SEC Cases: Atlanta Fund Manager is Accused of Misusing Investors’ Funds and Final Judgments are Reached in $1.95M Matched Trades Scam and in REIT Fraud Case Against Ex-ARCP CFO Brian Block

SEC Accuses Atlanta Man of Misusing Over $1.2M in Investor Funds

在执法行动中，美国证券交易委员会指责蒂莫西·S·贝奇勒（Timotbob200体育hy S. Batchelor）滥用超过120万美元investor monies。这些资金应该用于开发潜艇船和参与国家安全的企业。

根据监管机构的投诉，即Batchelor从投资者通过Specter Ventures Fund II筹集的240万美元，他不正确地花费了一半的钱，其中包括将近25万美元购买新车和约225k美元，以支付学生贷款。据称，他将数千美元的投资者款项转移给了自己的亲戚。Batchelor还被指控试图通过伪造错误陈述未经授权的支出作为贷款的文件来掩盖自己的行为。

The SEC contends that when Batchelor raised money through the Specter Ventures Fund II, he was not registered with the Commission, which he should have been. Now, the SEC wants disgorgement, interest, penalties, and permanent injunctions against him.

总部位于马萨诸塞州的投资组合经理承担责任超过195万美元

凯文·J·阿梅尔（Kevin J. Amell）被指控将至少195万美元的经纪帐户从他拥有交易权限的基金中转移到他自己的经纪帐户，现在必须偿还这笔钱作为差异。阿梅尔被指控engaging in fraudulent matched-tradesthat he carried out in a way to allow him to make a profit at cost to the fund.

Amell allegedly did this by arranging in advance for the sale or purchase of call options between the fund’s brokerage accounts and his account at prices that would harm the fund. He is currently serving 18 months in prison after pleading guilty in a parallel criminal case.

Final Judgement Reached in REIT Fraud Case Against Former ARCP CFO Brian Block

纽约的地方法院已在SEC的最终判决中作出了最终判决REIT fraud caseagainst ex-American Realty Capital Properties (ARCP) CFO Brian S. Block. ARCP, a real estate investment trust (REIT), is now called VEREIT.

该委员会在2016年指控Block通过增强关键指标，使REIT的性能膨胀。当他被告知在确定REIT第一季度财务业绩的调整后的经营资金时已采用了错误的方法时，Block在提交ARCP的第二季度成果之前，就从运营演示文稿中篡改了调整后的资金。据称，他这样做是为了使该公司在该时间范围内满足估计，即使这是不正确的。

Block and former ARCP chief accounting officer Lisa P. McAllister were both hit with SEC civil charges. They also were charged in criminal court. Block, who was convicted of fraud, was ordered to pay a $100K fine and serve 18 months in prison.

In the SEC’s case, Block is ordered to pay a $160K civil penalty, subject to full injunctive relief, and permanently barred from serving as an officer and director. He also is suspended from practicing or appearing in front of the regulator as an accountant.

The SEC Complaint in the Batchelor Case（PDF）

SEC Obtains Final Judgment Against Portfolio Manager Charged with Matched Trades Scheme, SEC, February 14, 2018

SEC对美国房地产资本Properties Inc.的前首席财务官作出了最终判决。, SEC, February 14, 2018