收获经理，基准资产经理和投资顾问支付1,160万美元，以解决据称不当客户资金的SEC费用

在SEC指控之后，他们使用重大陈述和遗漏，从客户，家人和朋友那里挪用了约870万美元，Sam Otto Folin，Sam Otto Forin，Benchmark Asset Managers LLC和Harvest Managers，LLC已同意支付1,160万美元的言论，民事惩罚，民事惩罚，以及预约，以及预期解决问题的兴趣bob200体育证券欺诈指控。但是，通过解决，他们并没有否认或承认任何不当行为。

The SEC claims that for about eight years (about ’02 – ’10) even though all three defendants sold securities in the two firms and in Safe Haven Portfolios LLC, with the promise to investors that money would go to private and public companies that possessed goals and intentions that were “socially responsible, part of these funds allegedly were diverted to pay past investors, Folin’s salary, and both firms’ expenses. Harvest and Benchmark also allegedly issued “notes” to friends, and family advisory clients that they said were safe and conservative, while promising guaranteed interest rates that were above market. They then misrepresented the notes’ value on statements.

SEC还指控基准和Folin成立储蓄在2004年以向许多投资组合提供投资的幌子。他们的客户从06年至09年将钱放在避风港。They also allegedly made Save Haven pay more than $1.7M to Harvest and Benchmark as supposed “development” expenses, which weren’t actually expenses related to Safe Haven (and were allegedly improperly amortized) and made the latter issue over $3.9 million in loans to the two investment advisory firms.

SEC向费城的注册投资顾问收取欺诈，Sec.Gov，2011年7月12日
最近的欺诈案件表明投资者必须保持警惕，福布斯，2011年7月13日

更多博客文章：
何时投资顾问可以向投资者收取绩效费用，以提高美元阈值，股票经纪人欺诈博客，2011年5月24日
被指控犯有证券欺诈的投资经理必须向欺诈客户支付超过2000万bob200体育美元，股票经纪人欺诈博客，2010年11月10日
SEC向投资顾问收取据称向老年客户提出不合适的对冲基金建议的投资顾问，股票经纪人欺诈博客，2010年10月15日
bob200体育证券欺诈可能会给投资者带来巨大的财务损失。经验丰富的股票经纪人欺诈律师事务所可以帮助您弥补损失。