SEC ALJ发现几家经纪人负责非法便士股票销售

证券bob200体育和交易委员会行政法律法官发现，几家经纪人因涉嫌参与一分钱股票的非法出售给投资者。在Rebloomfield，SEC已向罗伯特·戈尔吉亚（Roberbob200体育t Gorgia），罗纳德·S·布卢姆菲尔德（Ronald S.Labi，Martin和Bloomfield是Leeb Brokerage Services注册代表，而Miller和Gorgia是总裁兼首席合规官。Leeb不再运行。

美国证券交易委员会（SEC）辩称，被告允许客户定期将私人股票股票的股份交付到其Leeb帐户中。然后，客户将通过未注册的证券交易将证券出售给公众。bob200体育

While Martin, Labi, and Bloomfield allegedly did not conduct reasonable inquiry prior to allowing the public sale of the stock and violated securities law registration requirements, the other two men are accused of failing to reasonably supervise the registered representatives. The SEC claims that the men let the unlawful penny stock sales occur without doing enough to investigate whether they were “facilitating illegal underwriting.” As a result, the defendants allegedly caused Leeb’s failure to submit Suspicious Activity Reports that are mandated under the Bank Secrecy Act.

Alj Brenda P. Murray指出bob200体育证券欺诈resulted in significant financial losses for the investing public. She ordered the three stockbrokers to pay $1.39M in disgorgement. The three brokers were also ordered to pay a $100,000 civil penalty and cease and desist from future misconduct. Miller, who settled the securities charges against him last year, has agreed to supervisory suspension, a cease and desist order, and a $50,000 penalty.

相关的网络资源：
SEC诉讼(PDF)

经纪人发现对他们的责任承担责任，他们协助非法便士股票销售，BNA - 美国证券法日报，阿拉克拉商店，2011年4月28日bob200体育

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