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UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF FLORIDA - page 13 / 18

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COUNT III

Fraud In Violation Of Section 10(b) Of The Exchange Act And Rule 10b-5 Promulgated Thereunder

(Against all Defendants)

  • 46.

    The Commission repeats and realleges paragraphs 1 through 39 of its Complaint.

  • 47.

    The Defendants have directly and indirectly, by use of the means and

instrumentality of interstate commerce, and of the mails in connection with the purchase or sale

of the securities, as described in this Complaint, knowingly, willfully or recklessly: (a) employed

devices, schemes or artifices to defraud; (b) made untrue statements of material facts and omitted

to state material facts necessary in order to make the statements made, in the light of the

circumstances under which they were made, not misleading; and/or (c) engaged in acts, practices

and courses of business which have operated as a fraud upon the purchasers of such securities.

48.

By reason of the foregoing, the Defendants have directly or indirectly violated

and, unless enjoined, will continue to violate Section 10(b) of the Exchange Act, 15 U.S.C. §

78j(b), and Rule 10b-5, 17 C.F.R. § 240.

COUNT IV

Unregistered Broker-Dealer in Violation of Section 15(a)(1) of the Exchange Act

(Against Defendants Cornide and de la Riva)

  • 49.

    The Commission repeats and realleges paragraphs 1 through 39 of its Complaint.

  • 50.

    Defendants Cornide and de la Riva, directly and indirectly, by use of the mails or

any means or instrumentality of interstate commerce, while acting as brokers or dealers engaged

in the business of effecting transactions in securities for the accounts of others, have been

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