Securities Fraud: FINRA Bars Ex-UBS Broker, Imprisoned Former LPL Financial Broker Faces SEC Charges, and SEC Refiles Unregistered Securities Fraud Case

Former UBS Broker is Barred form the Securities Industry
罗纳德·布罗德斯通（Ronald Broadstone），前瑞银(UBS)broker, has agreed to be barred from the securities industry. The Financial Industry Regulatory Authority is the one that brought the ban, accusing him of misusing and misappropriating customer monies, settling a customer case without telling his firm, and taking part in unauthorized trading.

According to the self-regulatory organization, Broadstone’s attorney testified that the former broker would not respond to more questions. His refusal to speak violated FINRA rule 8210.

SEC Charges Ex-LPL Financial Representative of Bilking 23 Investors
The US Securities and Exchange Commission has charged Thomas Edward Andrews, a former LPL Financial (LPLA) representative, and his personal assistant Scott Walter Christensen withsecurities fraud. The two men are accused of bilking investors by getting them to liquidate investments and invest their money in “the Lincoln “ and “the Jackson Trust.”

实际上，当委员会说投资是虚假的，安德鲁斯保证至少5％或以上的年收益至少为5％。取而代之的是，安德鲁斯用投资者的资金来支付自己的费用。克里斯滕森（Christensen）被指控帮助安德鲁斯（Andrews）实施欺诈行为。SEC说，安德鲁斯挪用超过800万美元，并向克里斯滕森支付了100万美元的帮助。

民事指控并不是两个人面临的全部。去年12月，安德鲁斯对邮件欺诈和securities fraud，他被判入狱97个月。安德鲁斯被告知要完全赔偿。

Earlier that year, Christensen pleaded guilty to making false statements to a federal agent and also to securities fraud. He was ordered to repay his ill-gotten gains and serve a year in prison.

Man Accused of Making Fraudulent Unregistered Securities Sales Must Pay Full Restitution
上个月，在加利福尼亚州的一个地方法院，SEC提出了针对迈克尔·安德烈·琼斯（Michael Andre Jones）的定居民事执法案，指责他欺诈性地发行和销售未注册的证券。bob200体育这与委员会去年在联邦法院对他提起的同一行动相同。该行动在不偏见的情况下被驳回。

The Commission accused Jones of selling over $700K of convertible promissory notes to 20 investors in a dozen states, making reckless fraudulent statements, and running a scam to bilk investors.

根据投诉，期票指出他出售的是未注册的证券，但不能免于向美国证券交易委员会注册。bob200体育监管机构还指责琼斯在进行产品时充当未注册的经纪人。

Jones has settled the case and will pay over $709K of disgorgement, a penalty of the equivalent amount, and more than $77K of prejudgment interest.

bob200体育证券欺诈案件
AtShepherd Smith Edwards and Kantas, LTD LLP, oursecurities fraud lawyerswork with investors throughout the US, as well as investors abroad with claims against financial firms and/or representatives based in the US. We are here to try to help our clients recoup their losses sustained because of the negligence, carelessness, or wrongdoing of brokers, investment advisers, broker-dealers, and other members of the securities industry, as well as those claiming to be registered within the industry but who are are not. Over the years, we have successfully helped thousands of investors.

If you are a retail investor, an senior investor, a high net worth investor, a novice investor, a sophisticated investor, and/or an institutional investor and you would like to determined whether you have grounds for a broker fraud claim, contact us today.

Finra bars former UBS broker，InvestmentNews，2017年4月27日

SEC向两名欺骗23个投资者指控两个人，SEC，2017年4月26日

SEC Refiles Action向迈克尔·安德烈·琼斯（Michael Andre Jones）收取欺诈性销售和未注册证券的销售bob200体育, SEC, April 27, 2017