FINRACharges Sandlapper Securities Over Fraudulent Private Placement Markups of Up to 270% Involving Texas Saltwater Disposal Wells

金融行业监管局已针对Sandlapper证券提起欺诈指控。bob200体育根据自我调节组织的说法，这家小型经纪公司在德克萨斯州的盐水处置井中创建并出售了私人位置，同时收取高达270％的未公开的标记，最终以超过800万美元的价格获得了许多交易。

桑德拉普（Sandlapper）首席执行官特雷弗·戈登（Trevor Gordon），公司执行杰克·比克斯勒（Jack Bixler）和两个前经纪人也被指控欺诈。FINRA认为，2011年，这四名男子成立了Tiburon Saltwater Reclamation Fund，以投资这些井。他们还成立了一家开发公司来处理井的投资​​。但是，声称SRO在12/12至7/13之间，Bixler和Gordon利用开发公司在基金和Saltwater处置井之间进行干预，他们收取的标价为161-270％。这些标记不仅过多，而且还没有公开。即使基金可能直接购买了井的利息，也会发生这种情况。

此外，索赔FINRA从2013年开始，戈登开始利用开发公司从购买盐水处置井的利息的投资者那里获取不正当的利润。该公司购买了利息，然后将其转售给投资者，再次以67％至376％的高价标记转售给投资者。

170 investors purchased $12.5M of the fund’s securities from 8/2011 to 12/2013. Fees, allowances, and commissions were purportedly more than 16% of investors’ funds on the securities. Meantime, according to the private placement memorandum for the fund, its objectives were to not just protect capital but also provide a long-term 15% return.

FINRA，，，，in its complaint, accused Bixler and Gordon of going against the best interests of investors while earning ill-gotten gains. Sandler is accused of having known about the private placement fraud through the two men, who, as fund managers, owed fiduciary obligations that they allegedly violated when they “usurped” investment opportunities to resell the investment with the added markups and did not make sure that the fund was ensured “fair pricing.”

同样，戈登被指控犯有许多利益冲突，而桑德拉普尔据称未能建立可能应对这些冲突的监督结构。他和经纪交易商都被指控没有合理地监督销售活动。

According to FINRA’s BrokerCheck, the regulator notified Sandlapper earlier this year that it could be the subject of a disciplinary action over its sale of private placements and direct investments that may have violated securities industry rules. At Shepherd Smith Edwards and Kantas, our德克萨斯州私人欺诈律师代表全州的投资者。我们还与整个美国的投资者合作。我们的证bob200体育券律师事务所帮助成千上万的投资者因欺诈而收回损失的钱。

Private Placements
These non-public offerings are often used to raise funds. Private placements are usually sold to accredited investors and they are typically not liquid, meaning that they are not easy to sell or trade on the open market. Private placements are not suitable for all investors. Contact our德克萨斯证券bob200体育律师事务所今天。

您的初始会议是免费的，无义务的会议，可以帮助您确定是否有案件的理由。我们的客户仅从为他们获得的任何恢复中付款。我们代表美国各地的私人安置欺诈客户

Broker-dealer charged fraudulent markups of up to 270% on water disposal deals: Finra，InvestmentNews，2017年10月2日

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