数百万美元的投资顾问欺诈案件针对寡妇，年长的投资者和其他零售投资者

两名投资顾问被指控犯有2000万美元的投资者骗局
美国证券交易委bob200体育员会已针对投资顾问Ronald A. Fossum和Alonzo Cahoon提出民事诉讼。他们被指控欺骗零售投资者未注册的证券骗局bob200体育。根据监管机构的说法，从大约3/2011到6/2016，Fossum通过其控制或所有权的投资资金提供了证券投资，从100多名投资者筹集了超过2000万美元的投资者，其中包括：bob200体育

• 加速资产组有限责任公司
• Turnkey Investment Fund, LLC
• 智能货币有担保收入基金有限责任公司

Fossum被指控挪用了数十万美元的投资者的资金来支付自己的费用，包括住在该基金一家免费租金的房屋中。据称，他还使用投资者资金来支付国际旅行和联邦税款。

美国证券交易委员会（SEC）表示，福斯（Fossum）继续吸引更多的投资者，因为他们没有透露其中一笔资金（智能货币保证收入发现）的财务状况不佳。他还被指控将资金的资产汇总以满足流动性需求。

两名男子被指控出售未注册的证券并充当未注册的经纪人，同时从销售中获得赔偿。bob200体育例如，据称他们歪曲了投资者，他们只需要支付2,990美元的管理费，一次为每次出售的投资单位支付一次，而实际上，两位投资顾问从每笔投资中又收取了20万美元的赔偿。

据称涉及900万美元的庞氏骗局针对年长的投资者
斯蒂芬·彼得斯（Stephen C. Peters）和他的投资顾问公司VisionQuest财富管理据称运行了庞氏欺诈受害者主要是他的客户。他们中的许多人是老年投资者并退休。

According to the SEC, the investment adviser and his firm sold promissory notes from another company that Peters owned, VisionQuest Capital, to his clients and prospective investors. The two of them allegedly made false statements about how the proceeds would be used and claimed that neither Peters nor his business would be paid compensation. Peters also is said to have touted that the investments were guaranteed and came with little or no risk.

Now, the Commission is contending that at least $4.4M in funds were used for remodeling a farm, buying fine art, and building a vacation home in Costa Rica. Another $4.9M was allegedly used to make Ponzi payments to investors. The regulator wants disgorgement, interest, injunctions, and penalties.

北卡罗来纳州的检察官已针对彼得斯提起刑事指控，涉嫌涉嫌老年人的财务骗局。

针对寡妇的财务顾问获得了长达十年的监狱任期
Peter Martorana, a financial adviser who had an office in New Jersey residential retirement community, has been sentenced to 10 years in prison. Martorana, who pleaded guilty to fraud, is an investment adviser accused of targeting senior citizens, most of them widows. He bilked them of more than $1M.3.

According to prosecutors, between 12/2006 and 7/2013, Martorana got different elderly victims to write checks to him and his Retirement Benefit Specialist company while misrepresenting to them that he would invest their funds. None of that money went toward investments.

我们在Shepherd Smith Edwards和Kantas，Ltd LLP的年长金融欺诈律师代表老年投资者和退休人员。我们还代表其他零售投资者。立即联系我们的投资者欺诈律师事务所。

SEC投诉以及福斯和Cahoon案(PDF)

SEC投诉中所谓的VisionQuest财富管理庞氏骗局(PDF)

财务顾问从假日城的老人骗130万美元获得10年，《今日美国网络》，2017年12月8日

更多博客文章：
据CNBC报道，股票经纪欺诈博客，2017年12月22日

Ameriprise Ordered to Pay $8M Over F-Squared Alpha Sector Strategy Sales, Institutional Investor Securities Blog, November 8, 2017

秒Orders 235 LLCs to Produce Documents Related to Its Woodbridge Fraud Probe，股票经纪人欺诈博客，2017年11月5日