发表的文章Transamerica

秒Obtains Default Judgment Against Former Cincinnati, Ohio Registered Representative

美国证券bob200体育交易委员会(SEC)已对斯科特·艾伦·弗里斯(Scott Allen Fries)作出默认判决。从2014年到2019年,他是Transamerica财务顾问的注册代表。

监管机构的修订投诉指控这位前经纪人和投资顾问从至少十位投资者(包括经纪公司的客户)筹集了大约45.8万美元,并使用这些资金来支付其个人费用。弗里斯被禁止进一步违反欺诈行为,必须支付$ 428,334.53的订单,民事罚款为208,500美元,预先判断的利息为110,548.02美元。

FINRA和解包括向2400多个客户赔偿

在与金融行业监管机构(FINRA)达成的一项协议中,Transamerica财务顾问同意支付880万美元,以支付共同基金,可变年金(VAS)和529个储蓄计划的不合适的销售额。

其中440万美元是罚款,$4.4M is restitution to about 2,400 customers受到财务损害的人。该公司与FINRA定居,但没有否认或承认其发现。

Four Transamerica entities have settled US Securities and Exchange Charges accusing them of不当行为涉及错误的投资模型。总体而言,该实体,AEGON USA Investment Management LLC(AUIM),其附属经纪公司Transamerica Capital Inc.及其附属投资顾问Transamerica Financiala Advisors Inc.和Transamerica Asset Management Inc.,将向零售投资者支付零售投资者受到影响。但是,这些实体并没有否认或承认监管机构的发现。

The SEC’s order contends that investors placed billions of dollars into mutual funds and strategies that employed flawed investment models that AUIM developed without knowing they had errors. AUIM’s affiliated investment advisers and broker-dealer touted the quantitative models upon which their investment decisions would be made. Between July ’11 and June ’15, they purportedly offered, sold, and oversaw 15 mutual funds, variable annuity investment portfolios, variable life insurance investment portfolios, mutual funds, and separately management account strategies that were based on these quantitative models.

Unfortunately, contends the SEC’s order, the models were created by one junior analyst who was inexperienced. Not only that, but there were a number of errors in the models, which failed to operate as promised. Moreover, said the regulator, the Transamerica entities launched the Strategies and Products without first verifying that the models worked as they were meant to and without disclosing any risks identified with the models.

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