United States v. Roger Knox, United States v. Richard Targett-Adams

The government alleges that the defendants in the above-referenced actions participated in a conspiracy to commit securities fraud in which ownership and control of dozens of publicly traded companies was disguised so that, among other things, criminal control groups could engage in pump-and-dump schemes and other forms of market manipulation in the companies’ microcap securities. These microcap securities, also known as “penny stocks,” primarily traded on the over the counter market.

The below chart lists the microcap securities that the government alleges were involved in the securities fraud conspiracy. If you traded in one or more of the below-listed securities during the time period indicated and believe you might be a victim in this fraud scheme, please send notice to the government via the following email: USAMA.VictimAssistance@usdoj.gov. In your email, please indicate the security you traded and the transaction details for your trade(s), to include the date(s), the number of shares, the price, whether you bought or sold, and your assessment of your gains or losses. Please also indicate whether you have any supporting documents and a victim assistance specialist will assist you in providing them in a secure manner.

Case Status

Roger Knox Docket: 18-CR-10385

The defendant is rescheduled for sentencing to August 11, 2021 at 3:00 PM

Richard Targett-Adams Docket 19-CR-10046

The defendants sentencing hearing has been cancelled.  A new date has not been set at this time.

Exhibit A