投资者律师博客Dallas Financial Adviser Indicted in $3M Texas Investment Fraud
Carlton Chadbourne Sayers has been indictment in district court. The 51-year-old is accused ofTexas investment fraud和he is charged with mail fraud, wire fraud, aggravated identity fraud, and bank fraud. The scam caused dozens of investors to lose over $3M.
根据起诉书，据称，塞耶斯试图通过要求他们向他贷款或投资惠灵顿和富兰克林金融的欺诈受害者。据称，他促进了他们的资金将用于购买或翻新住宅不动产，并将通过这些物业的利息证券化。他还被指控承诺有大量回报率。
Instead, states the indictment, rather than invest the funds the way he represented they would be invested, Sayers failed to secure interests in actual property or, in instances when he and Wellington & Franklin Financial actually owned a residential property, it was one that had already been bought with a pre-existing loan from an experienced investor and to whom the property was already acting as a security. Sayers is accused of bilking dozens of inexperienced investors who thought they were getting involved in secure investments that were giving them an opportunity to make higher returns than they would have with other investments.
不合适的投资
Not every investment is suitable for all investors. Some investments are more appropriate for experienced/sophisticated investors, wealthy investors, institutional clients, or other types of investors that also can take on high-risks. For many retail investors, they cannot afford to lose a lot of money on investing and to sustain such losses may lead to devastating consequences.
Senior Financial Fraud
老年投资者是另一组投资者，他们应该小心承担过多的风险或参与不合适的投资。本周在马萨诸塞州，英联邦威廉·加尔文（William Galvin）的秘书命令一家总部位于德克萨斯州的经纪公司向他所在州的老年人出售不合适的投资支付10万美元。
The broker-dealer, Investment Professional Inc., admitted to the facts noted in the regulator’s the order. It now must pay restitution to four senior investors.
According to Galvin’s office, the Texas-based broker-dealer engaged in high-pressure sales contests and sold unsuitable investment products to senior depositors at community banks in Massachusetts. The partnerships between the San Antonio-based broker-dealer and the banks and its depository customers were used to give the firm and the banks additional revenue.
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Dallas Man Indicted in East Texas Investment Fraud Scheme, Justice.gov, March 22, 2017