Securities Cases : Ex-Stock Trader Allegedly Made Over $1M from Insider Trading, Investment Advisers Accused of Conflicted Transactions & Misleading Investors, and Ex-Pro Football Player Gets 40 years Behind Bars over $10M Scam

前菲尼亚老鹰队的球员，他的前教练被判处40年徒刑
小费城老鹰队足球运动员Merrill Robertson Jr.将因涉足投资者的1000万美元欺诈而入狱40年。他在他中间投资者欺诈victims were coaches he knew from when he played football at the University of Georgia and the Fork Union Military Academy.

The SEC also filed a case against him in a parallel civil case. According the regulator, Robertson, Sherman C. Vaughn Jr., and their Cavalier Union Investments diverted almost
600万美元的投资者资金来支付自己的费用并偿还早期投资者。

投资顾问被指控误导投资者对交易的冲突
美国证券交易委bob200体育员会已针对Mohlman Asset Management，LLC，Mohlman Asset Management Fund，LLC和Louis G. Mohlman提出了指控，指责他们误导了投资者并从事冲突交易。莫尔曼和两位投资顾问管理了两项私人资金。

根据监管机构的说法，在’15和’12之间，Mohlman使用其中一项私人资金的资产颁发了15万美元的无抵押贷款，该贷款约占投资组合的16％。据称，即使SEC审查员告诉他，他也没有向投资者透露贷款。

莫尔曼还被指控向许多客户推荐他们投资于他的“罗斯IRA战略”。他说，律师事务所和会计师事务所认可了该策略 - SEC认为是错误的声称。如果有的话，一家会计师事务所的一家校长表示，“不可能”发出建议，并要求将该公司的名称排除在未来的通信之外。

Mohlman and his two investment advisers are settling the SEC charges without denying or admitting to the allegations. They agreed to pay a $100K civil penalty. Mohlman Asset Management Fund agreed to disgorge $862 in ill-gotten gains plus interest.

内幕交易Ring Leads to Civil and Criminal Charges
前日交易员约瑟夫·斯佩拉（Joseph Spera）面临民事和刑事指控，指控他从事内部交易。根据委员会的说法，Spera属于被指控从客户和投资银行窃取机密信息的内幕交易圈。据称，该戒指在次要股票产品之前使用了这些信息进行交易，Spera指控赚取超过100万美元的非法利润。

Spera and ex-colleagues are accused of pretended to be portfolio managers so as to persuade investment banks to share public information regarding these pending offerings. They are said to have promised to keep the information confidential and not trade before news of the offerings became public. Instead, they tipped one another by sharing the information and they traded.

SPERA的同伴去年被SEC指控。他们还被指控在刑事法庭上。现在，斯佩拉（Spera）对他的三个前收购案对他的刑事案件表示认罪。

If you suspect that your investor losses may be due tobob200体育证券欺诈，，，，please contact The SSEK Partners Group today.

前职业足球运动员因运行1000万美元的欺诈而被判刑40年，SEC，2017年12月14日

The SEC Complaint in the Mohlman Case(PDF)

SPERA案中的SEC投诉(PDF)

更多博客文章：
Ex-Illinois Mayor Accused in $5.2M Municipal Bond Fraud, Institutional Investor Securities Blog, November 30, 2017

SEC颁奖两名举报人1600万美元，机构投资者证券博客，2017年11月29日bob200体育

Ex-Financial Adviser Settles Private Equity Fund Fraud Charges in Texas，股票经纪欺诈博客，2017年12月8日