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by Mike Caswell

The U.S. Securities and Exchange Commission has won a court order as part of its effort to collect judgments as high as $14-million that it won against three entities owned by Roger "Rocket" Knox, the U.K. man who helped multiple pump-and-dumps, including at least four linked to Vancouver. (All figures are in U.S. dollars.) The SEC said that Mr. Knox ran an offshore platform that allowed insiders to secretly hold shares. In doing so, he facilitated stock market schemes that generated as much as $150-million in gains, according to the SEC.

The case against Mr. Knox is mostly concluded, the SEC having previously won judgments again him and three entities that he controls, with those judgments including penalties as high as $14-million and a permanent ban for Mr. Knox. One matter remains, however, with that being the collection of the monetary portion of those judgments. To that end, the SEC recently learned about several accounts at TD Bank associated with Mr. Knox that held a combined $442,607.

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