数百名零售投资者在两个单独的欺诈案件中受到伤害

这美国证bob200体育券交易委员会（SEC）已提交民事欺诈指控s accusing 15 people of either “acting as unregistered brokers” or “aiding-and-abetting” this kind of activity related to the solicitation of microcap issuer Intertech Solution’s “unregistered and fraudulent securities offerings.” Already, 11 of the defendants have consented to the entry of final judgments but without denying or admitting to wrongdoing.

15个人是：

• • 丹尼尔·布罗尔斯（Daniel Broyles）
  • 迈克尔·杜克（Michael Duke）
  • 理查德·博恩萨克（Richard Bohnsack）
  • 查尔斯·戴维斯（Charles Davis）
  • Joel Duncan
  • 马克·帕尔曼
  • Paula Saccomanno
  • William Roth
  • 小比利·雷·斯塔瑟姆（Billy Ray Statham）
  • 肯尼斯·谢尔顿
  • 丹尼斯·斯威登（Dennis Swerdlen）
  • Martin Lewis
  • 格伦故事
  • Harold Wassermen
  • 亚历山大·贝维尔（Alexander Bevil）

  Intertech Solutions hired these individuals to solicit prospective retail investors. From 2/14 through 12/16, they raised about $7M from hundreds of investors in the US and Canada while allegedly earning 35-50% of this in commissions.

  美国证券交易委员会（SEC）声称，投资者没有向这些佣金收取这些费用。相反，他们被发送了私人位置备忘录似乎“只有10％的投资者收益”将用于委员会。现在，监管机构希望强加一分钱的股票酒吧，不义之的收益以及对被告的处罚。

  在监管机构对Intertech和校长David Naylor和William Scott Marshall提出案件后，对这些人的SEC案件发生了将近两年。这些指控说，他们误导了投资者关于公司黄金矿山权益的价值，收入的时间表以及佣金。这两个人被指控偷走了数十万美元的投资者资金来支付他们的个人费用。

  这三个人都在不否认或承认指控的情况下解决，马歇尔和他的西港能源（救济被告）同意将近740万美元的收益分配。马歇尔还同意支付近18.5万美元的民事罚款，而内勒的罚款超过92,000美元。

  法院批准SEC解决2200万美元的欺诈行为，该欺诈行为比200多个
  A federal district court has approved a settlement reached by the SEC over a $22M fraud that harmed more than 200 retail investors. The alleged mastermind of the investor scam, Lawrence P. Schmidt, was ordered to pay over $25M while various entities, including FutureGen Company and Commercial Equity Partners, LLC were told to disgorge more than $12M.

  在美国证券交易委员会（SEC）的情况下，SEC被指控施密特（Schmidt）建立了许多公司，这些公司似乎是合法的，实际上，他们打算在隐藏他正在混合和滥用投资者资金的情况下进行投资。

  更多的than 200 retail investors bought notes from these companies. Schmidt, meantime, allegedly took nearly $2M of that money either for his own use or to pay earlier investors. He later fired his staff and left the country.

  散户投资者
  This type of investor is typically an individual investor, not an entity, and is not considered a professional investor. Retail investors don’t usually invest as much as institutional investors or high net worth individual investors. Many retail investor are inexperienced, unsophisticated investors who may not understand the markets or the risks involved without an investment professional explaining all of this to them.

  在Shepherd Smith Edwards和Kantas，LLP（SSEK律师事务所），我们的散户投资者欺诈律师与整个美国的个人投资者合作。您的第一次咨询SSEK Law Firm是免费的，没有义务案件咨询。