Post has learned.
“I am not so comfortable in the States because in ’98 I was a witness in a stock thing,” Neuhaus, 55, told the undercover fed in a phone call on Jan. 26, according to a recently unsealed court document.
Neuhaus’ fears were spot on.
The g-man convinced him to fly to New York to close the stock scam, and the three, including Neuhaus’ cohort and pal, Roland Kaufmann, planned a lunch meeting that day in Manhattan. FBI agents then swooped in and arrested the pair, court papers show.
Neuhaus and Kaufmann, the CEO of a shell company, Axius Inc., based in Dubai, were hoping to unload up to $5 million in worthless stock on unsuspecting US investors.
But they were caught before they ever got the chance to seal the deal — thanks to the FBI sting operation.
The dramatic arrest appears to be part of a wider probe by the Department of Justice together with Brooklyn federal prosecutors to crack down on slimy stock manipulators, sources said.
Neuhaus and Kaufmann, both Swiss nationals, were cuffed near the famous Carlyle Hotel on 76th Street.
Neuhaus remains behind bars at Brooklyn’s Metropolitan Detention Center as does Kaufmann, who was granted $2.5 million bail on Wednesday but has yet to come up with the money.
Neuhaus’ reluctance to travel to the US appears to be related to a 2000 incident in which he was forced to pay the Securities and Exchange Commission more than $570,000 for an earlier shady stock deal.
Neuhaus was also invested in SpongeTech, a massive penny-stock scam that cheated hundreds of investors, including hedge fund Pike Capital, and more than a dozen high-profile sports venues out of advertising dollars, sources said.
“My client did nothing wrong other than to innocently allow himself to be trapped,” said Neuhaus’ lawyer, Paul Batista, who called the sting “disturbing and unprecedented conduct by the prosecution.”
Kaufmann’s lawyer, Eric Snyder, declined to comment.
Axius, which is listed on the pink sheets but rarely trades, is a shell company that lost $624,458 last year on sales of $7,837, SEC filings show.
Its auditor recently expressed “substantial doubt” about Axius’ ability to stay in business.
Kaufmann, who controls nearly all of Axius’ stock, wanted to raise roughly $5 million by selling his shares to a network of corrupt brokers. The brokers would buy the stock over a period of months using their clients’ money, and promise to not to sell the stock for 12 months, the feds said.
In exchange, the brokers would get kickbacks of up to 28 percent of the total purchase price. Axius’ share owners would then benefit as other unsuspecting investors piled in, thus driving the stock up further.
kwhitehouse@nypost.com
Read more: http://www.nypost.com/p/news/business/hole_in_their_game_oiJ3mdJOVrOKwRdW3LrRJK#ixzz1pIIkHfPl
Roland Kaufman - President, CEO and Director
Item 3.02 Unregistered Sales of Equity Securities
On or about March 1, 2012, AXIUS INC. (hereinafter the “Company”) in accordance with Board of Directors resolution dated January 25, 2012 issued an aggregate of 250,000 shares of its common stock to its President Roland Kaufman at $.10 per share. No underwriter was involved in this transaction.
The issuance of such shares was exempt from registration in accordance with Regulation S of the Securities Act of 1933 as a transaction by an Issuer not involved in a public offering.
The Company is not aware of any arrangements which may at a subsequent date, result in a change in control.
There is no new material relationship between the Company or its affiliates and any of the parties other than as indicated herein or in the Company’s SEC filings.
Item 9.01 Financial Statements and Exhibits
(c)Exhibits – 10.1 Private Placement Subscription Agreement
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
AXIUS INC.
/s/ Roland Kaufman
Roland Kaufman
President, CEO and Director
Date: March 8, 2012
http://www.sec.gov/Archives/edgar/data/1415935/000107878212000667/f8k030912_8k.htm
Axius Inc. CIK#: 0001415935 (see all company filings)
http://www.sec.gov/cgi-bin/browse-edgar?company=Axius&match=&CIK=&filenum=&State=&Country=&SIC=&owner=exclude&Find=Find+Companies&action=getcompany
Neuhaus and Kaufmann, the CEO of a shell company, Axius Inc., based in Dubai, were hoping to unload up to $5 million in worthless stock on unsuspecting US investors.
But they were caught before they ever got the chance to seal the deal — thanks to the FBI sting operation.
Fed sting nabs Swiss 'pump-and-dump' financier
By KAJA WHITEHOUSE and MITCHEL MADDUX
Last Updated: 11:01 AM, March 16, 2012
Posted: 11:52 PM, March 15, 2012
http://www.nypost.com/p/news/business/hole_in_their_game_oiJ3mdJOVrOKwRdW3LrRJK
7/29/11 10:1 stock split!
http://www.otcmarkets.com/edgar/GetFilingHtml?FilingID=8065022
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