SEC新闻：监管机构授予3,000万美元举报人奖，并向华盛顿投资咨询公司收取60万美元，用于未公开的主要交易，虚假广告

在SEC案中获得超过3000万美元奖励的举报人
在迄今为止最大的举报人奖中，美国证券交易委员会将向线人支付超过3000万美元的赏金。bob200体育看到举报人可以有权获得Dodd-Frank计划中收回的10-30％的资金，如果质量，提供的人提供的独特信息导致执法行动，导致制裁超过100万美元，那么显然是一笔巨额的款项恢复。

在这种特殊情况下，举报人居住在国外。SEC执法部主任安德鲁·塞雷斯尼（Andrew Ceresney）表示，该人将有关欺诈的机构提供了有关欺诈的信息，否则很难检测到。他说，世界上任何地方的举报人都应该将这一最新奖项视为报告涉及美国证券欺诈的可能违规行为。bob200体育

The largest whistleblower award prior to this one was $14 million. That case targeted foreigners that invested in a real estate scam in the U.S without their knowledge. The investors were hoping to qualify for a program that gives residency green cards for investment efforts that create jobs domestically.

Strategic Capital Group LLC Settles SEC Charges for $600K
The SEC is charging a Tacoma-Washington area investment advisory firm with involvement in hundreds of principal transactions via an affiliated brokerage firm and not telling clients or getting their required consent. Strategic Capital Group is paying nearly $600,000 to resolve the charges. N. Gary Price, its CEO, is accused of causing the violations. He will pay $50,000 to settle the regulator’s charges against him.

According to Commission, Strategic Capital took part in over 1,100 principal transactions via affiliate RP Capital LLC, without the requisite customer consent. It also did not try to obtain best execution for these transactions. Meantime, Price put his signature on regulatory filings that falsely stated that the firm did not take part in principal transactions.

主要交易可以在客户和顾问的利益之间造成潜在的冲突。由于该顾问，在向客户提供有关交易的另一方建议并获得后者的同意时，必须以书面形式披露任何相互矛盾的角色或财务利益。

The SEC also accused Strategic Capital of giving prospective investors misleading and false advertisements and not implementing the correct compliance procedures. Without admitting or denying the agency’s findings, the investment advisory firm and Price consented to cease and desist from causing or committing future violations of the Investment Advisers Act of 1940’s provisions involving principal transactions, antifraud, compliance, advertising, and reporting.

Contact ourSEC fraud lawyers如果您怀疑您的财务损失是由于securities fraud, or some other form of financial misconduct, or if you need to speak with a securities whistleblower lawyer.

有关举报人奖的SEC订单（PDF）

The SEC Order in the Strategic Capital Group Case（PDF）

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SEC Charges Immigration Attorneys with Securities Fraud Involving EB-5 Immigration investor Program,Stockbroker Fraud Blog, September 4, 2014

T.J. Malone’s Lincolnshire Management Settles with SEC for $2.3M Over Purportedly Improper Allocations That Cost Its Funds, Institutional Investor Securities Blog, September 23, 2014

宾夕法尼亚州私募股权公司解决与政治竞选捐款有关的“付费”违规行为，机构投资者证券博客，2014年6月23日bob200体育