SEC在针对SIPC的诉讼中取得了最初的胜利，而不是欠斯坦福庞氏骗局的付款

U.S. District Court Judge Robert Wilkins says that the Securities and Exchange Commission doesn’t need to go through a full civil trial in order to make the Securities Investor Protection Corp. start liquidation proceedings to compensate the victims of Allen Stanford’s $7B Ponzi scam for their losses. This ruling is a partial victory for the SEC, which has been trying to get the brokerage industry-funded nonprofit to help the investors recoup their losses. The dispute between the two groups has centered around the interpretation of the SIPC’s mission and whether or not it supports the SEC’s efforts to protect investors.

SIPC一直在努力进行审判。但是，威尔金斯说，审判并不符合该机构的目的，即在证券公司失败时立即提出摘要诉讼。bob200体育威尔金斯（Wilkins）正在规定“摘要程序”，该程序将在本月底进行全面简要。但是，关于SEC声称，它应该能够确定SIPC何时未能履行其职责，Wilkins表示，这是为了法院裁决。

SIPChas a reserve fund that is there to compensate investors that have suffered losses because a brokerage firm has failed. Under SIPC protections, customers of a broker that has failed can receive up to $500,000 in compensation ($250,000 in cash). Although not intended as insurance against fraud, SPIC covers the financial firm’s clients but not those that worked with an affiliate, such as an offshore bank. For example, Stanford International Bank is an Antiguan bank, which means that it should fall outside SIPC-provided protections. However, Stanford Group Company, which promoted the CDs to the investors, is a member of SIPC. (Also, SEC has maintained that Stanford stole from the brokerage firms’ clients by selling the CDs, which had no value, and that this was not unlike the Bernard L. Madoff Ponzi scam that credited $64B in fake securities to client accounts.)

Meantime, Stanford has been charged by both federal prosecutors and the Commission with bilking investors when he and his team persuaded them to buy $7B in bogus CDs from Stanford International Bank. He then allegedly took billions of those dollars and invested the cash in his businesses and to support his lavish lifestyle. Stanford’s criminal trial is currently underway.

威尔金斯指出，即使SEC针对SIPC的诉讼取得成功，这并不意味着斯坦福大学的受害者会立即赚钱。这仍然由德克萨斯州法院决定前斯坦福客户提出的索赔。

法官在诉讼中，SEC首次击败保险基金，《华尔街日报》，2012年2月9日

bob200体育证券投资者保护公司
补偿斯坦福的投资者，纽约时报，2011年6月20日

更多博客文章：
SEC和SIPC上法庭，以了解SIPA是否保护Stanford Ponzi欺诈投资者，股票经纪欺诈博客，2012年2月6日

SEC对R. Allen Stanford Ponzi支付的SIPC起诉，股票经纪人欺诈博客，2011年12月20日

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