采摘樱桃Tag Archives — Investor Lawyers Blog

Strong Investment Management and Laurel Wealth Advisors Settle Cherry Picking Allegations

发表在：2019年9月30日 | byShepherd Smith Edwards & Kantas, LLP

在美国证bob200体育券交易委员会（SEC）fraud case against Strong Investment Management. The investment adviser, based in California, and its owner James Bronson are accused of running a cherry picking scam that harmed clients and went on for over four years. Now, they will pay $1.2M.

Strong has more than six dozen clients and Bronson had sole discretion regarding how to allocate trades that the firm made. The SEC brought its complaint against both of them early last year, with Bronson accused of using the investment adviser’s omnibus account to trade securities while delaying their allocations to different client accounts until he’d seen how the trades had performed throughout the day. Bronson would then allegedly “cherry pick” the trades by giving himself a disproportionate amount of the profitable trades while a similar disproportionate number of unprofitable ones were sent to clients. As a result, Bronson “reaped substantial profits” that he would not have otherwise.

布朗森和斯特朗还被指控以其形式歪曲了其分配和交易惯例，这是错误地指出，当交易被划分时，没有任何账目被偏爱。现在，他们承担近96.6万美元的货币责任和超过100,000美元的审判利息。他们必须支付184,767美元的民事罚款。

投资者欺诈: Steele Financial is Accused of Selling Over $13M in Risky Securities, NJ Broker Allegedly Cherry Picked Trades, and the SEC Files Charges in $27M Microcap Fraud

发表在：September 15, 2018 | byShepherd Smith Edwards & Kantas, LLP

Steele Financialis Accused of Investor Fraud

The US Securities and Exchange Commission has filed civil charges against investment advisory firm Steele Financial Inc. and its owner Tamara Steele. According to the regulator, they allegedly sold $13M of risky securities to over 120 advisory clients. A lot of these clients are teachers, ex-teachers, or other public education employees. The SEC contends that Steele and her investment advisory firm did not tell them that Steele Financial would be making up to 18% in commissions in sales.

根据委员会的说法投资咨询欺诈从12/2012到10/2016的投诉，Stele Financial和Steele售出了超过1500万美元的行为认可系统公司证券。bob200体育BRS是SEC过去负责欺诈的公司。同时，Stele和她的公司获得了超过250万美元的佣金。

投资者欺诈：强大的投资管理面临樱桃采摘的指控，250万美元的财务骗局导致定罪，并且一名前投资顾问被判处入狱时间

发表在：2018年2月22日 | byShepherd Smith Edwards & Kantas, LLP

SEC Accused Investment Adviser of Profiting from Cherry Picking

美国证券交易委bob200体育员会已针对总部位于加利福尼亚的投资顾问及其总裁/老板约瑟夫·B·布朗森（Joseph B. Bronson）提出了民事欺诈案。监管机构指责他们运行樱桃采摘骗局那欺骗了公司的客户。

委员会辩称，布朗森使用Strong的Omnibus帐户来交易证券，但要等待他们在将它们分发到某些客户帐户之前的一天的表现。bob200体育同时，据称，布朗森通过樱桃挑选交易来为客户赚取健康的利润。他被指控为自己提供有利可图的交易，同时向公司客户发送无利可图的交易。

The SEC’s complaint contends that in Forms ADV, Bronson and Strong misrepresented trading and allocation practices by falsely stating that every trade would be allocated according to the terms of pre-trade allocation statements with no preference granted to any account. Bronson’s brother, ex-Strong chief compliance officer John B. Engebreston, is accused of not fulfilling his job by failing to make sure that Strong’s policies and procedures for trade allocation were followed. He also is accused of “repeatedly” ignoring “red flags” when it came to Strong’s allocation practices.

bob200体育证券案件：Suntrust解决了不当的共同基金费用，以110万美元的价格收取，前莫根士丹利（Morgan Stanley）禁止他后来结婚的客户，并禁止两名RIA因樱桃而被禁止

发表在：2017年9月14日 | byShepherd Smith Edwards & Kantas, LLP

SEC收取Suntrust，收取超过110万美元的超额共同基金费用

美国证券交易委bob200体育员会已提起指控，指控SunTrust Investment Services从共同基金客户那里收取超过110万美元的不必要的费用。SunTrust Banks子公司将支付超过110万美元的罚款，以解决监管机构的民事指控。

根据监管机构的订单，如果可获得这些资金的价格较低的股份，SunTrust Investment Services不当推荐给客户的成本较高的共同股份。SEC表示，这违反了投资服务公司的信托义务，以对客户的最大利益采取行动。

投资者欺诈：马萨诸塞州的顾问在樱桃采摘骗局中被判刑，陪审团裁定印第安纳州被指控犯有22名客户的印第安纳州男子，被指控犯有Bilking EB-5移民计划投资者和假基金经理的律师，并将入狱

发表在：2017年6月23日 | byShepherd Smith Edwards & Kantas, LLP

Investment Advisory Firm Founder Gets 2-Year Prison Term, Will Pay $1.3M for Fraud
Michael J. Breton, a马萨诸塞州投资顾问，因跑步而被判处两年徒刑樱桃采摘骗局这使他能够bi养客户。战略资本管理的创始人布雷顿（Breton）承认自己为自己提供盈利的交易，同时为客户制造无利可图的交易。布雷顿已被命令向他们支付130万美元的赔偿金。

樱桃采摘计划持续了六年，使30名投资者吵架。根据监管机构和检察官的说法，当某些公司被计划宣布收益公告时，布雷顿将通过主帐户或通过Block Trading购买证券。bob200体育当收益新闻将提高股票价格时，布雷顿将保持交易。当收益公告导致股票的价格下跌时，
他会将这些交易交给客户。

Jury Convicts Indiana Investment Advisor of Securities Fraud
本周在匹兹堡，陪审团定罪的伯纳德·帕克（Bernard Parker）犯有邮件欺诈行为，bob200体育证券欺诈，以及提交虚假纳税申报表。帕克（Parker）是帕克金融服务公司（Parker Financial Services）的负责人，他被指控为超过120万美元的22个客户票，并通过不包括超过79万美元的收入来伪造他的美国纳税申报表。

SEC案件：花旗集团要为超额贷款客户支付1,830万美元，在130万美元的樱桃采摘骗局之后，战略资本管理被禁止，＆10家投资咨询公司和解涉及养老基金费用的付费违反费用

发表在：2017年1月27日 | byShepherd Smith Edwards & Kantas, LLP

花旗集团被指控向至少60个投资咨询客户收费
花旗集团全球市场（C）将支付1,830万美元来解决证券和交易委员会的指控，指bob200体育控公司遭受过多的客户和置换客户合同。根据监管机构的命令，与客户合同和其他文件中指出的费用相比，花旗集团没有确认计算机系统计算机系统中计算机率的准确性，至少有60,000名投资咨询客户的未经授权费用过高的费用。据称，即使客户暂停其帐户，该公司也收取了不当收取的费用。SEC表示，计费错误发生在15年的时间内。

监管机构还辩称，投资咨询公司无法找到约83,000个咨询合同。他们的缺席使花旗集团无法正确验证客户收费的费用是否与他们谈判的费用相同。

SEC认为，受影响的客户向花旗集团支付了约320万美元的超额费用。

bob200体育证券欺诈: Former California Financial Adviser Who Worked For Texas Brokerage Firm is Barred After Bilking Professional Athletes of $2M, FINRA Fines Allstate Financial Services $1M for Inadequate Supervision, and Former Registered Investment Adviser Settles Cherry Picking Scam for $328K

发表在：2016年12月20日 | byShepherd Smith Edwards & Kantas, LLP

Ex-Financial Adviser Who Worked for Texas-Based Firm is Barred by SEC After Defrauding Pro Athletes
前加利福尼亚财务顾问Ash Narayan受到美国证券交易委员会的禁止。bob200体育纳拉扬（Narayan）被指控从他代表他的职业运动员客户投资的公司秘密收取近200万美元，他同意不再与咨询或经纪公司联系，以解决监管机构的指控。

Narayan worked for Dallas firm RGT Wealth Advisors, but he was based in California as the managing director of its Irvine office. He also is accused of misrepresenting himself as a CPA and placing clients in unsuitable private investments. In October, the Certified Financial Planner Board of Standards issued a temporary suspension against him while an investigation was conducted into the allegations. RGT Wealth Advisers fired Narayan early this year.

According to the SEC, Narayan’s alleged fraud occurred between 2010 and 2016, during which time he directed $33M to a company that he was involved in and was in poor financial health. By settling, Narayan is not denying or admitting to the SEC charges.

bob200体育证券案件：总部位于夏威夷的投资顾问被指控进行樱桃挑选交易，经纪人下令为老年人的财务欺诈支付60万美元，而FINRA BARS前AXA顾问经纪人

发表在：2016年10月6日 | byShepherd Smith Edwards & Kantas, LLP

SEC收费夏威夷的误导客户和樱桃采摘的投资顾问

美国证券交易委员会bob200体育已针对总部位于夏威夷的Oracle Investment Research及其所有者Laurence I. Balter提起了民事诉讼。监管机构声称，投资顾问Cherry选择了自己的帐户盈利的交易。他还被指控是误导客户，包括老年人，关于他推荐的投资所涉及的风险以及他们将要收取的费用。

根据SEC执法部门的说法，Balter和Oracle Investment Research在Omnibus帐户中购买了期权和股票，但等待将交易分配到执行。然后，据称，他将把盈利的交易转移到他的帐户中，并将无利可图的交易转移到客户的帐户中。