Yida Gao and Shima Capital Management LLC
No reply on file from Yida Gao and Shima Capital Management LLC on this matter.
Claims entered
No claim has been entered on this docket.
1 filed · 1 on the record. The chronology below carries every filing, docket event and outcome — open a row there for its source.
Open to posting — anyone may add to this file, subject to the review queue.
The chronology
Gov, Institution and Public name who produced a document; Event marks a thing that happened, not a document.
1 entry of another class is hidden by this filter — show every class.
By when it happened. Rows with no date on their face are shown as undated, not guessed. Hover, focus or tap a row for its full detail.
Opened at stage filed
No crime on the record yet.
No statutes on the record yet.
"District Court for the Northern District of California, charges Gao and Shima Capital with violating Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Section 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder."
"Yida Gao and Shima Capital Management LLC, No. 3:25-cv-10200-SK (N.D."
No parties on the record yet.
"Gao consented to a bifurcated settlement permanently enjoining him from future violations of the charged provisions; ordering him to pay disgorgement of $3,923,757.33, with prejudgment interest of $304,622.67 (to be offset by any restitution ordered in United States v."