SEC档案对10家公司和13位未注册的经纪人收取费用,这些经纪人以$ 1.2B的庞氏骗局出售了伍德布里奇证券bob200体育

美国证bob200体育券交易委员会has filed civil charges against a number of companies and brokers who illegally sold Woodbridge Group of Companies securities to retail investors. Woodbridge, which filed for bankruptcy protection last year, its owner Robert H. Shapiro, and several others have since been charged with running a $1.2B Ponzi scam that defrauded nearly 8,500 investors. Many of their victims were older investors who together took almost $400M out of their IRA to invest in the securities.

现在,SEC正在收取13位未注册的经纪人,这是伍德布里奇证券的畅销书之一。bob200体育据称,他们总的来说,未注册的证券向4,400多家投资者出售了超过3.5亿美元。bob200体育监管机构辩称,被告将伍德布里奇证券作为“安全”投资,即使他们没有注册经纪人,甚至与注册经纪公司有隶属关系,也从销售中获得了数百万美元的bob200体育佣金。和。SEC经纪欺诈案中指定的经纪人包括:

•小罗伯特·戴维斯(Robert S. Davis,Jr。),旧证券金融集团bob200体育的副总裁
• Donald Anthony Mackenzie, the owner of the Texas-based corporation Old Security
• Jeffrey L. Wendel, the owner of Wendel Financial Network
• Randy T. Rondberg, the owner of Trager, LLC
• Richard Fritts, the owner of Fritts Financial
•Marcus Bradford Bray,Bradford Solutions的所有者
•Synergy的共同所有人David Knuth
•平衡财务的所有者Gregory W. Anderson
• Claude Steven Mosley, the owner of Security Financial, LLC
•Gregory A. Koch,Koch保险经纪人的所有者
•Aaron R. Andrew,Paramount Financial Services的监督制作人
•Jordan E. Goodman
• Alan H. New

这companies named as defendants are Live Abundant (Paramount Financial Services), Old Security Financial, Wendel Financial Network, Trager LLC, Fritts Financial, Bradford Solutions, Balanced Financial, Security Financial, Koch Insurance Brokers, and Synergy Investment Services.

古德曼已经解决了SEC对他的指控。他将以近31.6万美元的审判利息和10万美元的罚款捐款290万美元。在针对他的指控中,他将上网并在广播中支持伍德布里奇,但没有透露他正在从证券的销售中赚钱。bob200体育古德曼尽管定居,但并未拒绝或承认这些指控。同样在不否认或承认SEC的主张的情况下解决了Knuth,已知和协同投资服务。法院将确定他们每个人都必须支付多少次事和处罚。

这些最新的指控是在SEC向四家公司和其他五个未注册的经纪人提出类似指控之后的几个月,这些经纪人向投资者出售了伍德布里奇证券。bob200体育其中三个人,巴里·科恩菲尔德(Barry M.Kornfelds将支付36.9万美元的货币,超过69万美元的审判利息,而Barry则支付了50万美元的罚款,而Ferne的罚款约为15万美元。第三人Albert D. Klager将支付136万美元的货币,近2.79亿美元的审判利息,再加上$ 10万美元的罚款。

伍德布里奇投资者欺诈律师
如果您是购买Woodbridge Securities损失的投资者,我们bob200体育经纪欺诈律师Shepherd Smith Edwards和Kantas,LLP(SSEK律师事务所)want to talk to you. You may have grounds for pursuing an investor fraud claim. Contact us today for your initial, free consultation.SSEK Law Firmrepresents investors nationwide.

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