抵押公司类别档案 - 投资欺诈律师出版的投资者律师博客 - 牧羊人史密斯·爱德华兹（Smith Edwards）和坎塔斯（LLP）

抵押公司总裁被控欺骗金妮·梅（Ginnie Mae）

发表在：2016年8月19日 | byShepherd Smith Edwards & Kantas, LLP

U.S. prosecutors are charging Robert Pena with fraud. Pena, who is the founder and president of Mortgage Security— a mortgage company that is no longer in operation—was indicted on wire fraud and conspiracy charges.

法院文件指出，抵押贷款安全与政府国家抵押协会合同，也称为Ginnie Mae。它的工作是汇集合格的住宅抵押贷款，并出售吉尼·梅（Ginnie Mae）支持投资者的抵押贷款。抵押保证金还认为贷款服务，包括收取付款以及借款人的利息（除了贷款还清），并将金钱投入了金妮·梅（Ginnie Mae）在信托基金中所持的帐户中。这些资金最终将向投资者交给投资者。

但是，据称，起诉书从2011年开始，据称，佩纳开始将借款人发送给抵押贷款安全的资金，而无需Ginnie Mae的知识。据称，他将这笔钱用于商业和个人支出，最终赚了近300万美元。据称，他试图通过虚假的报道掩盖他的骗局，该报告向金妮发出了有关贷款的骗局。Ginnie Mae最终不得不向投资者付款，因为它保证了他们的投资。

bob200体育证券欺诈: SEC Charges Unregistered California Man with Fraud, FINRA Bars Two Brokers, Second Scam Lands Man in Jail Again

发表在：2016年2月17日 | byShepherd Smith Edwards & Kantas, LLP

SEC文件收费190万美元经纪人骗局
A California man is facing Securities and Exchange Commission charges. The regulator is accusing Gregory Ruehle of fraudulently selling purported stock in a medical device company and keeping investors’ money. The unregistered broker purportedly raised about $1.9M from over 100 investors but did not transfer or deliver the securities that they purchased to them. Meantime, Ruehle is said to have used the funds to cover his personal spending and pay off gambling debts.

根据SEC的说法，鲁伊（Ruehle）于2012年开始抚摸投资者。据称，他向明尼苏达州和加利福尼亚州的投资者歪曲了他将向他们出售他在ICB International Inc.拥有的证券，他曾是他的前顾问。bob200体育

Instead, said the regulator, Ruehle sold investors more securities than what he owned and he failed to tell them that the securities that belonged to him were not transferrable. Ruehle is accused of generating fake documents that he claimed came from the company and issuing bogus company stock certificates to investors, along with a letter that falsely stated that the stock had been transferred to them.

SEC希望永久禁令，诉讼，审判利息和针对Ruehle的处罚。在美国检察官办公室为加利福尼亚南部地区提出的平行案件中，未注册的经纪人现在也是刑事指控的主题。

FINRA禁止两名男子对冲基金欺诈
在其他经纪新闻中，金融行业监管局宣布，它将禁止经纪人沃尔特·格伦达（Walter F.bob200体育行业酒吧是用于涉及出售威望财富管理基金LP的欺诈行为，该基金是对冲基金。
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Goldman to Buy Back $3.15B in RMBS to Resolve FHFA Claims

发表在：2014年8月26日 | byShepherd Smith Edwards & Kantas, LLP

高盛集团公司（GS）将支付31.5亿美元的回购residential mortgage-backed securitiesrelated to bonds that were sold to Freddie Mac and Fannie Mae. The repurchase represents an approximately $1. 2billion premium and makes the mortgage companies whole on the securities. The RMBS case was brought by the Federal Housing Finance Agency.

It was in 2011 that FHFA sued 18 firms to get back taxpayer money from when the U.S. took control of Freddie and Fannie after the economy tanked in 2008. Goldman is the fifteenth bank to settle.

该公司将向房利美支付美妮（Fannie），并向弗雷迪·麦克（Freddie Mac）支付21.5亿美元的证券。bob200体育两人从高盛（Goldman Sachs）购买了111亿美元。与FHFA定居的其他一些银行包括摩根士丹利（MS）,摩根大通（JPM），和美国银行公司（BAC）。该机构剩余的RMB欺诈案件仍在审理中，是针对RBS Securities Inc.（RBS），汇丰银行北美控股公司（HSBC），汇丰银行（HSBC）和Nbob200体育omura Holding America Inc.（NMR）的案件。

FINRAArbitration Panel Tells Merrill Lynch to Pay $1.34M to Florida Couple Over Allegedly Misrepresenting Fannie Mae Preferred Shares’ Risks

发表在：October 17, 2012 | byShepherd Smith Edwards & Kantas, LLP

金融业监管机构小组说，美林林奇（MER）必须向米歇尔（Michele）和罗伯特·比林斯（Robert Billings）支付134万美元，据称歪曲了房利美（Fannie Mae）优先股的风险。曾经拥有害虫防治业务的这对夫妇在2008年根据经纪人Miles Pure的建议，在2008年投入了230万美元。

The Billings claim that Pure told them them that their investment was “safe,” backed by the government, and came with an attractive yield, when, actually, contends the couple, at the time Fannie Mae’s exposure to the residential real estate market that was failing was causing Fannie Mae to lose billions of dollars. Even as the stock’s price went down, they say that Pure discouraged them from selling. They also claim that he didn’t let them know that the financial firm’s own research showed that Fannie Mae was becoming more beleaguered. Not long after, the Billings’ shares lost their value when Fannie Mae went into government conservatorship.

他们提出了他们的申请FINRA仲裁主张辩称民事欺诈，疏忽监督和其他所谓的不法行为。这对夫妇现在已退休，除了其他救济外，还从美林林奇那里寻求100万美元。134万美元的奖励包括惩罚性赔偿。

While a spokesman for Merrill says that the brokerage firm doesn’t agree with the panel’s ruling, the Billings’ securities attorney expressed approval of the outcome. Meantime, the FINRA panel has denied Pure’s request to have the disclosure about this arbitration taken out of public record. Although he was not involved in this case, per the securities industry, all securities brokers who are license must have their connection to any arbitration claim noted in their public records regardless of whether/not if he/she was party to it. (The panel, however, did remove the arbitration disclosure from the record of a brokerage manager who didn’t deal directly/daily with the Billings.)

Pure is now a Morgan Keegan broker. Morgan Keegan is a Raymond James Financial Inc. (RJF) unit. Merrill Lynch is a Bank of America (BAC) subsidiary.

该证券案是bob200体育经济危机后投资者和经纪人仍在发生的一些影响的一个例子。账单只是载有财务损失的众多投资者中的两个，因为据称一家经纪公司歪曲了投资涉及的风险。同时，有关此类损失的更多仲裁索赔仍在审理中。

美林林奇（Merrill Lynch）下令向夫妇支付134万美元，比房利美（Fannie Mae）优先股票，路透社/芝加哥论坛报（Chicago Tribune），2012年10月16日

Bank of America Merrill Lynch hit with $1.3 million arbitration order, Investment News, October 17, 2012

更多的博客文章:
前法尼·梅高管（MAE）的高管必须针对SEC诉讼，因为他们涉嫌参与低估了抵押公司的敞口风险，机构投资者证券博客，2012年8月25日bob200体育

美林林奇（Merrill Lynch）告诉兄弟的3.89亿美元未经授权的交易，向巴西女继承人支付360万美元, Stockbroker Fraud Blog, September 22, 2012

弗雷迪·麦克（Freddie Mac）和房利妮（Fannie）从纽约证券交易所（New York Stock Exchange）股票后脱落，股票经纪人欺诈博客，2010年6月25日Continue Reading ›

弗雷迪·麦克（Freddie Mac）和房利妮（Fannie）从纽约证券交易所（New York Stock Exchange）股票后脱落

发表在：June 25, 2010 | byShepherd Smith Edwards & Kantas, LLP

房利美dropped 39% to 56 cents and Freddie Mac went down 38% to 75 cents when the mortgage firm delisted their preferred and common shares from the New York Stock Exchange at the request of the Federal Housing Finance Agency. The moves were ordered after the NYSE told Fannie Mae that its shares did not meet listing standards any longer because over the last 30 days its closing price had dropped under $1. The voluntary delistings will go into effect in early July. The companies are expected to trade on the Over-the-Counter Bulletin Board.

The two mortgage companies, which are 80% owned by US taxpayers, guarantee or own nearly half of the US’s $11 trillion mortgage market. Shareholders include Blackrock Inc., Vanguard Group, California’s state pension fund, and Kinetics Asset Management.

这两家公司自2008年9月被监管机构扣押而股价下跌以来，有可能出现。从那时起，美国财政部已向弗雷迪·麦克（Freddie Mac）注入了约1,450亿美元（613亿美元，向房利美（Freddie Mac）注入了836亿美元的$ 836亿美元），从那时起，尽管有抵押和赎回权违约，但仍将其持续下去。纳税人的援助最终可能达到数千亿美元。美国政府已承诺在国会审议对该国抵押贷款融资制度进行大修时，继续在财务上支持抵押贷款公司。这两家公司仍然是抵押贷款人和银行的主要资金来源。

“这更侮辱了房利美（Fannie Mae）和弗雷迪·麦克（Freddie Mac）被出售的股份，尤其是优先股的人遭受的伤害。”bob200体育证券欺诈律师威廉·谢泼德（William Shepherd）。“大多数投资者被告知这些是非常安全的投资。许多人被告知，这些都是像政府债券一样安全的。为此错误陈述寻求损害赔偿还为时不晚。”

Related Web Resources:
Fannie, Freddie Plunge After Moving to Delist Shares, Bloomberg, June 16, 2010
房利美, Freddie Mac to delist from NYSE, CNN, June 16, 2010Continue Reading ›